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**HIGHLIGHTS**
**Rainfall Prediction**
- Fairly heavy rainfall is predicted for the Southern province and moderately heavy rainfall is predicted for the rest of the country during 12th - 18th January.
- The seasonal forecast shows a higher tendency for above-normal precipitation from January - March, 2023.
**Monitored Rainfalls**
- During the last week, maximum daily rainfall over Sri Lanka was 80.0 mm and hydro catchment areas received 53.7 mm.
**Monitored Wind**
- From 3rd - 9th Jan, up to 10m/s of north easterly winds were experienced at 850 mb level over the island.
- During 13th - 19th Jan, easterly winds are expected for the country.
**Monitored Sea & Land Temp**
- Sea surface temperature around Sri Lanka was near-neutral for the entire island.
- Land surface temperature remained near normal.
**Monitoring Rainfall**
**Daily Estimates for Rainfall from 4th January – 11th January 2023**
| Date | Map |
|------------|-----|
| 4 January | |
| 5 January | |
| 6 January | |
| 7 January | |
| 8 January | |
| 9 January | |
| 10 January | |
| 11 January | |
Estimated Precipitation [mm/day]
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Federation for Environment, Climate and Technology
c/o, Maintenance Office, Mahaweli Authority, Digana Village, Rajawella, Sri Lanka.
Phone (+94) 81-2376746, (+94) 81-2300415
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Ocean State (Text Courtesy IRI)
Pacific sea state: January 9, 2023
Equatorial sea surface temperatures (SSTs) are below average across most of the Pacific Ocean early - January. The tropical Pacific atmosphere is consistent with La Niña. A large majority of the models indicate La Niña is favored to continue into the winter, with equal chances of La Niña and ENSO-neutral during January-March 2023. In February-April 2023, there is a 71% chance of ENSO-neutral.
Indian Ocean State
Sea surface temperature around Sri Lanka was near neutral for the whole country in 4th January, 2023. Across the Indian Ocean, a classical negative Indian Ocean Dipole prevails as is typical during a La Niña.
Predictions
Rainfall
14-day prediction: NOAA NCEP models
From 12th January – 18th January:
Total rainfall by Provinces:
| Rainfall | Provinces |
|----------|-------------------------|
| 55 mm | Southern |
| 45 mm | Sabaragamuwa, Eastern |
| 35 mm | Central, Uva, Western, North Central |
| ≤ 25 mm | North Western, Northern |
From 19th January – 25th January:
Total rainfall by Provinces:
| Rainfall | Provinces |
|----------|-------------------------|
| 105 mm | Eastern |
| 95 mm | Central, Uva |
| 85 mm | North Central |
| 75 mm | Sabaragamuwa, Southern, North Western |
| 65 mm | Western |
| 55 mm | Northern |
MJO based OLR predictions
For the next 15 days:
MJO shall slightly enhance the rainfall during 12th – 16th January, moderately enhance the rainfall during 17th – 21st January, and highly enhance the rainfall during 22nd – 26th January for Sri Lanka.
Interpretation
Monitoring
Rainfall: During the last two weeks, there had been heavy rainfall over the following areas: Galle, Kalutara
Daily Average Rainfall in the Met stations for previous week of (4th January – 11th January) = 4.3 mm
Rmax: 80.0 mm & Rmin: 0.0 mm.
| Region | Average rainfall for the Last 8 days |
|-----------------|-------------------------------------|
| Northern Plains | 6.0 mm |
| Eastern | 4.0 mm |
| Western | 3.9 mm |
| Southern Plains | 0.4 mm |
The Hydro Catchment Areas recorded 5.3 mm of average rainfall for the last week
Rmax: 53.7 mm & Rmin: 0.0 mm.
**Wind:** North easterly winds prevailed in the sea area and around the island last week.
**Temperatures:** The temperature anomalies were below normal for some parts of the Central, North Western, and North Central provinces, driven by the warm SST’s.
**Predictions**
**Rainfall:** During the next week (12th – 18th January), fairly heavy rainfall (≥ 55 mm) is predicted for the Southern province; and moderately heavy rainfall is expected for the Sabaragamuwa, Eastern, Central, Uva, Western, North Central and less rainfall is expected for rest of the country.
**Temperatures:** The temperature will remain below normal for some parts of the Central, Uva, and Sabaragamuwa provinces during 13th – 19th January.
**Teleconnections:** La Niña is favored to continue into the winter, with equal chances of La Niña and ENSO-neutral during January-March 2023.
MJO shall slightly enhance the rainfall during 12th – 16th January, moderately enhance the rainfall during 17th – 21st January, and highly enhance the rainfall during 22nd – 26th January for Sri Lanka.
**Seasonal Precipitation:** The precipitation forecast for the January-February-March 2023 season shows a higher tendency of above-normal precipitation for the country.
**Terminology for Rainfall Ranges**
| Rainfall (During 24 hours of period) | Description |
|-------------------------------------|------------------------------|
| Light Showers | Less than 12.5 mm |
| Light to Moderate | Between 12.5 mm and 25 mm |
| Moderate | Between 25 mm and 50 mm |
| Fairly Heavy | Between 50 mm and 100 mm |
| Heavy | Between 100 mm and 150 mm |
| Very Heavy | More than 150 mm |
Weekly Rainfall Monitoring
The following figures show the total satellite observed rainfall in the last week in Sri Lanka. The figure in the left is the total 7-day rainfall from NOAA Climate Prediction Center (CPC) Unified Precipitation Analysis and the figure in the right is the total 7-day rainfall from CPC RFE 2.0 Satellite Rainfall Estimates. The bottom two figures are the respective anomalies.
Monthly Rainfall Monitoring
The figure in the left shows the average observed rainfall in the previous month. The rainfall anomaly in the previous month is shown in the figure to the right. The brown color in the anomaly figure shows places which received less rainfall than the historical average while the green color shows places with above average rainfall. Darker shades show higher magnitudes in rainfall.
The figure in the top-left shows the total rainfall in the past 30 days from CPC Unified Precipitation Analysis while the figure in the top-right shows the total rainfall for the same period from RFE 2.0 Satellite Rainfall Estimates. The bottom two figures show the percentage of rainfall received in the past 30 days compared to normal rainfall in this period.
The following figure shows the observed accumulated rainfall (top) and daily observed rainfall (bottom) in Sri Lanka in the last 30 days.
**Sri Lanka**
- **Observed Accumulated Precipitation (mm)**
- Above normal: green
- Below normal: brown
- **Daily Precipitation—Green Bar & Normal—Solid Line (mm/day)**
Data Source: CPC (Gauge-Based) Unified Precipitation (Climatology 1981–2010)
(updated on 00Z11JAN2023)
---
**Dekadal (10 Day) Satellite Derived Rainfall Estimates**
- 21-31 Dec 2022
- 1-10 Jan 2023
Estimated Precipitation [mm/day]
---
**Weekly Temperature Monitoring**
- **SOUTH ASIA**
- Extreme Minimum Temperature (C)
- January 1 - 7, 2023
- **SOUTH ASIA**
- Extreme Maximum Temperature (C)
- January 1 - 7, 2023
- **SOUTH ASIA**
- Temperature Anomaly (C)
- January 1 - 7, 2023
---
CLIMATE PREDICTION CENTER, NOAA
Updated: 00Z11JAN2023
Source: GOES-16/GOES-17
Weekly Wind Monitoring
The following figures show the mean vector wind total of the past 7 days near Sri Lanka at two levels. The figure on the left shows 850 mb (~1500 m) level and the figure on the right shows 700 mb (~3000 m) level.
Weekly Average SST Anomalies
Weekly average Sea Surface Temperature (SST) anomaly in the world from NOAA NCEP
Optimum Interpolated Sea Surface Temperature Anomaly in the Indian Ocean from NOAA CPC
NCEP GFS 1-14 Day prediction
IMD GFS (T574) Model Rainfall Forecast from RMSC New Delhi, India
IMD GFS MODEL(12 Km) RAINFALL (mm) FORECAST (24 HR)
based on 00 UTC of 12-01-2023 valid for 03 UTC of 13-01-2023
IMD GFS MODEL(12 Km) RAINFALL (mm) FORECAST (48 HR)
based on 00 UTC of 12-01-2023 valid for 03 UTC of 14-01-2023
IMD GFS MODEL(12 Km) RAINFALL (mm) FORECAST (72 HR)
based on 00 UTC of 12-01-2023 valid for 03 UTC of 15-01-2023
IMD GFS MODEL(12 Km) RAINFALL (mm) FORECAST (96 HR)
based on 00 UTC of 12-01-2023 valid for 03 UTC of 16-01-2023
Madden Julian Oscillation (MJO) related Outgoing Longwave Radiation (OLR) Forecast
The Outgoing Longwave Radiation (OLR) is a proxy for rainfall. This can be used to identify convective rain clouds based on the MJO phase. Violet and Blue shading indicates enhanced tropical weather and Orange shading indicates suppressed conditions. The following figure shows the forecasts of MJO associated anomalous OLR for the next 15 days from the Constructed Analogue (CA) model forecasts.
Weekly Temperature Forecast
Weekly Minimum and Maximum Temperature prediction from the GFS model (from NOAA CPC)
GFS week-1 Temperature Max (C)
Period: 18/13Jan2023 – 18/19Jan2023
GFS week-1 Temperature Min (C)
Period: 18/13Jan2023 – 18/19Jan2023
Weekly Wind Forecast
Weekly mean vector wind total prediction from the GFS model at 850 mb (left) and 700 mb (right) levels. (from NOAA CPC)
GFS 850mb week1 Mean Vector Wind Total (m/s)
Period: 18/13Jan2023 – 18/19Jan2023
GFS 700mb week1 Mean Vector Wind Total (m/s)
Period: 18/13Jan2023 – 18/19Jan2023
Seasonal Rainfall and Temperature Forecast
Following is the latest seasonal precipitation and temperature prediction for the next 3 months by the IRI. The color shading indicates the probability of the most dominant tercile -- that is, the tercile having the highest forecast probability. The color bar alongside the map defines these dominant tercile probability levels. The upper side of the color bar shows the colors used for increasingly strong probabilities when the dominant tercile is the above-normal tercile, while the lower side shows likewise for the below-normal tercile. The gray color indicates an enhanced probability for the near-normal tercile (nearly always limited to 40%).
IRI Multi-Model Probability Forecast for Precipitation for January–February–March 2023, Issued December 2022
IRI Multi-Model Probability Forecast for Temperature for January–February–March 2023, Issued December 2022
About us
FECT is a federation of 7 organizations registered in four countries which works in countries across the Indian Ocean Islands and its littoral. Over the last 20 years, we have had operations in Africa, South Asia, South-East Asia but now it is mostly in the Indian Ocean Islands.
Contact us
Federation for Environment, Climate & Technology
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Kandy
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SRI LANKA
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Hybrid analysis (barcode-high resolution melting) for authentication of Thai herbal products, *Andrographis paniculata* (Burm.f.) Wall.ex Nees
Maslin Osathanunkul, Chatmongkon Suwannapoom, Nuttaluck Khamyong, Danupol Pintakum, Santisuk Na Lamphun, Kanokporn Triwitayakorn, Kitisak Osathanunkul, Panagiotis Madesis
Department of Biology, Faculty of Science, Chiang Mai University, Chiang Mai 50200, Thailand, 1State Key Laboratory of Genetic Resources and Evolution, Yunnan Laboratory of Molecular Biology of Domestic Animals, Kunming Institute of Zoology, Chinese Academy of Sciences, Kunming 650223, China, 2School of Agriculture and Natural Resources, University of Phayao, Phayao, 56000, Thailand, 3Institute of Molecular Biosciences, Mahidol University, Nakhon Pathom, Thailand, 4Department of Computer Science, Faculty of Science, Maejo University, Chiang Mai, 50290, Thailand, 5Institute of Applied Biosciences, CERTH, 6th km Charlaou-Thermis Road, Thermi, Thessaloniki, 57001, Greece
**ABSTRACT**
**Background:** *Andrographis paniculata* Nees is a medicinal plant with multiple pharmacological properties. It has been used over many centuries as a household remedy. *A. paniculata* products sold on the markets are in processed forms so it is difficult to authenticate. Therefore buying the herbal products poses a high-risk of acquiring counterfeited, substituted and/or adulterated products. Due to these issues, a reliable method to authenticate products is needed.
**Materials and Methods:** High resolution melting analysis coupled with DNA barcoding (Bar-HRM) was applied to detect adulteration in commercial herbal products. The *rbcL* barcode was selected to use in primers design for HRM analysis to produce standard melting profile of *A. paniculata* species. DNA of the tested commercial products was isolated and their melting profiles were then generated and compared with the standard *A. paniculata*.
**Results:** The melting profiles of the *rbcL* amplicons of the three closely related herbal species (*A. paniculata*, *Acanthus ebracteatus* and *Rhinacanthus nasutus*) are clearly separated so that they can be distinguished by the developed method. The method was then used to authenticate commercial herbal products. HRM curves of all 10 samples tested are similar to *A. paniculata* which indicated that all tested products were contained the correct species as labeled.
**Conclusion:** The method described in this study has been proved to be useful in aiding identification and/or authenticating *A. paniculata*. This Bar-HRM analysis has allowed us easily to determine the *A. paniculata* species in herbal products on the markets even they are in processed forms.
**Key words:** *Andrographis paniculata*, authentication, DNA barcoding, herbal product, high resolution melting, species identification
**SUMMARY**
- We propose the use of DNA barcoding combined with High Resolution Melting analysis for authenticating of *Andrographis paniculata* products.
- The developed method can be used regardless of the type of the DNA template (fresh or dried tissue, leaf, and stem).
- *rbcL* region was chosen for the analysis and work well with our samples.
- We can easily determine the *A. paniculata* species in herbal products tested.
**Abbreviations used:**
- bp: Base pair,
- Tm: Melting temperature
**Correspondence:**
Dr. Maslin Osathanunkul,
Department of Biology,
Faculty of Science, Chiang Mai University,
Chiang Mai 50200, Thailand.
E-mail: email@example.com
**DOI:** 10.4103/0973-1296.176112
---
**INTRODUCTION**
*Andrographis paniculata* (Burm.f.) Wall.ex Nees which belongs to the *Acanthaceae* (common name *Andrographis*) family is a medicinally important annual herb essentially distributed in tropical Asia. It is locally named as “Fah Talai Joan” in Thailand. The leaves and underground stem are used in the production of traditional medicine and have been used over many centuries as a household remedy in Asia. *A. paniculata* has now become popular also in Scandinavia for colds and influenza treatments and begins to become available in the United States as well. Diterpenoids and flavonoids are the main active constituents of *A. paniculata*. Although *Andrographis* is frequently used for preventing or treating common cold and flu, it is also used for treatment of other mild to severe medical conditions (i.e. sore throat, diarrhoea, stomach pain, diabetes, hepatitis, and malaria, etc.). It has multiple pharmacological properties such as anti-malarial, anti-inflammatory, anti-oxidant, anti-hepatic, anti-hyperglycemic, anthelmintic, antibacterial, antipyretic, and anti-cancer activity. Recent pharmacological and clinical studies suggest the potential of *A. paniculata* for beneficial effects in killer diseases such as cancer and HIV infections. Since many disease conditions were commonly treated with *A. paniculata* in traditional Thai medical system, the plant was included in Thai national list of essential medicine. During the past decade, traditional or indigenous health system has gained importance in the field of medicine. In most of the developing...
countries, a large number of people depend on traditional remedies, which in turn are dependent on the medicinal plant. Thai people spend several million baht a year on unproven herbal products that promise everything from curbing hot flashes to fighting off stomach ache and sore throat soothing. As it seems it is not only Thai people who spend so much on the herbal products or what we call alternative drugs, Western people such as Americans, Canadians, and Europeans also found to rely on the herbal products as supplements. Americans spend over 5 billion US $ a year; these tremendous numbers are corresponding with the World Health Organization estimation which is that 70–80% of the developed-world populations have used alternative medicines.\[8\]
Herbal products on the market are often perceived to be safe as fewer side effects could be observed when compared with synthetic drugs. However, there is an alarm for consumers to beware. Adulterated, counterfeit, and substitute products pose serious safety issues for the consumers from money loss to severe allergy or other medical conditions. Traditionally, biological species are authenticated according to their morphological features which are still the main basis of taxonomy.\[9\] Traditional taxonomy studies usually require the expertise of an experienced professional taxonomist. However, in some cases where the morphological character needed for identification of a specimen is lacking, it hinders even the specialists to recognise a species correctly. Especially in herbal products, the authentication becomes complicated because the original identifying characteristics are absent as these products are mainly sold in processed forms such as capsules and tablets, or are dried parts. Therefore, herbal products are often perceived to be safe due to their natural origin, however, adulterated, counterfeit, substituted of economically vulnerable materials with low-quality products pose serious safety threats to consumers and could prove fatal.\[10\] Common problems with raw drug trade are included not having readily distinguishable keys for materials that exhibit similarity in morphological features, materials sharing similar vernacular names in local languages, and the substitution or admixtures of economically valuable materials with inexpensive ones.\[11-13\] Medicinal plant materials may be substituted accidentally by herbs from closely related species or adulterated intentionally by materials from unrelated plants. In addition, lack of cultivation was observed in most of developing countries so that herbal materials are predominantly collected from the wild, by local farmers or collectors who often rely only on their experience in identifying the species being collected at the same time taxonomists are rarely availed for authentication. Frequently, admixtures could also be deliberate due increase profit from the adulteration.\[12\] It is undeniable that quality and effectiveness of the drug are directly linked to the quality of the raw materials in which the consequences of species admixtures can range from reducing the efficacy of the herbal products to lowering the trade value\[14\] not to mention misidentified materials could lead to the admixtures of toxic or otherwise unsuitable species and increasing the risk of accidental poisonings.\[15-17\] Therefore, appropriate measures should be taken if a reliable method for species identification and authentication of medicinal plant products existed which is not only critical for the enforcement of regulations, and to avoid adverse health and economic outcomes, but they are also important to reduce the negative environmental effects associated with purchasing protected species marketed as unprotected.
DNA barcoding referred as a short DNA sequences provides a way to confirm the identification of a variety of plant species including medicinal plants. A considerable amount of literature has been published and these studies showed a potential of DNA barcodes effectively distinguish medicinal plants, as well as identifying herbal medicinal materials and establishing a level of quality assurance.\[18,19\] Recently, DNA tests in Canadian research\[20\] show that many herbal products sold on the markets were found to be contaminated or substituted with alternative plant species that are not listed on the labels as they are replaced entirely by powdered rice, wheat and soybean. One-third of the herbal supplement products tested were nothing same as their labels. Noticing they found that *Echinacea* supplements, common products for Americans to prevent and treat colds, were contaminated with ground up bitter weed, *Parthenium hysterophorus*, an invasive plant found in India and Australia which can caused rashes, nausea and flatulence. Moreover, they found two bottles of supplements which labeled as St. John’s wort contained none of the herb. Following a number of smaller studies performed in recent years suggests herbal products on the markets are not what they promised to be.\[21,22\]
Although, the DNA barcoding approach has been proved to be efficient and informative for both species identification and herbal products authentication, it is relatively costly and time consuming which it is not suitable for a developing country like Thailand. Not to mention that the DNA barcoding method can be quite challenging in generating barcodes and analyzing the data to determine discrimination power. Thus, if the method is more rapid, simple, and economic, the DNA barcoding technique might have been far more persuasive for the developing countries like Thailand where the majority of people are using alternative medicines. Thus, the establishment of a novel effective and relatively cheap method for the routine medicinal plant materials would be beneficial for consumers and traders. High resolution melting (HRM) analysis coupled with DNA barcoding has a great potential to be applied for species identification. The principle of HRM is to distinguish the differences of DNA fragments using the thermodynamic properties of DNA sequences. HRM coupled with DNA barcoding, single-nucleotide polymorphism marker and microsatellite have been applied in aiding the taxonomical identification and the detection of adulteration in food and agriculture products.\[23-26\] However, the application of this approach as a potential use for authentication of herbal products has never been exerted, although the hybrid barcoding method showed good results in other applications as mentioned earlier. Here, we propose the use of availed DNA data from online database combined with HRM temperature to advance species identification and authenticating of *A. paniculata* products sold on the market in Thailand.
**MATERIALS AND METHODS**
**Reference materials**
Specimens of authentic species including *A. paniculata* and related species were provided by Queen Sirikit Botanic Garden (QSBG). All plant material (dried samples) obtained from the QSBG came with the voucher number. Fresh plant material was collected and identified by an expert at the Medicinal Plant Garden, Faculty of Pharmacy, Chiang Mai University. Herbal products were purchased from markets (Chiang Mai, Thailand). All plants and herbal products were listed in Table 1.
**DNA isolation**
DNA isolation from dried samples and herbal products was performed using 0.1 g of starting material in the form of fine powder by employing
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**Table 1:** The values of $T_m$ ($^\circ$C) gaining for HRM analysis using *rbcL* markers of *Andrographis paniculata* and related species
| Species | $T_m$ ($^\circ$C) |
|--------------------------|-------------------|
| *Andrographis paniculata*| 81.15±0.06 |
| *Acanthus ebracteatus* | 81.66±0.03 |
| *Rhinacanthus nasutus* | 80.10±0.06 |
HRM: High resolution melting; $T_m$: Melting temperature
the Qiagen DN easy plant mini kit according to manufacturer’s instructions. DNA concentration was estimated by standard spectrophotometric methods at 260 nm and 280 nm UV lengths using a BioDrop® µLITE. DNA integrity was tested by gel electrophoresis in a 0.8% agarose gel. Samples were then diluted to a 20 ng/µL concentration. We used individually isolated triplicate samples. The extracted DNA solution was stored at −20°C until further use.
**DNA barcodes data and Oligonucleotides primers**
The sequences of *A. paniculata* and relevant species were extracted from GenBank (at the end of December 2013) using the keyword “The name of locus” and “the name of species” in the annotations. Generally, sequences obtaining from the public database include GenBank do not pose following the access to vouchers and/or low-quality often observed. Therefore, all sequences were subjected to processing and low-quality sequences were cut out. After processing and multiple alignments, primers design for HRM analysis was then performed using the SeqMan program. The primer pairs expected to generate a polymerase chain reaction (PCR) product not exceeding 200 bp that cover the variation site to enable discrimination of these different species.
**Polymerase chain reaction amplification for high resolution melting analysis**
To obtain the characteristic melting temperature ($T_m$) that was capable to distinguish the *A. paniculata* and other related species, DNA amplification using real-time PCR was performed using Eco™ Real-Time PCR system (illumina®, San Diego, California, USA). The reaction mixture for real-time PCR and HRM analysis was carried out in 10 µl of total volume contained 5 µl of 2x THUNDERBIRD SYBR qPCR Mix, 0.2 µM forward primer, 0.2 µM reverse primer and 1 µl of 25 ng DNA. The primers rbcL_F; 5’-GGTACATGGACAACACTGTGTGGA-3’ and rbcL_R; 5’-ACAGAAACCTTCTTCAAAAAGGTCTA-3’ were synthesized by Pacific Science (Thailand). SYBR fluorescence dye was used to monitor the accumulation of amplified product during PCR and HRM process to derive $T_m$ value.
PCR protocol was conducted in 48-well plate Helixis using an initial denaturing step at 95°C for 5 min followed by 35 cycles of 95°C for 30 s, 57°C for 30 s and 72°C for 20. The fluorescent data were acquired at the end of each extension step during PCR cycles. Before HRM, the products were denatured at 95°C for 15 s and then annealed at 50°C for 15 s to randomly form DNA duplexes. For HRM experiments, fluorescence data were collected every 0.1°C. The Eco™ software (version 188.8.131.52) was used to analysis the $T_m$. The negative derivative of fluorescence (F) over temperature (T) (dF/dt) curve primarily displaying the $T_m$, the normalized raw curve depicting the decreasing fluorescence versus increasing temperature. To generate normalized melt curves and difference melt curves, pre- and post-melt normalization regions are set to define the temperature boundaries of the normalized and difference plot that were mainly used. *A. paniculata* was set as a baseline species.
**Authenticating *Andrographis paniculata* products**
The developed method was used further to analyze the product labeled as *A. paniculata* (Fah Talai Joan) which were sold on the Thai markets using the DNA template extracted from the QSBG dried sample as a reference.
**RESULTS AND DISCUSSION**
**DNA barcodes data and primer pair**
In order to develop a new method combining the DNA barcoding and HRM analysis for discrimination of *A. paniculata* and other related species and also its further use for the authenticating the species products on the market, availed DNA barcodes data on the online databases were collected. From the alignment of the extracted data [Figure 1a], the primer pair named rbcL_F and rbcL_R was chose for HRM analysis as products expected from this primers contained nucleotides variation of the different species which would allow their discrimination. The sequences of the species tested were used to construct phylogenetic tree [Figure 1b].
**Figure 1**: Comparative alignment of *rbcL* consensus DNA barcodes of *Andrographis paniculata*, *Acanthus ebracteatus* and *Rhinacanthus nasutus* and phylogenetic tree using MEGA5. (a) Common DNA barcodes in three Acanthaceae were generated based on DNA sequences obtained from available DNA database sequences information from NCBI for *rbcL* region. The boxes denote the region were the primer pair was designed. (b) Phylogenetic NJ tree based on DNA barcodes derived from DNA database sequences information from NCBI for *rbcL* region (Accession numbers of each sample, *Andrographis paniculata*: JF949965.2, JQ922118.1 and JQ230990.1, *Acanthus ebracteatus*: AY289682.1, *Rhinacanthus nasutus*: GQ436493.1)
A real-time PCR protocol was applied for the identification and quantitative determination of *A. paniculata* in commercial herbal products. Table 1 depicts the results of the SYBR assay for the discrimination of the *A. paniculata* and related species. Herbal samples from different species could be distinguished using HRM analysis and the designed primers *rbcL*. The melting profiles of the *rbcL* amplicons of the three closely related herbal species (*A. paniculata*, *Acanthus ebracteatus* and *Rhinacanthus nasutus*) are illustrated in Figure 2a and b. A distinct melting curve was generated for each herbal species presenting one inflection point. Analysis of the normalised HRM curves with the barcode marker *rbcL* [Figure 2a and b] revealed that the three species could easily be distinguished. Assigning species *A. paniculata* as a genotype we were able by subtracting the area (difference graph) from the rest of the produced melting curves by the other species, to estimate the confidence value of similarity between the three species used [Figure 2b]. GCPs were calculated and a cut off value of 90% was used to assign a genotype for each barcode region [Table 2]. Furthermore, a closer examination of the *A. paniculata* HRM difference curve, with the mean of *A. ebracteatus* and *R. nasutus* with *A. paniculata* curve as the baseline, revealed part of the curve sitting outside the 90% confidence interval (CI) curve, suggesting that the *A. ebracteatus* and *R. nasutus* HRM curves are indeed different [Figure 2b]. The HRM analysis with the designed primer pairs proved to be a powerful tool in the identification of more or less closely related *Acanthaceae* species. The reproducible individual melting curves were achieved from different species with triplicate. Similar melting curves were achieved from the same species regardless of the type of the DNA template (fresh or dried tissue, leaf, and stem) (data not shown). Thus, the method can be applicable also for the processed herbal products that still contain tissue material with intact DNA.
**Detection of *Andrographis paniculata* in herbal products**
After the confirmation that each tested species (three *Acanthaceae* species of which *A. paniculata* was used as references) can be identified by HRM analysis we applied the same approach for the identification of the species used in herbal products [Table 2]. The DNA extracted from all products tested yielded a specific amplification product with the *rbcL* primers. The normalized HRM curves for the amplicons, from the species, studied and 10 commercial “Fah Talai Joan” herbal products, based on HRM analysis with barcode marker *rbcL* are shown in Figure 3. The products tested produced a unique melting plot that was easily to spot. Thus, all commercial samples could be successfully assigned to the species. All 10 products contained the *A. paniculata* or “Fah Talai Joan” that was promised or labeled as can be seen from their normalized HRM curves [Figure 3]. Furthermore, closer examination of the HRM difference curve, with all the tested samples with *A. paniculata* curve as the baseline, revealed part of the curve sitting outside the 90% CI curve, only for *A. ebracteatus* and *R. nasutus* suggesting that the *A. ebracteatus* and *R. nasutus* HRM curves are indeed different and all the other samples tested are similar to *A. paniculata*. Thus, DNA barcode coupled with HRM analysis methodology has allowed us easily to determine the *A. paniculata* species in herbal products on the markets even they are in processed forms.
This is partly indicated that the regulations of quality control in the herbal industry are seem to be appropriate and rigorous in Thailand, although we could not conclude this for other herbal products. In Thailand, *A. paniculata* is one among popular species used by a vast number of people. Luckily, misidentification has not been an issue for *A. paniculata* species but several medicinal plants of Thailand are currently facing the issue. The method developed in this study would be useful for authentication of others products too. Both traders and consumers would ultimately gain trust and confidence as there is a reliable way to authenticate the products. The developed method could be improved further if it is used along with a more species-specific primer and more species tested, which has been demonstrated for
**Table 2:** Commercial *Andrographis paniculata* or Fah Talai Joan products and related species used in this study
| Species/type | Source | Form |
|-----------------------|---------------------------------------------|----------|
| *Andrographis paniculata* | QSBG voucher number 68296 | Dried tissue |
| *Acanthus ebracteatus* | QSBG voucher number 29333 | Dried tissue |
| *Rhinacanthus nasutus* | QSBG voucher number 63282 | Dried tissue |
| *Andrographis paniculata* | Medicinal plant garden | Fresh leave |
| *Acanthus ebracteatus* | Medicinal plant garden | Fresh leave |
| *Rhinacanthus nasutus* | Medicinal plant garden | Fresh leave |
| Commercial 1 | Online market | Capsule |
| Commercial 2 | Market | Capsule |
| Commercial 3 | Market | Capsule |
| Commercial 4 | Market | Capsule |
| Commercial 5 | Market | Tablet |
| Commercial 6 | Market | Capsule |
| Commercial 7 | Market | Capsule |
| Commercial 8 | Market | Capsule |
| Commercial 9 | Market | Capsule |
| Commercial 10 | Local producers | Powder |
QSBG: Queen sirikit botanic garden
resolving individuals contributing trace amounts of DNA to highly complex mixtures.
**CONCLUSION**
Bar-HRM analysis was proven to be a fast and accurate technique for authentication testing of herbal products. Here, we describe the development of a Bar-HRM method for adulteration testing of *A. paniculata* commercial products, which commonly used as a household remedy by Thai people. Various forms of the *A. paniculata* such as fine powder, capsule and tea bag were observed on the markets. These processed forms the *A. paniculata* making it almost impossible to identify the products. The method developed here was proven to be effective and accurate detecting *A. paniculata* species. The DNA extracted from all products tested yielded a specific amplification product with the *rbCL* primers. The normalized HRM curves for the amplicons, from the three species (*A. paniculata*, *A. ebracteatus* and *R. nasutus*) and 10 commercial “*A. paniculata*” herbal products, based on HRM analysis with barcode marker *rbCL* were easily to spot, and all commercial samples could be successfully assigned to the *A. paniculata* species that were promised or labeled. The developed method could be easily used for rapid and low-cost authentication testing in commercial products without a doubt.
**Acknowledgments**
We thank Mr. Kittiphong Kertsawang (The Botanical Garden Organization, Ministry of Natural Resources and Environment, Thailand) and the late Mr. James F. Maxwell (Curator of CMUB herbarium, Chiang Mai University) for providing, identifying and collecting the samples.
**Financial support and sponsorship**
This work was financially supported by the new researcher grant from the Thailand Research Fund (grant number TRG5780027).
**Conflicts of interest**
There are no conflicts of interest.
**REFERENCES**
1. Tang W, Eisenbrand G. Chinese Drugs of Plant Origin, Chemistry, Pharmacology and Use in Traditional and Modern Medicine. Berlin: Springer Verlag; 1992. p. 97-103.
2. Saxena S, Jain DC, Bhakuni R, Sharma RP. Chemistry and pharmacology of *Andrographis* species. Indian Drugs 1998;35:458-67.
3. Jayakumar T, Hsieh CY, Lee JJ, Sheu JR. Experimental and clinical pharmacology of *Andrographis paniculata* and its major bioactive phytocconstituent andrographolide. Evid Based Complement Alternat Med 2013;2013:846740.
4. Zhao F, He EQ, Wang L, Liu K. Anti-tumor activities of andrographolide, a diterpene from *Andrographis paniculata*, by inducing apoptosis and inhibiting VEGF level. J Asian Nat Prod Res 2008;10:467-73.
5. Yang L, Wu D, Luo K, Wu S, Wu P. Andrographolide enhances 5-fluorouracil-induced apoptosis via caspase-8-dependent mitochondrial pathway involving p53 participation in hepatocellular carcinoma (SMMC-7721) cells. Cancer Lett 2009;276:180-8.
6. Calabrese C, Berman SH, Babish JG, Ma X, Shinto L, Dorr M, et al. A phase I trial of andrographolide in HIV positive patients and normal volunteers. Phytother Res 2000;14:333-8.
7. Reddy VL, Reddy SM, Ravikant V, Krishnaiah P, Goud TV, Rao TP, et al. A new bis-andrographolide ether from *Andrographis paniculata* Nees and evaluation of anti-HIV activity. Nat Prod Res 2005;19:223-30.
8. Who.int. World Health Organization. Available from: http://www.who.int/mediacentre/factsheets/fs134/en/. [Last updated on 2003 May; Last cited on 2013 Oct 30].
9. Wendy A. The Identification of Medicinal Plants: A Handbook of the Morphology of Botanicals in Commerce. Texas: American Botanical Council; 2006.
10. Mine Y, Young D. Regulation of natural health products in Canada. Food Sci Technol 2009;15:459-68.
11. Khatron S, Rai V, Rawat AK, Mehrotra S. Comparative pharmacognostic studies of three *Phyllanthus* species. J Ethnopharmacol 2006;104:79-86.
12. Mitra SK, Kannan R. A note on unintentional adulterations in ayurvedic herbs. Ethnobotanical Leaflet 2007;11:1-5.
13. Sunita G. Substitute and Adulterant Plants. New Delhi: Periodical Experts Book Agency; 1992.
14. Wieniawski W. Risk assessment as an element of drug control. WHO Drug Inf 2011;15:7-11.
15. Song J, Yao H, Li Y, Li X, Lin Y, Liu C, et al. Authentication of the family *Polygonaceae* in Chinese pharmacopoeia by DNA barcoding technique. J Ethnopharmacol 2009;124:434-9.
16. Barthelson RA, Sundareshan P, Galbraith DW, Woosley RL. Development of a comprehensive detection method for medicinal and toxic plant species. Am J Bot 2006;93:566-74.
17. Ize-Ludlow D, Ragonne S, Bruck IS, Bernstein JN, Duchowny M, Peña BM. Neurotoxicities in infants seen with the consumption of star anise tea. Pediatrics 2004;114:e653-6.
18. Li M, Cao H, But PP, Shaw PC. Identification of herbal medicinal materials using DNA barcodes. J Syst Evol 2011;49:271-83.
19. Techen N, Parveen I, Pan Z, Khan IA. DNA barcoding of medicinal plant material for identification. Curr Opin Biotechnol 2014;26:103-10.
20. Newmaster SG, Grguric M, Shanmughanandhan D, Ramalingam S, Ragupathy S. DNA barcoding detects contamination and substitution in North American herbal products. BMC Med 2013;11:222.
21. Baker DA, Stevenson DW, Little DP. DNA barcode identification of black cohosh herbal dietary supplements. J AOAC Int 2012;95:1023-34.
22. Wallace LJ, Boilard SM, Eagle SH, Spall JL, Shokralla S, Hajibabaei M. DNA barcodes for everyday life: Routine authentication of natural health products. Food Res 2012;49:446-52.
23. Ganopoulos I, Madesis P, Darzentas N, Argiriou A, Tsaftaris A. Barcode high resolution melting (Bar-HRM) analysis for detection and quantification of PDO “Fava Santorinis” (*Lathyrus clymenum*) adulterants. Food Chem 2012;133:505-12.
24. Jaakkola L, Suokas M, Häggman H. Novel approaches based on DNA barcoding and high-304 resolution melting of amplicons for authenticity analyses of berry species. Food Chem 2010;123:494-1305.
25. Madesis P, Ganopoulos I, Argiriou A, Tsaftaris A. The application of Bar-HRM (barcode DNA-high resolution melting) analysis for authenticity testing and quantitative detection of bean crops (*Leguminosae*) without prior DNA purification. Food Control 2012;25:576-82.
26. Faria MA, Magalhães A, Nunes ME, Oliveira MB. High resolution melting of *trnL* amplicons in fruit juices authentication. Food Control 2013;33:136-41. |
Graphics Order Form
SHOW
Interplas
SHOW DATES
28th - 30th September 2021
ARTWORK SUPPLY & ORDER DEADLINE
30th August 2021
VENUE
NEC, Birmingham
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Overlay Foamex Graphics
- Printed direct to Foamex overlaying the poles as per the visual, each panel is roughly 1m wide.
- We attach directly to the framework of the stand using a clip system.
- Hairline joins between each panel (Roughly every 1m)
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| PRODUCT | QUANTITY | PRICE |
|---------|----------|-------|
| FOAMEX OVERLAY GRAPHICS (FX OV) | | £251 EACH |
Graphics Extras
Add a selection of our graphic extras to your stand design to ensure your stand has a truly professional finish, additional options available on page 7.
| PRODUCT | QUANTITY | PRICE |
|---------|----------|-------|
| PVC PULL UP BANNER (PULL-UP) | | £126 EACH |
| DESK COUNTER (GR05) | | £300 EACH |
| PRINTED COUNTER PANEL | | £126 EACH |
| FASCIA OVERLAY GRAPHICS | | £61 PER LM |
Option 1 - Order Form Total
Foamex Infill Graphics (FX IN)
£229.00 PER PANEL
Please note that the example image shown is for example purposes only and may not represent your stand size or the shell scheme system being used on your event. For further information please contact the team on firstname.lastname@example.org. Images refer to wall graphics only, additional extras which may be shown in the image will have an additional charge.
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- Suitable for shell scheme shelving and TV wall mounting (DP1 Support panel required to wall mount TV)
| PRODUCT | QUANTITY | PRICE |
|---------|----------|-------|
| FOAMEX INFILL GRAPHICS (FX IN) | | £229 EACH |
Graphics Extras
Add a selection of our graphic extras to your stand design to ensure your stand has a truly professional finish, additional options available on page 7.
| PRODUCT | QUANTITY | PRICE |
|---------|----------|-------|
| PVC PULL UP BANNER (PULL-UP) | | £126 EACH |
| DESK COUNTER (GRO5) | | £300 EACH |
| PRINTED COUNTER PANEL | | £126 EACH |
| FASCIA OVERLAY GRAPHICS | | £61 PER LM |
Option 2 - Order Form Total
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PVC Banner wrap to MFC cladding
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| PRODUCT | QUANTITY | PRICE |
|--------------------------|----------|---------|
| FABRIC WRAP TO MDF CLADDING | | £251 PLM |
PLM - Per Linear M (1m Wide Section)
Graphics Extras
Add a selection of our graphic extras to your stand design to ensure your stand has a truly professional finish, additional options available on page 7.
| PRODUCT | QUANTITY | PRICE |
|--------------------------|----------|---------|
| PVC PULL UP BANNER (PULL-UP) | | £126 EACH |
| DESK COUNTER (GR05) | | £300 EACH |
| PRINTED COUNTER PANEL | | £126 EACH |
| FASCIA OVERLAY GRAPHICS | | £61 PER LM |
Option 3 - Order Form Total
Rollable PVC Infill (Roll PVC IN)
£235.00 PER PANEL
Infill option
- Printed direct to a Rollable PVC Material
- Sitting in between the metalwork as per the visual.
- Attached to the existing system using double sided tape, please specify if you would like to take them away and we will fit them with a Magnetic tape for easy removal. Please note that if re used we will only fix the panels top & bottom to ensure easy removal and packing at the end of the event.
- Reusable – Exhibitors are responsible for removing their own graphics. (Reusability depends on the shell scheme system being used from show to show, as this can affect the sizes)
- Suitable for shell scheme shelving and TV wall mounting (DPI Support panel required to wall mount TV)
| PRODUCT | QUANTITY | PRICE |
|---------|----------|-------|
| ROLLABLE PVC INFILL (ROLL PVC IN) | £235 EACH |
Graphics Extras
Add a selection of our graphic extras to your stand design to ensure your stand has a truly professional finish, additional options available on page 7.
| PRODUCT | QUANTITY | PRICE |
|---------|----------|-------|
| PVC PULL UP BANNER (PULL-UP) | £126 EACH |
| DESK COUNTER (GRO5) | £300 EACH |
| PRINTED COUNTER PANEL | £126 EACH |
| FASCIA OVERLAY GRAPHICS | £61 PER LM |
Option 4 - Order Form Total
We have a large selection of graphic options available to give your stand the extra wow factor. Each of them are designed and printed to your bespoke requirements.
**GR01 CUBES**
Re-board cubes
- Small - 500mm³
- Medium - 600mm³
- Large - 700mm³
- Printed direct to 16mm Re-board
| Size | Price (+VAT) |
|--------|--------------|
| Small | £229 |
| Medium | £275 |
| Large | £320 |
**GR02 PLINTH**
Re-board plinth
- Assembled dimensions
- Width - 750mm
- Height - 1,100mm
- Printed direct to 16mm Re-board
Complete Graphic £240 (+VAT)
**GR03 HOLDER**
Re-board brochure holder
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**GR04 STANDEE**
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**GR05 COUNTER**
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**GR06 PODIUM**
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**GR07 TOWER**
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**ADDITIONAL FINISHES**
To counter tops
Applicable to the following references GR02, GR05 and GR06
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## Electrical Order Form
| Show | Interplas | Show Dates | 28th – 30th September 2021 |
|------|-----------|------------|-----------------------------|
| Venue | NEC, Birmingham | Order deadline | 30th August 2021 |
**ORDER BEFORE 30TH AUGUST 2021 TO RECEIVE THE EARLY BIRD PRICE – ALSO APPLIES ONLINE**
### Contact Information
| Hall/Stand No | Company | Invoice Address |
|---------------|---------|-----------------|
| Contact Name | | |
| | | |
| Post Code | | |
| Telephone | | VAT No. |
| Email | | Signature |
To place your order online, please visit [https://ordering.ges.com/000030109](https://ordering.ges.com/000030109) or email your order form to [firstname.lastname@example.org](mailto:email@example.com).
To order by phone:
T: +44 (0) 2476 380 180
---
For our electrics exhibitor guide, please visit: [https://insights.ges.com/i/786867-electrical-service-myth-buster](https://insights.ges.com/i/786867-electrical-service-myth-buster)
| CODE | QTY | DESCRIPTION | EARLY BIRD | STANDARD | TOTAL |
|------|-----|-------------|------------|----------|-------|
| AS | | Adjustable spotlight | £57.75 | £69.30 |
| LT3 | | 3 x Adjustable spotlights on track | £159.00 | £190.80 |
| LEDF | | LED floodlight | £86.50 | £103.80 |
| FL6 | | 6ft fluorescent fitting | £64.15 | £76.98 |
| SO500 | | Socket outlet 500W (2amp) maximum | £128.35 | £154.02 |
| SO1000 | | Socket outlet 1000W (4amp) - NOT Suitable for 4-way multi-sockets | £193.70 | £232.44 |
| SO10024 | | Socket outlet 1000W (4amp maximum) 24 HOUR - NOT Suitable for 4-way multi-sockets | £357.00 | £428.40 |
All orders must be accompanied by a diagram showing location and relevant information in connection with your order.
Orders will not be accepted without this information. (Please see grid location form on the following page).
Should you require a technical plan showing the service ducts, please contact [firstname.lastname@example.org](mailto:email@example.com) for assistance.
Sub total
Testing £17.50
VAT 20%
TOTAL
---
- Upon receipt of the form, our team will send you an official invoice with payment information.
- At the onsite GES Service Desk we are unable to accept cash for orders placed on site.
- A £25.00 fee per invoice will be charged for any contact or address changes made after receipt of the invoice.
- Cancelled orders may incur a charge for up to 100% of total costs.
- Please note that your order is only processed if payment is received 15 days prior to opening of the show.
- For full terms and conditions please refer to [https://www.ges.com/eu/terms-and-conditions](https://www.ges.com/eu/terms-and-conditions).
- To chat online with an Exhibitor Service Co-ordinator, please go to [http://www.ges.com/eu/exhibitors/servicentre](http://www.ges.com/eu/exhibitors/servicentre), scroll down and click on the Online Chat icon, which is linked to the Live Chat.
Electrical Order Form
| Show | interplas | Show Dates | 28th – 30th September 2021 |
|---------------|-----------|------------------|----------------------------|
| Venue | NEC, Birmingham | Order deadline | 30th August 2021 |
ORDER BEFORE 30TH AUGUST 2021 TO RECEIVE THE EARLY BIRD PRICE – ALSO APPLIES ONLINE
Grid Plan
| Company Name | |
|--------------|---------------------------|
| Hall/Stand No| |
| Do you have a raised floor? | YES / NO |
| Platform height is | ________________________ cm |
| Dimensions of stand: | _______________ m x _______________ m |
To place your order online, please visit https://ordering.ges.com/000030109 or email your order form to firstname.lastname@example.org.
To order by phone:
T: +44 (0) 2476 380 180
Use the grid plan below (birds-eye view) to specify the layout of your stand so we can position your items according to your requirements. Please draw your shell scheme stand into the grid plan and add your ordered items to it.
Δ = Mains X = Socket O = Spotlight □ = Fluorescent
↑ Neighbouring Stand No:
↓ Neighbouring Stand No:
↑ Neighbouring Stand No:
↓ Neighbouring Stand No:
## Shell Scheme Extras Order Form & Grid Plan Form
| Show | interplas | Show Dates | 28th – 30th September 2021 |
|------|-----------|------------|-----------------------------|
| | | Venue | NEC, Birmingham |
**ORDERS RECEIVED AFTER 25TH SEPTEMBER 2021 WILL INCUR A 20% SURCHARGE**
| Hall/Stand No | Company | Contact Name | Invoice Address |
|---------------|---------|--------------|-----------------|
| | | | |
| | | | |
| | | | |
| Telephone | | Post Code | |
| Email | | Signature | |
To place your order online, please visit [https://ordering.ges.com/000030109](https://ordering.ges.com/000030109) or email your order form to [email@example.com](mailto:firstname.lastname@example.org).
To order by phone:
T: +44 (0) 2476 380 180
### CODE | QTY | DESCRIPTION | PRICE | TOTAL
---|---|---|---|---
CLAD3 | | Painted MDF cladding to the interior of stand – order will not be placed without Dulux paint reference number (Colour ____________) price per m | £127.31 |
CLAD1 | | Unfinished MDF cladding to interior of stand | £95.09 |
CLAD2 | | White melamine cladding fitted to interior of stand – can’t be painted price per m | £95.09 |
LNW | | Cover existing shell scheme panel (2.5mH x 1mW) in Loop nylon (colour: ) You will need only hook fastening to affix posters | £61.34 |
XFW | | Cover existing shell scheme panel (2.5mH x 1mW) in Vinyl Covering (X-Film) (colour: ) You will need hook & loop fastening to affix posters | £61.34 |
WP | | Additional WALL PANEL 2.5mH x 1mW (Match shell scheme) | £76.64 |
EWC | | ENTRANCE WAY CURTAIN 2.5mH x 1mW (colour: ____________) | £92.01 |
EWDL | | LOCKABLE DOOR with 2 keys (Left Hinged) | £138.06 |
EWDR | | LOCKABLE DOOR with 2 keys (Right Hinged) | £138.06 |
FS | | White melamine FLAT SHELF 1mW x 300mmD | £37.95 |
SS | | White melamine SLOPING SHELF 1mW x 300mmD | £38.81 |
SA | | STORAGE AREA in the corner of your shell scheme. Using 1 x wall panel (2.5mH x 1mW). 1 lockable door section and a set of coat hooks | £199.44 |
DP1 | | 1m x 1m chipboard PANEL covered in loop nylon (colour ____ ) | £61.34 |
NS | | NIGHT SHEET including padlocks (price per metre run) | £23.36 |
WT | | WORK TOP 1m x 1m x 500mm, white with open base | £76.64 |
GHR | | Hanging rail 25mm diameter (1m long with rail set 280mm from wall) | £37.96 |
SIU | | SINK UNIT (excluding water and waste) 1m x 1m x 500mm deep | £191.28 |
CP | | Computer Plinth 1m x 500mm x 500mm white with cable hole | £92.02 |
CS | | CORNER SHELF 1m x 1m 1.4m across set in corner of Shell | £58.43 |
WB | | Wooden Battening fixed between uprights for stapling/nailing to, £/m | £11.68 |
WMC | | White MUSLIN CEILING (price per square metre) stand size: ___m x ___m | £15.30 |
FF | | 18mm FLOORING PLY direct to carpeted venue (price per m²) | £18.42 |
SWW | | Slat walling White – 1m wide x 2.4m high panel | £135.46 |
SWB | | Slat walling Black – 1m wide x 2.4m high panel | £135.46 |
SWBE | | Slat walling Beech – 1m wide x 2.4m high panel | £135.46 |
SWO | | Slat walling Oak – 1m wide x 2.4m high panel | £135.46 |
SWG | | Slat walling Grey – 1m wide x 2.4m high panel | £135.46 |
PB2 | | Peg Board – 1m wide x 2.5m high panel (does not include hooks) | £79.04 |
SRP | | 100mm high PLATFORM laid to floor, black painted skirting, £/m² PRICE DOES NOT INCLUDE CARPET | £29.90 |
**All orders must be accompanied by a diagram showing location and relevant information in connection with your order. Orders will not be accepted without this information.**
(Please see grid location form on the following page).
| Sub total | VAT 20% | TOTAL |
|-----------|---------|-------|
---
- Upon receipt of the form, our team will send you an official invoice with payment information
- At the onsite GES Service Desk we are unable to accept cash for orders placed on site.
- A £25.00 fee per invoice will be charged for any contact or address changes made after receipt of the invoice.
- Cancelled orders may incur a charge for up to 100% of total costs
- Please note that your order is only processed if payment is received 15 days prior to opening of the show.
- For full terms and conditions please refer to [https://www.ges.com/eu/terms-and-conditions](https://www.ges.com/eu/terms-and-conditions).
- To chat online with an Exhibitor Service Co-ordinator, please go to [http://www.ges.com/eu/exhibitors/servicentre](http://www.ges.com/eu/exhibitors/servicentre), scroll down and click on the Online Chat icon, which is linked to the Live Chat.
Shell Scheme Extras Order Form & Grid Plan Form
| Show | interplas |
|------|-----------|
| Show Dates | 28th – 30th September 2021 |
| Venue | NEC, Birmingham |
ORDERS RECEIVED AFTER 25TH SEPTEMBER 2021 WILL INCUR A 20% SURCHARGE
Grid Plan
| Company Name | |
|--------------|---|
| Hall/Stand No | |
| Do you have a raised floor? | YES / NO |
| Platform height is | cm |
| Dimensions of stand: | m x m |
To place your order online, please visit https://ordering.ges.com/000030109 or email your order form to email@example.com.
To order by phone:
T: +44 (0) 2476 380 180
Use the grid plan below (birds-eye view) to specify the layout of your stand so we can position your items according to your requirements. Please draw your shell scheme stand into the grid plan and add your ordered items to it.
↑ Neighbouring Stand No:
↓ Neighbouring Stand No:
Height from floor of shelving, rails, etc. (if applicable)
Item code: mm from floor
Item code: mm from floor
Item code: mm from floor
Item code: mm from floor |
Antiproliferative and apoptotic effects of Spanish honeys
Paloma Morales, Ana Isabel Haza
Department of Food Nutrition and Technology, Veterinarian Faculty, Complutense University, Madrid, Spain
Submitted: 19-04-2012 Revised: 27-06-2012 Published: 11-06-2013
ABSTRACT
Background: Current evidence supports that consumption of polyphenols has beneficial effects against numerous diseases mostly associated with their antioxidant activity. Honey is a good source of antioxidants since it contains a great variety of phenolic compounds.
Objective: The main objective of this work was to investigate the antiproliferative and apoptotic effects of three crude commercial honeys of different floral origin (heather, rosemary and polyfloral honey) from Madrid Autonomous Community (Spain) as well as of an artificial honey in human peripheral blood promyelocytic leukemia cells (HL-60).
Material and Methods: HL-60 cells were cultured in the presence of honeys at various concentrations for up to 72 hours and the percentage of cell viability was evaluated by MTT assay. Apoptotic cells were identified by chromatin condensation and flow cytometry analysis. ROS production was determined using 2',7'-dichlorodihydrofluorescein diacetate (H₂DCFDA).
Results: The three types of crude commercial honey induced apoptosis in a concentration and time dependent manner. In addition, honeys with the higher phenolic content, heather and polyfloral, were the most effective to induce apoptosis in HL-60 cells. However, honeys did not generate reactive oxygen species (ROS) and N-acetyl-L-cysteine (NAC) could not block honeys-induced apoptosis in HL-60 cells.
Conclusion: These data support that honeys induced apoptosis in HL-60 cells through a ROS-independent cell death pathway. Moreover, our findings indicate that the antiproliferative and apoptotic effects of honey varied according to the floral origin and the phenolic content.
Key Words: Antioxidants, Antiproliferative, Apoptosis, Honey, Reactive oxygen species
INTRODUCTION
Consumption of certain dietary components have been related to several protective effects against certain forms of cancer and cardiovascular disease likely because of their antioxidant content.[1] Traditionally honey has been a sweetening agent used since long time both in medical and domestic applications.[2] However, several aspects of its use indicate that honey also functions as a food preservative and exhibits antioxidant, chemopreventive, antiatherogenic, immunoregulatory, antimicrobial and wound healing properties.[3,4]
The components in honey responsible for its antioxidative effects are mainly flavonoids, phenolic acids, catalase, peroxidase, carotenoids and non-peroxidial component.[5] The quantity of these components varies greatly according to the floral and geographical origin, processing, handling and storage.[6] However, the botanical origin of honey has the greatest influence on its antioxidant activity. In fact, considerable differences in both composition and content of phenolic compounds have been found in different unifloral honeys. Also, the phenolic and flavonoid contents of honey have been reported as a specific marker for the botanical origin.[7-9]
Most of the drugs used in the cancer treatment are apoptotic inducers and polyphenols were reported to have antiproliferative potential.[10] Apoptosis or programmed cell death, is now recognized as a vital process in the regulation of tissue development and homeostasis.[11] The induction of apoptosis in tumor but not in normal cells is considered very useful in the management and therapy of cancer.[12] Thus, apoptotic screening in vitro provide important preliminary data to help select natural product with potential antineoplastic properties for future study.
Many studies have supported that apoptosis can be initiated by oxidative stress, which is mediated by the generation of reactive oxygen species (ROS). Moreover, alterations in the redox status of the cell to a more oxidizing environment occurs prior to the final phase of caspase activation in many model of apoptosis.[13] Recent results showed...
honey as a plausible candidate for induction of apoptosis through ROS and mitochondria-dependent mechanism in colon cancer cells.\textsuperscript{[14]} In addition, since the composition of honey varies widely in relation to its botanical origin and environmental factors, it can be reasonably expected that honey properties from different floral sources are different.
The aim of the present study was to evaluate the antiproliferative and the apoptotic effects of three crude commercial honeys of different floral origin from Madrid Autonomic Community (Spain) as well as of an artificial honey, using a human tumor leukemia cell line (HL-60) as a model system. To our knowledge this is the first time that Madrid Autonomic Community honeys have been tested against HL-60 cells. Further we evaluated the possible molecular mechanism of honey induced apoptosis in HL-60 cells.
**MATERIALS AND METHODS**
**Chemicals**
Sucrose, maltose, fructose and glucose were purchased from PanreacChimica, S.A. (Barcelona). Etoposide, N-Acetyl-L-cysteine (NAC) and ethidium bromide were purchased from Sigma-Aldrich, Inc. (St. Louis, MO). Hoechst 33342 and 2', 7'-dichlorodihydrofluorescein diacetate (H\textsubscript{2}DCFDA) were obtained from Molecular Probes (Eugene, Oregon, USA). All other chemicals and solvents were of the highest grade commercially available.
**Honey samples**
The type and region of the honey samples, as well as the family, scientific and common name of the plants that form the basic flora of the honey samples, are shown in Table 1. According to Serea et al.\textsuperscript{[15]} a honey is classified as unifloral if it contains pollen in quantities exceeding 45% on the remaining pollen identified. In any other case a honey sample is characterized as polyfloral. Commercialized honeys (Honey Antonio Simon) were obtained from a single experienced producer who provided the three authentic samples: Rosemary and heather honeys as unifloral and a polyfloral honey.\textsuperscript{[16-18]} A sugar analogue (an artificial honey whose composition reflects the approximate sugar composition of honey) was used to check whether the main sugar components interfere in the assays. The artificial honey (100g) was prepared by dissolving 1.5g sucrose, 7.5g maltose, 40.5g fructose and 33.5g glucose in 17ml of distilled water and the solution was mixed for 1 hour. The desired amounts of polyfloral, heather, rosemary and artificial honey (w/v) were weighed and diluted in sterile distilled water. The honey solutions were made up to 1% (w/v) and rendered sterile by Millipore filtration (0.2 µm).
**HL-60 cells**
Human peripheral blood promyelocytic leukemia cells (HL-60) were obtained from the Biology Investigation Centre Collection (BIC, Madrid) and maintained in RPMI 1640 medium supplemented with 10% v/v heat-inactivated foetal calf serum, 50 g/mL streptomycin, 50 UI/mL penicillin and 1% v/v L-Glutamine at 37°C in a humidified atmosphere of 5% CO\textsubscript{2}. Culture medium and supplements were purchased from Gibco Laboratories (Life Technologies, Inc., Gaithersburg, MD 20884-9980). Controls included a medium control without honey as negative control. Etoposide has been extensively studied and was used in this study as a positive control (5 µM) of apoptosis.\textsuperscript{[19]}
**Cell proliferation assay (MTT)**
Viability of honeys treated HL-60 cells was assessed by MTT 3-(4,5-dimethylthiazol-2-yl)-2,5-diphenyltetrazolium bromide) assay (Cell Proliferation Kit I, Roche, Indianapolis, USA). Briefly, HL-60 cells were plated at a density of 1×10\textsuperscript{6}cells/mL culture medium. After seeding, concentrations of honeys (1-250mg/mL) were added and plates were incubated for 24, 48 and 72 hours. The optical density (OD) of each well was read at 620nm (test wavelength) and 690nm (reference wavelength) by an ELISA with a built-in software package for data analysis (iEMS Reader MF, Labsystems, Helsinki, Finland). Values presented in this paper are means ± standard error of the mean. Cell survival in exposed cultures relative to unexposed cultures (negative control) was calculated and expressed as percentage of
| Table 1: Honey Samples |
|------------------------|
| **Honey Type** | **Scientific name (Family)** | **Common name** | **Organoleptic Characteristics** | **Production zone: Autonomic Community of Madrid** |
| Unifloral | *Rosmarinus officinalis* (Lamiaceae) | Rosemary Honey | Aroma with floral and fresh notes, mild flavor, light color \textsuperscript{[16]} | El Atazar, Torres de la Ladera, Alcalá de Henares |
| Unifloral | *Erica arborea* (Ericaceae) | Heather Honey | Ripe fruit and spicy aroma, dark color \textsuperscript{[17,18]} | El Atazar, Prádena de la Sierra, Montejo de la Sierra |
| Polyfloral | | Polyfloral Honey | | Zarzalejo, La Cabrera, Alcalá de Henares, Torres de la Ladera, Colmenar Viejo, Serranillos, El Vellón, Patones |
survival (%SDH activity) = \((A_1 / A_0) \times 100\), where \(A_1\) is the absorbance of exposed cultures and \(A_0\) is the absorbance of negative control. All the concentrations were tested in 16 replicates and the experiments were repeated three times.
**Chromatin condensation assay**
HL-60 cells \((1 \times 10^6/mL)\) were treated with 25 or 50 mg/mL of each honey for 24 and 48 hours. After treatments, cells were stained with Hoescht 33342 (100 mg/mL) and ethidium bromide (20 mg/mL) for 5 minutes and observed by fluorescence microscopy (Axiostar plus microscope, Zeiss). A total of 200 cells were counted in multiple randomly selected fields, and the percentage of apoptotic cells was then calculated.
**Annexin V/propidiumiodide (PI) assay**
Apoptotic cells were detected using Vibrant Apoptosis Assay Kit #2 (Molecular Probes, Eugene, Oregon, USA). HL-60 cells were treated with 25 or 50 mg/mL of each honey for 24 and 48 hours. When N-Acetyl-L-cysteine (NAC) was used, cells were pre-incubated with 20 mM NAC for 1 hour and then exposed to 50 mg/mL of each honey for 48 hours. Briefly, after treatment \(1.5 \times 10^5\) cells were resuspended in 100 mL 1× annexin binding buffer and incubated with 4 mL of Alexa Fluor 488 annexin V and 8 mL of PI (10 mg/mL) for 15 minutes at room temperature. After the incubation period, the cells were washed with 300 mL of 1× annexin-binding buffer, mixed gently and kept the samples on ice. The cells were analysed by flow cytometry using a FACS Calibur flow cytometer (Beckton Dickinson) and the CellQuest software. For each experiment \(10^4\) cells were analyzed.
**Reactive oxygen species (ROS) assay**
ROS production was determined using 2′,7′-dichlorodihydrofluorescein diacetate (\(H_2\)DCFDA). For these experiments, HL-60 cells were cultured in RPMI 1640 without phenol red and without foetal calf serum and subsequently were treated with 50 mg/mL of each honey or NAC (20 mM) for different time intervals (0.25–24 hours). Then, \(3 \times 10^5\) cells were washed with PBS loaded for 30 minutes with \(H_2\)DCFDA (10 mM) and incubated in a waterbath (37°C). The cells were kept on ice and fluorescence intensity was read immediately with FACS Calibur flow cytometer (Becton and Dickinson) and the CellQuest software. For each experiment \(10^4\) cells were analyzed.
**Statistical analysis**
The Student’s t test was used for statistical comparison and the differences were considered significant at \(P \leq 0.05\). Tests were performed with the software package Statgraphics Plus 5.0.
**RESULTS**
**Antiproliferative activity of honey samples in HL-60 cell line**
The effects of heather, rosemary, polyfloral and artificial honey exposure on HL-60 cell survival at different incubation periods (24–72 hours) and different concentrations (1–250 mg/mL) were assessed by the MTT assay [Figure 1]. Doses lower than 25 mg/mL did not affect cell viability. However, treatment of HL-60 cells with 50 mg/mL for 72 hours caused a significant inhibitory effect on the proliferation of HL-60 cells greater than 70% for heather honey [Figure 1a] and 60% for polyfloral honey [Figure 1c].
The highest antiproliferative activity was found after treatment for 72 hours with 100–250 mg/mL of heather [Figure 1a, 11.9–7.1% of survival, respectively], rosemary (Figure 1b, 22.4–21.7% of survival, respectively), polyfloral (Figure 1c, 23.8–2.4% of survival, respectively) and artificial honey (Figure 1d, 29.0–22.0% of survival, respectively).
**Analysis of morphological changes induced by honey samples**
As shown in Table 2, nuclear chromatin condensation was observed in 44.6% cells treated for 24 hours with 50 mg/mL of heather honey. After 48 hours treatment the percentage of apoptotic cells treated with 25 mg/mL of heather honey was 45.1% and 48.1% for polyfloral honey. When the cells were incubated with 50 mg/mL of rosemary or artificial honey for 48 hours, the percentage of apoptotic cells was around 50.0%–31.1%, respectively. Finally, the percentage of apoptotic HL-60 cells obtained with the highest concentration (50 mg/mL) of heather or polyfloral honey for 48 hours (70.4%–78.5%, respectively) was similar to that obtained with etoposide (5 μM, 72.3%).
![Figure 1: Antiproliferative effects of heather (a), rosemary (b), polyfloral (c) and artificial honey (d) in HL-60 cells by MTT assay. Cells were cultured with different concentrations of each honey type for 24 (□), 48 (■) and 72 (■) hours. C0, HL-60 cells without honeys. Asterisks indicate significant difference from control. *\(P < 0.05\), **\(P < 0.01\), ***\(P < 0.001\)]
**Annexin V/PI assay**
HL-60 cells were exposed to 25 and 50 mg/mL honeys for 24 and 48 hours and then labelled with Alexa Fluor 488 annexin V and PI. The results are expressed as percentage of apoptotic cells (annexin V-positive and PI-negative) over the total cells. The short time treatment (24hours) with 50mg/mL of heather honey [Table 3] induced a 40.5% of apoptotic cells. After 48hours treatment a marked percentage of apoptotic cells was noted with 5 µM etoposide (57.8%) and 25 mg/mL of heather or polyfloral honey (41.9%-55.8%, respectively). The 48 hours treatment with 50 mg/mL of rosemary or artificial honey significantly elevated the proportion of apoptotic cells (45.5%-36.2%). According to Table 3, the major increase in the number of apoptotic cells was apparent with 50mg/mL heather or polyfloral honey (about 74%) after 48 hours incubation.
**Effect of NAC on honeys-induced apoptosis**
To explore the role of ROS on apoptosis induced by honeys, HL-60 cells were pre-incubated with the antioxidant NAC (20 mM) for 1 hour before exposing to 50 mg/mL of each honey for 48 hours and the percentage of apoptotic cells was measured by flow cytometry using Annexin V and PI. As shown in Figure 2, NAC pretreatment caused a significant increase in the percentage of apoptotic cells (26.2%), and therefore the percentage of apoptosis was not reduced in the subsequent combined treatment with the honeys. For instance, in combined treatments the percentage of apoptotic cells increased from 73.9% to 90.7% (heather honey), from 45.5% to 83.4% (rosemary honey), from 74.4% to 85.6% (polyfloral honey) and from 36.2% to 60.3% (artificial honey). These results suggest that there might be not ROS production in honeys-treated cells.
To confirm this, after treatment of HL-60 cells with the honeys (50 mg/mL) or NAC, DCF fluorescence was measured by flow cytometry and expressed as percentage of control. As shown in Figure 3, honeys did not significantly increase the intracellular ROS levels at the indicated ranges of concentrations and times. On the contrary, a significant time-dependent decrease of ROS levels was observed in honeys and NAC treated cells compared with the untreated cells, reaching the minimum signal after 24 hours. A slight increase of ROS levels was only found in rosemary treated
---
**Table 2: Effects of honey samples on apoptosis in HL-60 cell line evaluated using Hoescht 33342 and Ethidium Bromide**
| Treatment (hours) | Control<sup>a</sup> | Etoposide<sup>b</sup> | % Apoptotic cells |
|-------------------|---------------------|----------------------|-------------------|
| | | | Concentration of Honey (mg/mL) |
| | | | Heather | Rosemary | Polyfloral | Artificial |
| 24 | 9.8±2.1 | 3.5±3.9*** | 19.0±1.0 | 44.6±2.9*** | 14.3±1.1 | 23.1±1.8* | 28.3±2.6** | 30.0±0.4*** | 18.9±0.8 | 29.5±1.7** |
| 48 | 12.7±1.7 | 72.3±2.3*** | 45.1±2.3*** | 70.4±2.5*** | 17.8±3.1 | 50.0±3.2*** | 48.1±2.9*** | 78.5±2.9*** | 21.8±0.6* | 31.1±3.6*** |
Data shown are mean ± SD (n=4), <sup>a</sup>HL-60 cells without honey, <sup>b</sup>Etoposide treated HL-60 cells (5 µM), Asterisk indicate significant difference with respect to the control: *P ≤ 0.05, **P ≤ 0.01, ***P ≤ 0.001
---
**Table 3: Effects of honey samples on apoptosis in HL-60 cell line evaluated using Anexin V/P assay**
| Treatment (hours) | Control<sup>a</sup> | Etoposide<sup>b</sup> | % Apoptotic cells |
|-------------------|---------------------|----------------------|-------------------|
| | | | Concentration of Honey (mg/mL) |
| | | | Heather | Rosemary | Polyfloral | Artificial |
| 24 | 13.0±1.3 | 31.1±2.5*** | 19.4±1.1 | 40.5±1.0*** | 15.8±0.4 | 25.7±2.2* | 24.6±2.6* | 34.5±2.9*** | 15.1±2.0 | 27.1±4.3** |
| 48 | 15.7±0.6 | 57.8±2.8*** | 41.9±2.3*** | 73.9±4.8*** | 29.9±1.2 | 45.5±1.9*** | 55.8±0.7*** | 74.4±2.9*** | 21.3±0.6 | 36.2±2.9*** |
Data shown are mean ± SD (n=4), <sup>a</sup>HL-60 cells without honey, <sup>b</sup>Etoposide treated HL-60 cells (5 µM), Asterisk indicate significant difference with respect to the control: *P ≤ 0.05, **P ≤ 0.01, ***P ≤ 0.001
cells for 0.25 h and it was reduced after 0.5 hours. The lowest ROS levels were found in honeys (heather and polyfloral, 52% of reduction; rosemary, 46% of reduction) and NAC (82% of reduction) treated cells for 24 hours.
**DISCUSSION**
The present study was undertaken with the goal to determine the antiproliferative and the apoptotic effects, of three crude commercial honeys of different floral origin from Madrid Autonomic Community (Spain) as well as of an artificial honey (sugar analogue) in a leukemia cell line (HL-60). To our knowledge, no previous investigation has been done on the anticancer properties of these honeys towards HL-60 cell line.
Artificial honey was found to have a weaker anticancer effect than the three commercial honeys. Thus, sugars are not the only anticancer honey components. Moreover in our study, the ability of the three types of honey of different floral origin to induce apoptosis was different. The heather (unifloral) and the polyfloral honey samples were the most effective to induce apoptosis [Table 3]. At 48 hours, 50 mg/mL heather or polyfloral honey induced about 74% of apoptotic cells while rosemary and artificial honeys induced 46%-36% of apoptotic cells, respectively. In a previous work, we determined the total soluble phenolic contents of these tested commercial honeys with Folin-Ciocalteu reagent according to the method of Slinkard and Singleton by using ± catechin as a standard.\[21,22\] Our results showed that the total phenolic substances were higher in the heather honey (105 mg catechin/100 g of honey), than in the polyfloral (92 mg catechin/100 g of honey) and rosemary honey (44 mg catechin/100 g of honey). Previous studies have also shown that rosemary honey has lower phenolic content than heather and heterofloral honey.\[23,24\]
Our results clearly demonstrated that the three types of honey from different floral origin induced apoptosis in a concentration and time dependent manner in HL-60 cells. This data is consistent with previous studies that indicate that honey induces apoptosis in human bladder (T24, RT4, 253), and MBT-2), colon (HCT 15 and HT-29) and prostate (PC-3) cancer cell lines.\[25-28\] *Tualang* honey caused time and dose dependent cell death of human breast (MCF-7 and MDMA-MB-231) and cervical (HeLa) cancer cells.\[29\] Greek honey extracts also inhibited cell viability on human prostate and endometrial cancer cells.\[30\]
The results obtained imply that phenolic substances present in the honey samples, may act as potential chemopreventive agents with respect to inhibition of the proliferation of human leukemia cells through the induction of apoptosis *in vitro*. These findings are in agreement with Jaganathan and Mandal who reported that honeys with higher phenolic content were more potent in apoptosis induction in colon cancer cells.\[26\] Also, honey containing higher phenolic content was found to significantly inhibit the growth of Ehrlich ascites carcinoma as compared to other samples.\[31\] Acacia honey-induced cytotoxicity in human (A375) and murine (B16-F1) melanoma cell lines was suggested to be attributed to the presence of chrysin (5,7-dihydroxyflavone).\[32\] Therefore honey phenolic compounds such as caffeic acid, caffeic acid phenyl ester, chrysin, galangin, quercetin, acacetin, kaempferol, pinocembrin, pinobanksin and apigenin are an important group of substances regarding the anticancer properties of honey.\[33\] Recently, it has been shown that honey contains bioactive compounds that inhibit the proliferation of a human prostate cell line (PC-3) through induction of apoptosis. These results also suggest that the antiproliferative effects of honey are mainly due to chrysin.\[28\]
A role for oxidative stress in apoptosis has been shaped by the ability of cellular antioxidants to block apoptosis. NAC has been recognized as potential antioxidant capable of inhibiting apoptosis induced by ROS in HepG2 cells.\[34\] Honeys did not generate ROS and therefore NAC did not block apoptosis in HL-60 cells. These data indicate that the apoptosis induced by honey may be independent of ROS generation. However, Jaganathan and Mandal showed that honeys from India induced apoptosis through ROS and mitochondria-dependent mechanism in colon cancer cells.\[14\] Recently, Fauzi et al. have revealed the involvement of mitochondrial pathway in *tualang* honey-induced apoptosis of breast and cervical cancer cells.\[29\] Honey induced apoptosis in human colon cancer cell lines was associated with the activation of caspase-3 and DNA laddering.\[26\] The sensitization effect of chrysin on tumor necrosis factor-alpha (TNF-α)-induced apoptotic cell death is mainly achieved through enhanced activation of caspase 8, the initial caspase in the death receptor signaling pathway that typically induces apoptosis.\[35\]
Numerous studies *in vivo* have demonstrated the benefits of bee honey in cancer.\[36\] Animal studies indicate that honey possesses moderate antitumor and pronounced antimetastatic effects. These effects may be related to the biologically active compounds of honey, that inhibit tumor cell proliferation and transformation by the down regulation of many cellular pathways.\[37\] The clinical value of honey in cancer patients was recently reviewed. Honey has been found to be effective for radiation-induced oral mucositis, stomatitis, periodontal, gum disease, radiotherapy-induced skin reactions, malignant ulcers, external surgical wounds and infected lesions in pediatric oncology patients.\[38\]
Taken together our results support that the anticancer effect of honey varied according to the floral origin and the phenolic content. Moreover, our data indicate that honeys induce apoptosis in HL-60 cells through ROS-independent pathway. We suggest that honeys from Madrid Autonomic Community (Spain), especially heather (unifloral) or polyfloral honey, may be used as an alternative to sugar promoting the health of consumers. Detailed investigation of mechanism behind the honey-induced apoptosis in HL-60 cells is in progress in our laboratory.
**ACKNOWLEDGMENTS**
This work has been supported by Grant AGL2008-00292/ALI from the Ministerio de Ciencia e Innovación (Spain) and by Grant 910177 from Programa de Creación y Consolidación de Grupos de Investigación BSCII-UCM.
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Cite this article as: Morales P, Haza Al. Antiproliferative and apoptotic effects of spanish honeys. Phcog Mag 2013;9:231-7.
Source of Support: supported by Grant AGL2008-00292/ALI from the Ministerio de Ciencia e Innovación (Spain) and by Grant 910177 from Programa de Creación y Consolidación de Grupos de Investigación BSCH-UCM. Conflict of Interest: None declared. |
The Emergence of Dorsal Stops after High Vowels in Huishu*
DAVID MORTENSEN
University of California, Berkeley
0. Introduction
Huishu, a Tibeto-Burman language of Manipur belonging to the Tangkhul group, features an unusual sound change in which dorsal stop codas are inserted after high vowels in open syllables. Thus PTB *sɔy > PTk > *kɔ.thi > Huishu kɔ.tik ‘to die’. This development seems both formally and functionally aberrant: epenthesis usually inserts vowels, and consonant epenthesis, when it does occur, usually inserts glides (Blevins to appear).\(^1\)
I propose that this change and others like it were not motivated by either formal or functional factors. Rather, they result from the conjunction of aerodynamic, acoustic, and perceptual facts, which lead to a systematic misperception (and thus, misinterpretation) of the forms involved in these innovations. This model, I argue, is able to account not only for the general facts surrounding the emergence of consonants after high vowels, but is also able to account for specific facts of this phenomenon in Huishu.
1. Huishu
Huishu is spoken by a few thousand individuals in Huishu village and the surrounding area in Ukhrul District, Manipur State, India. It is a member of the closely related family of languages spoken by the Tangkhuls (also called the Tangkhul Nagas). The position of this family of languages within the larger Tibeto-Burman family has not yet been settled, but some evidence suggests that it may be close to Kuki-Chin, Zeliangrong, or both (Mortensen 2003).
Proto-Tangkhul (PTk; Mortensen 2003), in addition to nasal codas (*-m, *-n, and *-ŋ) and liquid codas (*-r and *-l) had the stop codas *-p, *-t, and *-k. In pre-
*This paper owes a debt to many individuals including James Matisoff, Larry Hyman, John Ohala, Sharon Inkelas, Juliette Blevins, Takumi Ikeda, Andrew Garret, and Gary Holland. It is likely that none of these individuals agrees completely with the arguments presented in this paper, and none of them is responsible for its errors and shortcomings, but each of them shaped—in some way—its central ideas. I also owe a special debt to Jonathan and Rufus Zingkai, who provided the Huishu data upon which my argument depends.
\(^1\)An important exception to this generalization is eclipsis; see Hock (1991:122–123)).
Huishu, all instances of PTk *-t and *-k became **-ʔ, as did *-p after low vowels (*a and *e). This left pre-Huishu with a two-way stop-coda contrast between **-p and **-ʔ.
Subsequently, dorsal stop codas emerged after high vowels in open syllables. Thus the pre-Huishu rhymes **-i and **-u (< PTk *-i and *-u/*-i) became /-ik/ [icʰ] and /-uk/ [ukʰ]. All instances of /k/ in modern Huishu reflect these emergent or epenthetic stops. There are now open syllables containing high vowels, but these are all the result of a (rather complicated) set of later sound changes and they seem never to reflect PTk high vowels.
The data showing the development of these stops—a process that is almost perfectly regular—are quite plentiful, since the PTk rhymes *-i and *-u were among the most common in the language. The following table gives the Huishu data along with cognate forms from Standard Tangkhul and Kachai (another Tangkhul language), reconstructed forms for PTk,\(^2\) and Proto-Tibeto-Burman reconstructions (PTB; Benedict 1972; Matisoff 2003).
| | PTB | PTk | Tangkhul | Kachai | Huishu |
|---|---------|---------|----------|-----------|--------------|
| [1] | ‘blood’ | *s-hywɔy | *ʔa.fi | ?à.fi | ?ā.sè |
| [2] | ‘blow’ | — | *ka.mo.ri| khɔ.mɔ.ri | — |
| [3] | ‘comb’ | *si | *rik-si | rik-si | rɛk-se |
| [4] | ‘die’ | *sɔy | *ka.thi | kɔ.thi | — |
| [5] | ‘fear’ | *kri | *ka.nyɔ.ci| khɔ.nyɔ.ci | khɔ.nyɔ.tsɛ |
| [6] | ‘four’ | *b-loy | *pɔ.li | mɔ.ti | pà.tsɛ |
| [7] | ‘horn’ | — | *ʔa.nyɔ.ci| ?à.nyɔ.ci | ?à.nyɔ.tsɛ |
| [8] | ‘medicine’ | *r-tɔɔy | *ʔa.ri | ?à.ri | ?à.re |
| [9] | ‘mother-in-law’ | — | *ʔa.ni | ?a.ni | ?a.nɛ |
| [10]| ‘one’ | — | *ka.si | — | kà.sɛ |
| [11]| ‘salt’ | *tsyi | *mo.ci | mɔ.tsɛ | ?à.mà.tsik |
| [12]| ‘seven’ | *s-nis | *ci.ni | fí.ni | fí.nɛ |
| [13]| ‘two’ | *g-nis | *khɔ.ni | khɔ.ni | khɔ.nɛ |
| [14]| ‘bone’ | *g-rus | *ʔa.ru | ?a.ru-kuj | ?à.rɛ |
| [15]| ‘breast’| *nɔw | *ʔa.nu | ?à.nu | nɛ-tɛ |
| [16]| ‘carry (on shoulders)’ | — | *ka.nyɔ.wu| khɔ.nyɔ.vu | kà.he |
| [17]| ‘grandchild’ | — | *tu | ?à.ru | ĩ-õẽ |
| [18]| ‘insect’ | — | *ʔa.khu | ?à.ku | ?à.khɛ |
| [19]| ‘tie’ | — | *ka.mo.su | khɔ.mɔ.sú | khɔ.mɔ.sĩ |
| [20]| ‘dog’ | *kʷɔy | *hwı | fu | ?à.hwi |
| [21]| ‘egg’ | *har-ɔɔy| *har-ri | hɛr-ru | hɛr-ɔĩ |
| [22]| ‘laugh’ | *m-nwɔy | *ka.mo.ni | khɔ.mɔ.nu | khɔ.mɔ.ni |
| [23]| ‘water’ | *tɔy | *-ri | tɛ-ru | tũg-ɔĩ |
\(^2\)The reconstructions given here are identical to those in Mortensen (2003), with one difference: the rhyme previously reconstructed as *-uj (the reflex of PTB *-ɔy) is here given the more plausible reconstruction *-i.
The above data gloss over some important phonetic facts about these non-etymological velar stops. While all of these stops have been transcribed above as /k/, phonetically they differ according to the preceding vowel: /uk/ is realized with a velar stop, but /ik/ is realized with a palatal stop (not unlike the velar stops in English). Furthermore, unlike Huishu /-p/ (and in fact, the coda obstruents of most Tibeto-Burman languages in the India-Burman borderlands region), Huishu dorsal stop codas are produced with an audible release, which—at times—is accompanied by very noticeable frication. They sound rather like the aspirated stops that occur as onsets in Huishu.
The same type of development shown here in Huishu is attested in a number of other languages and language families.
2. **Lom (Belom)**
Lom is an unclassified Austronesian language of Bangka (an island off the east coast of Sumatra, approximately 200 miles to the south of Singapore; Blust 1994).\(^3\) In Lom, the dorsal stops /-c/ and /-k/ have intruded after word-final Proto-Austronesian (PAN) high vowels:
| PAN | Lom |
|-------|--------|
| [24] | *waRi | aric |
| [25] | *isi | isic |
| [26] | *laki | lakeik|
| [27] | *beli | melic |
| [28] | *Caqi | taic |
| [29] | *qabu | abek |
| [30] | *au | aok |
| [31] | *asu | asek |
| [32] | *batu | batek |
| [33] | *bubu | bubek |
| [34] | *bulu | bulek |
| [35] | *taRu | tarok |
| [36] | *qulu | ulek |
3. **Singhi**
Singhi, also an Austronesian language, is a Land Dyak language of Sarawak on Borneo. In Singhi, obstruents have also developed after word final high vowels, but they are fricatives rather than stops. Pre-Singhi **-i > Singhi /-is/ while Pre-Singhi **-u > /-ux/ (Blust 1994).
| PAN | Singhi |
|-------|------------|
| [37] | *qubi | bis |
| [38] | *besi | bosis ‘small axe’ |
| [39] | *iti | itis |
\(^3\)Thanks to Juliette Blevins for directing me to Blust (1994), where Lom and Singhi are discussed.
4. **Maru (Langsu)**
Maru (known in the Chinese literature as Langsu) is a Burmish language of Northern Burma (Kachin State) and Southern China (Yunnan Province). Burling (1966) argued persuasively, on tonal evidence, that some of the stop codas of Maru (which he transcribed as /-t/ and /-k/) were a secondary development. This same argument was made earlier by Benedict (1948), and Burling’s /-t/ and /-k/ developed regularly after the reflexes of Proto-Tibeto-Burman (PTB) *-oy and *-ow (as reconstructed by Benedict), which appear to have become the high vowels **-i and **-u in pre-Maru. See the following comparisons between Maru, the closely related language Atsi (Burling 1966), Written Burmese (WB), and PTB (Matisoff 2003):
| | PTB | WB | Atsi | Maru |
|---|---------|-------|------|------|
| [49] | *sɔy | se | ši | šit |
| [50] | *krɔy | khre | khyí | khyit|
| [51] | *rɔy | re | — | yit |
| [52] | *qyɔy | kyê | ji | jít |
| [53] | *klɔy | khyê | khyì | khyít|
| [54] | *krɔw | khruı | khyúı | khyúk|
| [55] | *pɔw | ɲui | njau | ɲùk |
| [56] | *mɔw | muiı | mäuı | muk |
| [57] | *rɔw | ruiı | vuiı | yùk |
| [58] | *kɔw | mi-khui | khàu | khúk |
| [59] | *kɔw | khuiı | khàu | khúk |
| [60] | *pɔw | ?əphui | phàu | phúk |
It is interesting to note that the secondary stop that Burling (1966) transcribes as /-t/ is always transcribed as /-k/ by Chinese linguists (Sun 1991; Dai & Huang 1992). This may be due either to a sound change that changed all instances of *-it to /-ik/, or to the conservation of the original place of articulation in Maru dialects spoken in China but not the dialects spoken in Burma (where Burling did his Maru field work). It is most plausible that both Burling’s /-t/ and the /-k/ of Chinese linguists are reflexes of an original **-c similar to that found in Huishu and Lom.
5. **Momo and Fomopea**
The Momo group of Grassfields Bantu languages display an innovation similar to the others discussed here (Stallcup 1978:124–132).\(^4\) Epenthetic /k/s appear after
\(^4\)Thanks to Larry Hyman for alerting me to the existence of this case and that of Fomopea.
what must have been high vowels historically. The same development occurred (apparently independently) in Fomopea, a language from the core of the Bamileke group. Take the following examples from Proto-Grassfield Bantu (PGB) (Hyman 1979/1993), Fomopea,\(^5\) and Moghamo (Stallcup 1978):
| | PGB | Bafut | Fomopea | Moghamo |
|----------------|-------|-------|---------|---------|
| [61] ‘head’ | *tú` | àtú` | àtúk | á-tók` |
| [62] ‘mouth’ | *cùl` | ùcù | ùcùk | i-còk |
| [63] ‘dog’ | *bùà` | ìnbú` | ìnbùk | bòk` |
| [64] ‘fall’ | *gùa | — | — | gòk |
| [65] ‘eat’ | *lìa | — | — | jòk |
| [66] ‘moon’ | *mu-V | — | — | i-màk` |
| [67] ‘knife’ | *bé | — | — | fi-bèk |
| [68] ‘stone’ | *t̀ | — | — | aték` |
| [69] ‘tree’ | *tr̀ | àti | àtúk | — |
It is not immediately evident that these data parallel the data from Huishu, Maru, Singhi, and Lom, since the “high-vowel” conditioning environment is not evident in either the Proto-Grassfields Bantu reconstructions or the Moghamo forms. However, there is external evidence, from languages like Bafut which reflect these vowels as /i/, /i̯/, and /u/ and from the aspiration of stops in Bamileke languages, that high vowels were the environment for /k/ epenthesis (Hyman 1972:23–24; Stallcup 1978). Applying the inductive hypothesis (without taking the reconstructed phonetics too seriously), we might suppose that there were three contrasting high vowels in Pre-Momo: a high front vowel that became Moghamo /-ek/, a high back vowel that became Moghamo /-ok/, and a high mid vowel that became Moghamo /-ɔk/.
6. Competing Accounts
There are four things that an account of dorsal stop epenthesis in Huishu and other languages should explain:
1. **Mechanism** How the change took place.
2. **Environment** Why high vowels seem robustly to form the environment for this type of epenthesis.
3. **Motivation** Why this sound change converts a “less marked” structure into a “more marked” structure.
4. **Substance** Why the epenthetic obstruents have the place and manner features that they do.
An account which explains these four factors would be additionally attractive if it could explain the odd release of Huishu dorsal stops.
\(^5\)The Fomopea data are taken from Larry Hyman’s unpublished field notes. The data from Bafut, a Grassfields language from the Ngemba group, are taken from a Grassfields Working Group notebook, also graciously provided by Larry Hyman.
6.1. Diphthongization Plus Glide Fortition
One possible account for the type of phenomena described here was given by Blust (1994)—that the emergence of these stops was a two-part process\(^6\): First the vowels diphthongized; then the off-glide was fortified to become an obstruent. Blust notes that there are clear cases of glide fortition word-initially and word-medially in Austronesian languages (Blust 1994:112–113). This seems a plausible explanation for the case of Lom, where the quality of the reflexes of word-final PAN *u has changed to become /e/ (in exactly those cases where it is followed by the intrusive /k/). But in the Tangkhul family, there is no independent evidence for diphthongization in the affected rhymes. Rather, evidence suggests that PTB diphthongs had become PTk monophthongs in these words before the epenthesis took place. There are many diphthongs in PTk, and yet only the rhymes which we would reconstruct on independent grounds as monophthongal high vowels are affected by the epenthesis.
6.1.1. Buccalization of Glottal Stop (“nope-Epenthesis”)
Glottal stops sometimes occur at prosodic boundaries and in positions of prominence (see, for example, Dagbani as described in Hyman 1988). For related reasons, English \(no!\) is sometimes realized as [no?] or [now?]. Acoustically, this is similar to [nop], accounting for English \(nope < [no?] < no!^7\). Likewise, earlier English \(oh! >\) English [ow] \(\sim\) [ow?] \(\sim\) [owp]. This, we may call \(nope\)-epenthesis, after its best-known exemplar.
We might posit that PTk *-u and *-i became /-uk/ and /-ik/ via \(nope\)-epenthesis: *-u > **-u? > /-uk/ and *-i > **-i? > /-ik/. This explanation is problematic for several reasons: other cases of \(nope\)-epenthesis occur in interjections or other words that are largely confined to special prosodic environments (Hock 1991:124); in Huishu, the epenthesis is a regular sound change. \(Nope\)-epenthesis should not target one class of vowels preferentially; in Huishu and related cases, high vowels seem to be an essential conditioning environment for the sound change. Furthermore, an epenthesized glottal stop produced by this process would collide with other segments in the Huishu or Pre-Huishu segment inventory, no matter what order of events one proposed.
6.1.2. Constraint against Open Syllables
If sound changes occur in order to enhance the phonotactic well-formedness of the words that contain them, then it would follow that adding coda consonants improves the syllables to which they are added in some way. It makes little sense, however, to say that these developments are motivated by a constraint against open syllables. Indeed, the opposite constraint is widely believed to be a universal tendency. Fur-
---
\(^6\)It should be noted that Blust (1994) argues both for and against epenthetic stops resulting from glide fortition, depending on the details of the specific case.
\(^7\)For an alternative analysis of this phenomenon, see Hock (1991:124).
thermore, the fact that the process targets high vowels differentially complicates such an appeal. The constraint would have to be against open syllables with high vowel nuclei. But even given such a constraint, it seems odd that the epenthetic segment would not be some “minimally marked” segment such as /ʔ/ (which was already a legal coda in Huishu). And, of course, positing a universal constraint against syllable-final high vowels seems to simply and arbitrarily restate part of the generalization without explaining the phenomenon. Nevertheless, I will argue that there is a (perverse) sense in which this account is true: that open syllables with a high vowel nucleus are a “marked” structure.
6.2. Maintenance of Contrasts (Push Chain)
One might conceive of this type of epenthesis as part of a push chain. This explanation has the virtue of explaining the fact that it is high vowels (and perhaps other peripheral vowels) that are the targets of these epenthetic processes. Peripheral vowels are the most likely to be crowded uncomfortably by encroaching vowels because they have, as it were, no place to run. The distinctions made by such vowels can only be maintained, we might argue, by something drastic like epenthesis. We may also note, referring to the other languages in which the process has been observed, that it never seems to result in mergers.\(^8\)
The impression that this was a kind of chain shift grows if we look at the changes that occurred in the monophthongal rhymes between PTK and Huishu, schematized in Figure 1. Considering only this data, it might seem plausible that
\[
\begin{align*}
(ik) & \quad (uk) \\
\{ & \quad \} \\
i & u \\
e & o \\
\end{align*}
\]
Figure 1: The development of Huishu monophthongs.
Huishu developed velar stops in order to keep the high-vowel rhymes from merging with the reflexes of PTK *-a, and *-o, which were creeping up from below.
This illusion is shattered quite decisively, however, if we look at a larger subset of the sound changes that occurred in rhymes between PTK and Huishu (Figure 2). If the motivation for the development of dorsal stop codas in Huishu was to preserve lexical contrasts, it is odd that so many mergers seem to have occurred in the language at about the same time. Huishu /u/ reflects no less than four PTK rhymes, including two very common diphthongs (PTK *-ej and *-uj). In light of this evidence, the push chain hypothesis seems contrived.
\(^8\)This observation is due to Larry Hyman, p.c.
6.3. Maximal Use of Phonological Space (Drag Chain)
But what if, instead of a push chain, the development of dorsal consonants was part of a drag chain? The *-t, *-k > /-ʔ/ sound change left a gap in the coda inventory of Huishu. Perhaps the epenthesis of dorsal codas helped fill this gap. Other rhymes then shifted in the vowel space to fill the place of the high-vowel rhymes. Still other rhymes shifted to fill these gaps, thus accounting for the apparent counter-feeding interactions between pre-Huishu sound changes.
If these sound changes were part of a scheme to give Huishu a more balanced segment inventory that makes better use of the available phonological space, they have failed bitterly. Huishu is left not only with a somewhat odd inventory of rhymes (see Table 1) but with a situation where a disproportionately small number of words contain low vowels. In fact, what seems to have happened is that a language with a rather symmetrical vowel and rhyme inventory (PTk) has suffered a dramatic reduction in this symmetry. This hypothesis has the further disadvantage of providing no good explanation for the fact that the high-vowel rhymes are the target of the stop epenthesis.
Table 1: Huishu rhyme inventory.
6.4. Syllable Isochrony
The insertion of dorsal stops after high vowels could help bring about syllable isochrony (ensuring that all syllables are about the same length). High vowels are typically shorter than non-high vowels, so something extra (i.e., codas) would have to be added to syllables with high-vowel nuclei in order to bring them into synchrony with the rest of the system. This would explain why the process targets high vowels as opposed to other vowels — it is a matter of duration. It would also explain the aspiration of the dorsal stops (as opposed to /-p/, which only appears after mid vowels), since the aspiration prolongs the duration of the syllable. However, this account does not explain why plosives are such a common outcome for this type of process (though their velarity could be explained by the proposal of Carvalho 2004 that velars have the feature [high]). Furthermore, this hypothesis would not predict the raising of *-o to /-u/ subsequent to dorsal stop epenthesis.
7. Proposal
Let us start with the principle that language change is the result of mistaken inferences. We may then say, as a corollary, that sound change is the result of misperception. By misperception, I mean the state of affairs in which a listener incorrectly attributes some intent to a speaker (for related views, see Ohala 1993, Blevins 2004, and others).
High vowels are particularly susceptible to devoicing for aerodynamic reasons, and a devoiced high vowel is (phonetically) a weak fricative. In Huishu and other languages that have developed intrusive obstruents after high vowels, the accidental fricatives resulting from HVD (high vowel devoicing) have been misparsed by perceivers as intentional fricatives or stops.\(^9\)
| Initial state | > Automatic devoicing | > Phonetic implementation | > Phonologization |
|---------------|-----------------------|---------------------------|-------------------|
| */u/ [u] | > */u/ [u] ~ [u] | > */u/ [ux] ~ [u] | > */ux/ [ux] |
| | | | */uk/ [uk] |
| */i/ [i] | > */i/ [i] ~ [i] | > */i/ [iç] ~ [i] | > */iç/ [iç] |
| | | | */ik/ [ic] |
HVD phenomena are widely known and fairly easy to explain from a phonetic standpoint. Since high vowels involve a relatively tight oral constriction (compared to other vowels) and are correlated with a small oral cavity, the supraglottal pressure is likely to be higher for high vowels than for non-high vowels. It follows that the pressure drop across the glottis should be relatively lower for these vowels than for other vowels. Thus, the aerodynamic conditions coincident with the articulation of high vowels are less favorable for voicing than those for non-high vowels, and we would predict that unintentional devoicing should occur more frequently in
\(^9\)I must thank John Ohala for informal discussion of these points, which inspired part of the analysis given here.
high vowels than in low vowels. When devoiced, high vowels become weak dorsal (palatal to velar) fricatives.
This tendency for high vowels to become partially devoiced has been phonologized (or, at least, made part of the language-specific phonetic implementation of high vowels) in some cases. A particularly well known example of this is Parisian French, where word-final high vowels devoice to become weak fricatives (Fónagy 1989:247).\footnote{Other (non-high) vowels devoice in similar contexts, but with less frequency (Fagyal & Moisset 1999; Smith 2003).} The fricative codas of Singhi represent a further development of the same type of pattern as is found in French. Speakers reinterpreted devoiced vowels as vowels followed by homorganic fricatives. Speakers may have subsequently attributed the palatality of the fricative after /i/ to the vowel, and thus posited /s/ rather than /ʃ/ as the correct form for this coda.
Explaining the emergence of stop codas from these fricative codas is somewhat more challenging. It is clear that the fricative was “fortified” to become a stop, but this is a label for the process, not an explanation. The clues for one explanation lie in the phonetics of Huishu: the etymological obstruent codas of Tangkhul (and related languages) are unreleased, but the emergent stop codas of Huishu have a strong audible release—even aspiration. Suppose a pre-Huishu speaker hears the
\begin{table}[h]
\centering
\begin{tabular}{cccc}
$p$ & $t$ & $k$ & $\text{ʔ}$ \\
$ph$ & $th$ & $kh$ \\
$ts$ [tc, ts] \\
$s$ [$ʃ$, $s$] & ($*ʃ$) & ($*x$) & $h$ \\
$v$ & $r$ & $j$ \\
$l$ \\
$m$ & $n$ & $\eta$
\end{tabular}
\caption{Huishu onset inventory.}
\end{table}
phonetic implementation that has been assigned to high vowels—a voiceless vowel or a vowel with a fricative coda. She notices the friction at the end of the word and mistakenly parses this friction as an attempt to produce another segment rather than as an aspect of the implementation of the vowel. What segment could it be? She is biased against labelling it a velar or palatal fricative, since these do not occur in her consonant inventory. Coronal and glottal fricatives do occur in her inventory, but fricatives never occur in coda position and so they too are disfavored. Dorsal stops, however, do occur in her consonant inventory. Aspirated velar stops occur word-initially, and other stops occur in codas. So, she assumes that the noise in the vowel was a defective attempt to produce /k/, which she then “restores” in her own speech (phonetically implemented as released or aspirated). Repeated enough times, this results in the observed sound change.
8. Discussion and Conclusions
The seeds of obstruent epenthesis after high vowels are aerodynamic and articulatory. These phonetic seeds take root and grow in the soil of language-specific perception. The emergence of dorsal obstruents after high vowels does not require a grammar-internal or otherwise teleological explanation: the fundamental facts about epenthetic segments of this type fall out cleanly from a perceptual-articulatory model of sound change. The change occurred because of a set of mistaken inferences. Aerodynamically and articulatorily induced variation was mistakenly attributed to speaker intent. It occurred in high vowels because they are more prone to devoicing than low vowels. The existing phonological inventory of pre-Huishu gave the new form the upper hand in a lop-sided perceptual battle. Open syllables with only high vowels are relatively more “marked” than open syllables with low vowels to the extent that processes like this one are more likely to close them. As for the articulatory properties of emergent obstruents, they proceed directly from the articulatory properties of the source vowel.
My account of dorsal stop epenthesis has the added benefit of explaining the fact that, in Grassfields Bantu languages, stop epenthesis and spontaneous aspiration have the same conditioning factor—vowel height. The devoicing of extra-high vowels could be misattributed to a preceding aspirated stop as easily as it could be misperceived as a trailing obstruent. Thus, this aspiration process can be seen as an assimilation to the same environment implicated in the epenthesis process.
This paper has identified an under-studied cluster of empirical phenomena—the emergence of non-etymological dorsal obstruents after high vowels—and in accounting for this set of phenomena, has added an (apparently novel) explanation to the repertoire of perceptual-articulatory accounts of sound change. In doing so, it has also argued that grammatical competence (specifically phonotactic knowledge) plays a significant role in the (mis)perception of speech sounds, but has argued against teleological accounts of sound change.
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Smith, Caroline L. 2003. Vowel devoicing in contemporary French. *French Language Studies* 13:177–194.
Stallcup, Kenneth Lyle. 1978. A comparative perspective on the phonology and noun classification of three Cameroon Grassfields Bantu languages: Moghamo, Ngie, and Oshie. Ph.D. diss., Stanford University.
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David Mortensen
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University of California, Berkeley
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Issues Facing Voluntary Evacuees from the Fukushima Daiichi Nuclear Power Plant Accident Based on the Collection and Analysis of Cases of Voluntary Evacuation
Kota Tomoyasu*, Reo Kimura*, Hitomi Mashima**, and Ikuno Kazama**
*Graduate School of Human Science and Environment, University of Hyogo, Hyogo, Japan
E-mail: firstname.lastname@example.org
**NHK (Japan Broadcasting Corporation), Tokyo, Japan
[Received March 30, 2015; accepted July 14, 2015]
Although over three years have passed since the Great East Japan Earthquake, it is estimated that there remain approximately 135,000 evacuees from the nuclear power plant accident, 81,000 of whom had been living in areas under evacuation orders and 54,000 of whom had been living outside these areas (i.e., voluntary evacuees). However, the lived experience of such voluntary evacuees has been uncertain, as it is not possible to identify them. Consequently, it has not been possible to clarify the anxieties they harbor as they continue their extended existence as evacuees or to determine the issues they face in reconstructing their lives, making it difficult to extend suitable assistance measures. In this study, we worked with NHK to conduct a survey of voluntary evacuees. A list of interviewees compiled by NHK reporters was used to survey voluntary evacuees, who are difficult to identify. By analyzing the collected cases, we examined issues faced by “voluntary evacuees.” The results showed that the majority of the voluntary evacuees in this survey were mothers who had evacuated with their young children (but without their spouses) and who felt that they had had to evacuate due to anxieties about the effects of radiation exposure on their children’s growth. They tended to feel that it was difficult to return to their former areas of residence and that they had no choice except to continue living as evacuees. Furthermore, there were cases in which couples that had previously been living together had separated for reasons of work or place of occupation and had been forced into situations where they were obliged to economically support two households, with adverse effects on their budgets, minds, and bodies. In addition, the nuclear power plant accident made it difficult for them to decide where to base themselves in the future; in some cases, evacuees returned to their pre-disaster areas of residence only to evacuate again. Against the designation “voluntary,” the voluntary evacuees in this survey lived under circumstances in which they felt that they had had no choice but to evacuate; in enduring the difficulties of evacuation, they did not feel they had acted according to their voluntary will. This points to the need to implement effective assistance.
Keywords: Great East Japan Earthquake, life reconstruction process, seven elements of life reconstruction, life as evacuee, anxiety about radiation exposure
1. Introduction
1.1. Fukushima Daiichi Nuclear Power Plant Accident
On March 11, 2011, an accident occurred at the Fukushima Daiichi Nuclear Power Plant, a power plant operated by Tokyo Electric Power Co. (TEPCO) due to the Tohoku-Pacific Ocean Earthquake. The accident resulted in the release of radioactive material. Reactors 1–3, which were then operating, were automatically shut down during the earthquake. However, the tsunami that followed resulted in a complete station blackout; the cooling systems of the reactors were shut down, leading to a meltdown of the nuclear fuel (TEPCO, 2011) [1]. The pressure suppression chamber connected to the reactor containment vessel in Reactor 2 was damaged. Hydrogen explosions took place in Reactors 1, 3, and 4, damaging their secondary containment buildings. Damage to the secondary containment buildings caused an estimated 630,000–770,000 terabecquerels (TBq) of radioactive materials to be released into the atmosphere. The incident was rated a 7, the most severe level, on the International Nuclear Event Scale (INES) (INES 2009) [2]. An area within a 20-km radius from the Fukushima Daiichi Nuclear Power Plant was designated a restricted zone and declared off-limits in principle; areas outside this 20 km radius were designated planned evacuation areas, emergency evacuation preparation zones, and specific locations recommended for evacuation based on radiation dosages. Areas under evacuation orders were later reorganized into three categories: residence restriction areas, difficult-to-return zones, and zones prepared for the lifting of evacuation orders.
At the end of January 2015, residences in Fukushima Prefecture contaminated by the nuclear power plant accident had been 65% decontaminated (Ministry of the Environment, 2015) [3]. The area is on the way to recovery.
1.2. Evacuees from the Nuclear Plant Accident
According to “Number of Evacuees in Japan,” a document released by the Reconstruction Agency on February 27, 2015, there are 228,863 evacuees in 47 prefectures and 1,059 municipalities (Reconstruction Agency, 2015) [4]. The number of evacuees residing in Fukushima Prefecture was 72,790 as of February 12, 2015. However, the current residences of disaster victims who were resident in Fukushima Prefecture at the time of the disaster are unknown; furthermore, it is unknown whether such victims evacuated or merely relocated. Meanwhile, according to an estimate given in the television program “NHK Special: A Selection of 130,000 Evacuees – Three Years after the Nuclear Plant Accident,” which was broadcast on the NHK general television station on March 8, 2014 (NHK Sogo, 2014), there are still some 135,000 evacuees, despite the fact that three years have passed since the earthquake disaster. This figure can be broken down: 81,000 were formerly resident in areas under evacuation order and about 54,000 were formerly resident outside areas under evacuation order. The aforementioned NHK program referred to the latter, who make up about 40% of the total number of evacuees, as “voluntary evacuees”; this term is also used by the Reconstruction Agency (Reconstruction Agency, 2014b) [6]. Tanami makes the distinction between forced evacuees, who evacuated because they were instructed to do so by government bodies, and voluntary evacuees, who make up the remainder, and points out that among voluntary evacuees, some are eligible to receive legal support and some are not (Tanami, 2013) [7].
This shows that there is no clear definition for “voluntary evacuees”; they are neither “evacuees from areas outside of areas under evacuation order” nor “evacuees who are not forced evacuees.” Consequently, in asking what kinds of problem are shared among voluntary evacuees, there are no clear answers. Among the evacuees, reasons for evacuating, anxieties, and problems in reconstructing their lives in their extended existence as evacuees have not been clearly identified; thus, it is difficult to provide suitable assistance to them.
1.3. Seven Elements of Life Reconstruction
When major disasters affect the lives of disaster victims and disaster-struck areas for an extended period of time, it is necessary to clarify the process by which the disaster victims and local society adapt and reconstruct their lives in the new environment created by the disaster and to monitor the current status and issues of the disaster victims and affected area in order to understand disaster victims and their region and extend suitable assistance. The process in which, over time, people reconstruct their lives and forge new everyday lives is called the life reconstruction process or disaster process (Kimura et al., 2006, Kimura, 2012) [8, 9].
The life reconstruction process or disaster process (hereafter referred to only as the life reconstruction process) drew attention after the Great Hanshin-Awaji Earthquake. In 2000, five years after the Great Hanshin-Awaji Earthquake, the Life Reconstruction Committee of the Disaster Reconstruction Review and Verification Study Group of Kobe City hosted an event entitled “Grassroots Workshop with Citizens” (Tamura et al., 2000) [10]. In the workshop, they collected 1,623 opinion cards from the citizens of Kobe regarding issues of life reconstruction in order to clarify an overall picture of life reconstruction, which was unclear at the time. These opinion cards were classified using an affinity diagram, a method drawn from Total Quality Management; the group found that seven elements comprise life reconstruction – namely, housing, social network, community, disaster preparedness, mental and physical health, financial situation, and governmental assistance. The percentage of “housing” that constitutes a lifestyle foundation is highest, followed by “social network,” and only cards related to “housing” and “social network” account for the majority of all cards. The group emphasized that the recovery of housing and social network is particularly important and must be resolved early in the post-disaster period (Fig. 1).
In this study, in relation to the seven elements of life reconstruction, we examine the current status of voluntary evacuees who are continuing to live lives of evacuation despite the fact that three years have passed since the Great East Japan Earthquake.
2. Method of Survey
2.1. Survey Targets and Investigating Party
The data used in this study are based on a questionnaire survey conducted by the NHK News Department from December 18, 2013, to February 3, 2014.
The voluntary evacuees targeted in the survey had been living in areas in Fukushima Prefecture outside of the areas under evacuation order and were continuing to live lives of evacuation at the time of the survey. Although conducting a random sampling survey based on the basic resident registers or voter registration lists was desirable, since the Great East Japan Earthquake, disaster victims
have evacuated to considerably dispersed areas outside of Fukushima Prefecture; as this survey was conducted three years after the earthquake disaster, the current locations of many disaster victims were difficult to determine from basic resident registers or similar sources. Furthermore, even if it were possible to locate evacuees, determining whether they were voluntary evacuees or not would have been difficult; at present, conducting a statistically representative social survey of the voluntary evacuee population is virtually impossible.
Therefore, for this survey, we used a list of disaster victims and NPO groups that had been previously interviewed by NHK reporters. Disaster victims responded to questions sent to them by mail or other means; snowball sampling was conducted. Snowball sampling is a method of recruiting additional survey targets through the social networks of existing survey targets. In this method, survey targets who have already by some means been recruited are asked to introduce other targets. Repeating this process expands the group of survey targets. *The Encyclopedia of Contemporary Sociology* (2012) [11] indicates that snowball sampling is “a valid method of securing targets of a survey when they make up a social group of which the necessary name list cannot be obtained for a random sampling.” In this survey, questionnaires were first sent to primary targets (disaster victims, NPO groups, etc.) included on the NHK list along with requests for cooperation in increasing the number of survey targets. Subsequently, questionnaires were sent to those who were considered voluntary evacuees. The present writers compiled the questionnaire and NHK was the principal party that sent out the questionnaires. In addition to this, questionnaires were distributed to and collected from disaster victims in person; these disaster victims were interviewed and agreed to fill out the questionnaire. We were able to collect 307 valid, filled-out questionnaires. The survey lasted from December 18, 2013 to February 3, 2014. It should be noted that the results of this survey only represent those surveyed and do not necessarily accurately represent the entire population of voluntary evacuees. However, at present, government bodies are unable to identify voluntary evacuees from among disaster victims. The present survey, based on cases of voluntary evacuees obtained by means available to us, can be considered meaningful as a foundation for examining the issues faced by voluntary evacuees and considering appropriate measures for assistance.
### 2.2. Survey Items
Considering the special circumstances of voluntary evacuees, namely, that they evacuated from areas in which the government did not specifically advise evacuation, the issues they face are not necessarily identical to those that would be elicited from a general survey of victims of the Great East Japan Earthquake; voluntary evacuees face distinct issues. Since no survey targeting voluntary evacuees has been conducted, it was the objective of this study to understand the concrete situation from actual cases of voluntary evacuees and extract issues related to life reconstruction. Specifically, we asked the respondents regarding their attributes, their current evacuation status, their thoughts and changes in their lives over time, their views on assistance programs provided by the government or municipalities, difficulties they face, issues they believe require attention (which they were invited to freely comment on), and so on.
### 3. Characteristics of Voluntary Evacuees Found from the Survey
#### 3.1. Characteristics of Voluntary Evacuees from Basic Analysis
Voluntary evacuees in this survey were characterized by determining their attributes, evacuation status, thoughts, and life situations.
First, we asked the respondents regarding their gender, age, current lodging, the number of family members at present, the number of family members living separately because of the earthquake disaster, and the area in which they currently reside. Note that, unless stated otherwise, the percentages given in this chapter are in relation to 307 (= 100%), the number of valid responses received. Regarding gender, 13.7% (*n* = 42) of respondents were male and 85.3% female (*n* = 262); women made up more than 80% of the total (missing value = 3). The respondents ranged in age from 14 to 86 years and the average age was 42.0 (*SD* = 10.7) years (missing values = 10). The average age among male and female respondents were 48.4 and 41.0 years, respectively, and these two values exhibited a statistically significant difference (*t*(47.7) = 3.5, *p* < .01). To compare this with the results of other surveys on the Great East Japan Earthquake, in one survey (*n* = 1,006) conducted two years after the Great East Japan Earthquake of people residing in the three prefectures of Iwate, Miyagi, and Fukushima (Kimura et al., 2014a) [12], the respondents were 54.5% men and 45.4% women with an average age of 58.1 years (*SD* = 14.4); in another survey conducted three years after the earthquake disaster (Kimura et al., 2014b) [13], the respondents were 58.3% men (*n* = 700) and 41.4% women (*n* = 497) with an average age of 61.0 years (*SD* = 13.5) (missing value = 20). These surveys were not based on a random sample of victims of the Great East Japan Earthquake; they were conducted to obtain an overall picture of disaster victims. When compared to these surveys, we can speculate that many of the voluntary evacuees in the present survey were mothers with young children.
Examining the number of family members respondents lived with, at the time of the survey, three years after the disaster, respondents lived with an average of 2.4 family members (*SD* = 0.7); 5.9% lived alone. The average number of family members who had lived with respondents before the earthquake disaster but currently lived elsewhere was 0.9 (*SD* = 1.0); 64.5% (*n* = 198), or over half of the respondents, had family members who they
had come to live separately from since the disaster. In comparison, in the survey mentioned previously that was conducted two years after the earthquake disaster, one-third of respondents (34.6%) indicated “At least one of my family members has come to live separately from me since the earthquake disaster and nuclear power plant accident.” This suggests that since the earthquake disaster, voluntary evacuees have exhibited a higher tendency to live separately from their family members. When asked the major reasons for living separately (they were allowed to select up to three reasons from the given list), 77.8% of the respondents who had a family member that they lived separately from indicated “reasons of work or place of occupation,” 25.3% indicated “difference of opinion regarding evacuation or radiation,” and 21.7% indicated “attachment to local area of residence.” When asked about their reasons for evacuating (select up to three major reasons), 93.5% indicated “concern about the effects of radiation exposure,” 68.4% indicated “the unstable situation at the nuclear power plant,” and 53.8% indicated “could not trust assertions by experts that ‘there is no need to evacuate.’”
A characteristic of the voluntary evacuees in this survey was that about 90% (87.9% to be specific) of the respondents had evacuated with their children. Examining the composition of the households the respondents resided in, 30.3% of households consisted of two parents and their child or children, 47.9% of households consisted of a mother and her child or children, 1.0% of households consisted of a father and his child or children, 3.6% of households consisted of a married couple with no children, 5.9% of households consisted of single individuals, 10.7% of households consisted of others, and 1.0% of households did not indicate an answer. Thus, close to half of the households the respondents resided in consisted of a mother who had evacuated with her child or children. Among those who lived with their children, 97.4% indicated that “concern about the effects of radiation exposure” was their reason for evacuation; this figure was about 20% higher ($\chi^2(1) = 43.1, p < .01$) than the equivalent figure among respondents who did not live with children, 70.3%, showing that the great majority of respondents who lived with children evacuated because of the fear that their children would be exposed to radiation (Fig. 2).
Regarding the respondents’ areas of current residence, 21.5% lived in the Kansai region and further west, 27.7% in the Kanto region, 15.3% in the Chubu-Koshin’etsu region, and 34.9% in the Tohoku region and further north, indicating that respondents had evacuated to areas across Japan. Examining the housing situation of the respondents, 64.2% lived in rental accommodations for which they were not obligated to pay rent, 15.0% in rental accommodations for which they had to pay rent, 6.2% in houses that they owned and had purchased new or had built, 7.2% in their parents’ or children’s houses, and 0.7% in other relatives’ or acquaintances’ houses.
We asked the voluntary evacuees whether they wished to return to their areas of residence from before the earthquake disaster. Only 15.9% responded that they wished to return and had the intent to eventually return. Meanwhile, 39.4% responded that they did not wish to return, indicating that they had no intent to return, and 40.1% indicated that they wished to return but could not, indicating that they wished to return but had been unable to do so; these two figures accounted for nearly 80% of the respondents (79.5%; Fig. 3). In the survey conducted two years after the earthquake disaster, over 30% of respondents (34.9%) had either already returned to their former areas of residence or intended to return; in the survey conducted three years after the disaster, 18.7% wished to return, 34.8% wished to return but were unable to, 18.7% did not wish to return, and 15.2% had already returned. Compared to these results, the results of this survey suggested that voluntary evacuees tended to have greater difficulties in returning to their former areas of residence.
To sum up the above results, among the voluntary evacuees in the present survey, many came to live separately from family members that they had previously lived with following the earthquake disaster and nuclear accident, largely for work reasons. They had evacuated to disperse locations across Japan. Many were mothers with young children; nearly half were mothers who had evacuated with their children but without their spouses. Furthermore, many were motivated to evacuate by fear of the effects of radiation exposure and believed that returning to their former areas of residence would be difficult.
3.2. Classification of Voluntary Evacuees in This Survey Based on Cluster Analysis
To clarify the characteristics of the voluntary evacuees in this survey, the respondents were classified into several groups based on their attributes. The voluntary evacuees were classified using cluster analysis and the results were examined. For this analysis, attributes of the respondents, including gender, age, financial resources, lodging, and household makeup, were used as the input variables. Based on this analysis, the voluntary evacuees in this survey were classified.
Figure 4 shows a dendogram constructed from the cluster analysis results. The results show that the voluntary evacuees in this survey could be classified into four types: voluntary evacuees who evacuated as single elderly people; voluntary evacuees who evacuated with both parents and whose household budgets have improved; voluntary evacuees who evacuated with their spouses; and voluntary evacuees who evacuated as part of households comprised of only of a mother separated from her spouse and her children and whose household budgets have deteriorated. Voluntary evacuees who evacuated as single elderly people were aged 65 and above; regarding financial resources, they spent their pensions to evacuate. Voluntary evacuees who evacuated with both parents and whose household budgets have improved compared to the period immediately following the disaster have seen progress in regard to life reconstruction to a certain extent. Voluntary evacuees who evacuated with their spouses relocated to other areas with their spouses and depended on salaries from jobs in the relocated area. Voluntary evacuees who evacuated as part of households consisting of a mother separated from her spouse and her children and whose household budgets have deteriorated depended on income earned by their husbands, who continued to work in their former area of residence; this group was particularly likely to have had difficulty in regard to life reconstruction. Since many of the voluntary evacuees in this survey were living separately from family members as a result of the earthquake disaster and were mothers who had evacuated with their children, the life reconstruction issues faced by this group may be common among voluntary evacuees. For this reason, this group was further analyzed.
4. Issues Faced by Voluntary Evacuees and Obstacles to Their Resolution
4.1. Obstacle No.1: Effects of Supporting Two Households
As stated in the previous section, the great majority of voluntary evacuees in this survey had come to live separately from other family members as a result of the earthquake disaster. Among voluntary evacuees, families that were forced to support two households were particularly noticeable. The *Daijirin* Japanese dictionary defines “double life” as “a living situation in which a family is
divided into two locations” [14]; the expression “double life” has been used by the Reconstruction Agency with regard to the Great East Japan Earthquake. The Reconstruction Agency formulated a measure to provide expressway toll passes to mothers and fathers residing in areas that had been designated for assistance who had evacuated with their children while leaving their spouses behind; this measure was implemented to assist in “the reunion of families who are forced to maintain two households because of evacuation due to the nuclear power plant accident” (Reconstruction Agency, 2013) [15]. Furthermore, in disputes made public by the Nuclear Damage Compensation Dispute Resolution Center established by the Dispute Reconciliation Committee for Nuclear Damage Compensation of the Ministry of Education, Culture, Sports, Science and Technology, set up for the purpose of resolving disputes on damage claims by disaster victims against nuclear operators, there have been indications that living expenses have increased for families that have been divided and now reside in two locations as a result of voluntary evacuation [16]. Taking into consideration these previous examples, this paper considers cases of voluntary evacuation in which families that formerly lived in single households have been forced to financially maintain two households as a result of evacuation.
Nearly half, or 44.0%, of the respondents were forced to maintain two households; 68.2% of respondents who indicated that they now lived separately from family members they had previously lived with were forced to maintain two households. Among those who maintained two households, 94.8% gave “reasons of work or place of occupation” as their reason for living separately. This figure was about three times ($\chi^2(1) = 68.0$, $p < .01$) that among respondents who did not maintain two households, 32.9%; respondents who were forced to maintain two households for reasons of work or place of occupation exceeded one-third of the total number of respondents (Fig. 5). Furthermore, 94.8% of those maintaining two households lived with their children; 98.4% of these respondents were women. As was stated earlier, virtually all respondents with children had evacuated because of concerns regarding the effects of radiation exposure. Based on these findings, we can speculate that the majority of those who maintained two households were mothers who had evacuated with their children because of their concerns regarding the effects of radiation exposure and had become separated from their husbands for reasons of work or place of occupation. This perhaps explains why many of the respondents in this survey were mothers who had evacuated with their children (but without their spouses).
With further analysis, it became clear that in maintaining two households, reconstruction in regard to economic standing (one of the seven elements of life reconstruction) and interpersonal ties were obstructed: the former because of increased economic burdens and the latter because of changes in family relationships.
When respondents maintaining two households were asked about their household budgets, 69.9% responded that their financial situation had “deteriorated.” When further asked to select all applicable items in a given list regarding the causes of changes in their household budgets, characteristic patterns emerged among those maintaining two households: respondents maintaining two households exhibited a tendency to ascribe the deterioration in their financial situation to food expenses, heating and lighting costs, school and child-support expenses, and transportation costs (Fig. 6). While 59.2% of those maintaining two households indicated that food expenses had
caused changes in their household budgets, 34.5% of those who did not maintain two households cited it as a cause ($\chi^2(1) = 17.87$, $p < .01$). Meanwhile, 63.1% of those maintaining two households indicated that heating and lighting costs were a cause, compared to 34.5% of those not maintaining two households ($\chi^2(1) = 23.8$, $p < .01$). Furthermore, 77.7% of those maintaining two households indicated that transportation costs were a cause, compared to 48.5% of those not maintaining two household ($\chi^2(1) = 26.2$, $p < .01$). Furthermore, 38.5% of those maintaining two households indicated school and child-support expenses were a cause, compared to 21.2% of those not maintaining two households ($\chi^2(1) = 10.5$, $p < .01$). In having to financially support two households, increased food expenses and heating and lighting costs were a burden. The burden of transportation costs arose because of expenses involved in traveling between two households. It was highly probable that those living outside designated areas and those who lived so far from their families that travelling by car was difficult were unable to benefit from the Reconstruction Agency’s measure to provide free expressway passes, mentioned earlier. The burden of school and child-support expenses arose because most of those maintaining two households had children.
Some comments indicated extreme difficulty in regard to household budgets, such as “it is economically hard because of the increased living expenses due to maintaining two households and transportation costs to return home (so that the children can see their father),” and “since living expenses have risen due to maintaining two households, we cannot afford to send our child, who is now preparing for an entrance examination, to a private tutoring school.” Considering that these families are likely to continue maintaining two households in the future, it is unlikely that their food expenses, heating and lighting costs, and transportation costs will be in any way reduced, further exacerbating the issue of economic standing.
To examine interpersonal ties, respondents were asked to rate their degree of satisfaction with regard to current family relationships; the choices were “unsatisfied,” “somewhat unsatisfied,” “neither satisfied nor unsatisfied,” “somewhat satisfied,” and “satisfied.” Among respondents maintaining two households, 31.3% were “unsatisfied,” 29.9% were “somewhat unsatisfied,” 23.9% were “neither satisfied nor unsatisfied,” 11.9% were “somewhat satisfied,” and 3.0% were “satisfied”; respondents who indicated they were “unsatisfied” or “somewhat unsatisfied” accounted for 61.2%, or about six-tenths. Meanwhile, among respondents who did not maintain two households, 8.6% were “unsatisfied,” 11.7% were “somewhat unsatisfied,” 26.2% were “neither satisfied nor unsatisfied,” 22.7% were “somewhat satisfied,” and 28.8% were “satisfied”; respondents who were “unsatisfied” or “somewhat unsatisfied” accounted for only 20.3%, or about two-tenths. This is in stark contrast to those maintaining two households ($\chi^2(4) = 66.4$, $p < .01$), suggesting that maintaining two households for an extended period of time had resulted in dissatisfaction with regard to family ties (Fig. 7). We then asked those maintaining two households about the changes in their relationships with family members living separately. Among those who responded that their relationships had deteriorated, 71.8% cited “fewer conversations take place” while 60.8% cited “personal problems are discussed less frequently,” suggesting that a lack of communication was adversely affecting their level of satisfaction with regard to family relationships.
### 4.2. Obstacle No.2: Difficulty in Making the Decision to Return
The Great East Japan Earthquake was a wide-area disaster caused by a subduction-zone earthquake with a scale unprecedented in modern Japanese history. Furthermore, the additional occurrence of the nuclear plant accident has obscured the prospects of reconstruction. This can be viewed as a major difference from the Great Hanshin-Awaji Earthquake, which was caused by an inland epicentral earthquake. In a survey based on a random sampling of victims of the Great Hanshin-Awaji Earthquake, Kimura asked respondents when they came to feel again that things were safe; 93.2% responded that they thought things were safe once three years had passed since the earthquake (Kimura, 2007) [17]. In comparison, in a survey conducted three years after the Great East Japan Earthquake, Kimura et al. asked respondents in the three major prefectures that received extensive damage the same question; 50–60% of those in Iwate and Miyagi Prefectures responded that they thought things were safe, while only 15.8% of those from Fukushima Prefecture responded in the same manner (Kimura et al., 2014b). This indicates that, compared to the Great Hanshin-Awaji Earthquake, it has taken longer for the three prefectures hit by the Great East Japan Earthquake to arrive at a point where residents feel safe and have peace of mind. In particular, Fukushima Prefecture lagged behind considerably, most likely because of the nuclear plant accident. This situation has made it extremely difficult for voluntary evacuees to decide whether to return to their former areas of residence. As stated in Section 3.1, when questioned about their intent to return, the great majority responded that they either did not wish to return or wished to return but could not. The difficulty of returning is likely to be an
obstacle to resolving the issues of lodging and community (town), which are among the seven elements of life reconstruction.
An issue related to the difficulty of returning is seen in cases of “re-evacuation” in the Great East Japan Earthquake. “Re-evacuation” refers to when people who have returned to their former area of residence evacuate again. In this survey, 15.0% had re-evacuated, which is not an insignificant number (Fig. 8). Respondents who had re-evacuated ($n = 46$) were asked to indicate up to three major reasons for returning to their former areas; 23.9% indicated that they had become tired living separated from their family members, 23.9% that they had returned for their children’s schooling, 19.6% that they had been told to return by family or acquaintances, and 19.6% that they had been unable to feel at home in the environment of the area to which they had evacuated (Fig. 9). When asked to indicate up to three major reasons why they evacuated again after returning, 84.8% indicated that they had become concerned again about the health effects of radiation exposure, 26.1% that the situation at the nuclear power plant became unstable, and 17.4% that they had been recommended to re-evacuate by family or acquaintances (Fig. 10). Many of those who re-evacuated due to concerns in regard to radiation exposure or the nuclear power plant did so likely because, after deciding once to return to their former areas under uncertain prospects, their anxiety about radiation exposure and the nuclear power plant showed no sign of improving. The cases of re-evacuation strikingly show how difficult it is for voluntary evacuees to decide on where to base themselves in the future – whether in their former areas of residence or in locations to which they have evacuated.
For voluntary evacuees, reconstruction in regard to lodging will be delayed as long as they are unable to decide where to base themselves. Furthermore, the possibility of reconstructing communities in disaster-struck areas diminishes when a large number of people do not return to their former communities after disasters.
4.3. Hope for Future Life Reconstruction
The Japanese government is currently implementing various measures aimed at evacuees. The Child and Victims’ Support Law is a government measure to assist disaster victims, including voluntary evacuees. The respondents were asked to choose up to three major items that they thought were particularly lacking in this law. The results show that 48.5% and 45.6%, or about half, felt that the law was lacking in regard to securing housing in the relocated area and to investigation of the effects of radiation on health, respectively. This shows that the voluntary evacuees strongly felt that the government should provide assistance for reconstructing housing and should implement measures to alleviate concerns regarding radiation exposure. When asked about the Child and Victims’ Support Law, only 26.4% responded that they knew the name of the law and its contents, 43.0% that they knew the name but not its contents, and 28.7% that they did not know the name of the law or its contents. It appears that the contents of the law were not widely known among voluntary evacuees at the time of the survey. This suggests that it is
Table 1. Factors for deciding future living base.
| Factors | Return (n=76) | Settle (n=167) | Relocate (n=42) |
|------------------------------------------------------------------------|---------------|----------------|-----------------|
| 1. Radiation dose | 23.0% | 248.8% | 248.8% |
| 2. Concerns about the effects of radiation exposure | 20.3% | 63.3% | 51.2% |
| 3. Economic reasons | 47.3% | 24.1% | 29.3% |
| 4. Owned land, houses, family graves | 54.1% | 7.2% | 7.3% |
| 5. Securing new housing | 4.1% | 17.5% | 26.8% |
| 6. Work reasons | 20.3% | 32.5% | 17.1% |
| 7. Kin such as family or relatives | 56.8% | 17.5% | 22.0% |
| 8. Acquaintances or friends | 9.5% | 18.1% | 4.9% |
| 9. Child-rearing and educational environment | 16.2% | 31.9% | 19.5% |
| 10. Healthcare and welfare services | 8.1% | 10.8% | 17.1% |
| 11. Convenience to shopping or transportation facilities | 6.8% | 19.9% | 22.0% |
| 12. Government services | 1.4% | 10.2% | 7.3% |
| 13. State of one’s own mind and body | 35.1% | 35.5% | 46.3% |
| 14. State of one’s child’s mind and body | 32.4% | 37.3% | 19.5% |
necessary to ensure that information important to voluntary evacuees is visible and to establish a system for voluntary evacuees to share information among themselves.
We shall now examine what the voluntary evacuees hope for with respect to lodging reconstruction. When asked about where they intended to base themselves in the future, 24.8% indicated that they planned to return to their areas of residence from before the earthquake disaster; 54.4% indicated that they would continue to live in their current locations, to which they had evacuated; and 13.7% indicated that they planned to move to new areas that were neither their area of residence before the disaster nor the area to which they had evacuated. We queried the respondents regarding which factors were relevant to their choice of where to base themselves in the future; respondents were asked to select all applicable items from a given list. Regarding the factors according to their selected future living base (Table 1), among those who planned to return, 56.8% indicated that kin such as family or relatives were a factor, 54.1% indicated that owned land, houses, and family graves were a factor, and 47.3% indicated that economic reasons were a factor, in descending order. Among those who planned to “settle,” 63.3% indicated that concerns about the effects of radiation exposure were a factor, 48.8% indicated that radiation dose was a factor, and 37.7% indicated that the state of their child’s mind and body was a factor. Among those who planned to relocate, 51.2% indicated that concerns about the effects of radiation exposure were a factor, 48.8% indicated that radiation dose was a factor, and 46.3% indicated that the state of their own mind and body was a factor. In the disaster, respondents that planned to return had been separated from kin such as family or relatives and owned land, houses, and family graves; they came to prioritize regaining these things. Furthermore, the results also suggested that some respondents had no choice but to return because of economic reasons, even as they continued to live as evacuees. Meanwhile, respondents who either planned to settle or relocate emphasized concerns about the effects of radiation exposure, radiation dosage, the state of their child’s mind and body, and the state of their own mind and body as the deciding factors in their choice of their future living base, indicating that they placed an emphasis on protecting their own and their children’s emotional and physical health from radiation exposure.
Dividing the choice of future living base into “return” and “not return,” we conducted a decisiontree analysis of the factors affecting that decision. “Return” expressed an intent to “return,” while “settle” and “relocate” were both taken to express the intent to “not return.” In decisiontree analysis, the variables on the result side are used as objective variables and those on the cause side as explanatory variables to determine the relation between the two. Specifically, it is a method of multivariate analysis in which the sample is divided repeatedly into smaller subgroups, for each of which the explanatory variables that strongly affect the objective variables are extracted. Based on this analysis, we examined the factors that divided those with an intent to “return” from those with an intent to “not return.”
First, the decisions regarding their living base, “return” or “not return,” were set as the objective variables, while the items used for this decision (all applicable items from the given list) are set as the explanatory variables. This yielded the major factors that affected the choice of living base. The following items were used as the explanatory variables:
- Radiation dosage
- Concerns about the effects of radiation exposure
- Economic reasons
- Owned land, houses, family graves
- Securing new housing
- Work reasons
- Kin such as family or relatives
- Acquaintances or friends (other than kin)
- Childrearing and educational environment
- Healthcare and welfare services
- Convenience in shopping or transportation facilities
- Government services
- State of one’s own mind and body
- State of one’s child’s mind and body
Figure 11 shows the decisiontree that was constructed from the decisiontree analysis. The bar charts in the figure represent responses regarding the choice of living base. Within each box, the bar charts on the left (green) and right (red) represent the ratios of those who responded that they would “return” and “not return,” respectively.
We first examined the deciding factors for “return.” Beginning at the top of the decision tree, for respondents
who indicated that they would return, owned land, houses, and family graves were extracted as the major deciding factor in returning to former areas of residence. Among respondents who indicated that owned land, houses, and family graves were a deciding factor, 71.2% responded that they would return while only 28.8% responded that they would not return. Since a greater number of those who planned to return cited land, houses, or family graves as a deciding factor compared to those not planning to return, we can speculate that having land, houses, or family graves was a strong motivating factor behind the intent to return. Descending to the next level in the tree, even among those who cited owned land, houses, and family graves as a deciding factor, the choice of future living base was divided depending on whether they considered concerns about the effects of radiation exposure as a deciding factor. Among those who did *not* cite “concerns about the effects of radiation exposure” as a deciding factor, 86.5% responded that they planned to “return.” In comparison, 45.5% of those who *did* cite “concerns about the effects of radiation exposure” as a deciding factor responded that they planned to “return.” This suggests that even among those emphasizing land, houses, or family graves, strong fears regarding the effects of radiation exposure served as an obstacle to deciding to “return.”
We next examine the analysis results regarding the decision to not return. The first thing we noticed was that among respondents who did not cite owned land, houses,
and family graves as a deciding factor had a greater tendency to plan to not return than those who did. In particular, 94.3% of those who cited concerns about the effects of radiation exposure as a deciding factor responded that they would not return. Descending further down the tree, 97.9% of those who did *not* cite economic reasons as a deciding factor responded that they would not return. Based on these findings, we can state that respondents who had the greatest tendency to desire not to return placed less importance on owned land, houses, and family graves and had strong fears about the effects of radiation exposure. Among those who did not cite owned land, houses, and family graves or concerns about the effects of radiation exposure as a deciding factor, “kin such as family or relatives” was a factor affecting the choice of living base. Thus, 53.3% of those who did not cite either owned land, houses, or family graves or concerns about the effects of radiation exposure but cited kin such as family or relatives as a deciding factor responded that they would not return, compared to 82.2% of those who did not cite any of these as a deciding factor. This suggests that placing an importance on community ties, including ties to kin such as family or relatives, led to the desire to return to their former areas and facilitated deciding against returning.
Explanatory variables in the analysis discussed thus far were those items given in the questionnaire representing factors that directly affected the choice of living base. For the next step, we removed the factors directly relevant to the choice of living base and conducted decision tree analysis to search for other factors affecting this choice. Using “return” and “not return” as the objective variables in the choice of living base, the respondent’s attributes, initial motivation for evacuating, reasons for continuing to be an evacuee, and items related to the living situations of being an evacuee were used as the explanatory variables.
**Figure 12** shows a decision tree constructed from decision tree analysis. The first thing we noticed was that “separation from spouse” was extracted as a factor strongly affecting the choice of living base. Among those who were not separated from their spouses, only 17.9% responded that they planned to return, whereas 38.2% of those who were separated from their spouses, or more than twice this
percentage, responded in the same way. This is likely to have been the effect of respondents having had to maintain two households and having had to separate from their spouses. We can speculate that the economic burden or lack of communication caused maintaining two households encourages the decision to return. One can easily imagine cases in which people are forced to return in order to ameliorate economic burdens caused by maintaining two households or to prevent family relationships from further deteriorating due to lack of communication. Among those who were separated from their spouses, the choice of living base was affected by whether they had built personal connections in the area they currently lived. Thus, 55.8% of those who had not built personal connections in the area to which they had evacuated responded that they planned to not return, whereas 82.1%, or over eight-tenths, of those who had built personal connections responded that they would not return. This suggests that developing personal connections in the area of evacuation acted as a strong factor in promoting the decision to not return. It is natural to think that a person will settle in the new area and have less desire to return to her former area once they have developed personal connections in the area to which they have evacuated.
4.4. Exploring Ways of Extending Assistance Based on the Characteristics of Voluntary Evacuees
It was found from this survey that voluntary evacuees had no choice but to evacuate, even as they felt the strain of an extended existence as an evacuee; furthermore, certain issues with regard to life reconstruction in the long run were found to be characteristic among voluntary evacuees. Many of them had evacuated with the conviction that they had no alternative but to evacuate based on their fears of radiation exposure and tended to feel that despite their present difficulties, it would be even more difficult to return to their former areas of residence.
In this chapter, we examine how the use of the term “voluntary evacuee” to refer to such evacuees has resulted in misconception on the part of potential supporters such as people around these evacuees and the staff of government agencies. The word “voluntary” is defined in the Daijirin Japanese dictionary as “acting on one’s own judgment without interference or protection from others,” [14] which has the possibility of giving rise to the misconception, unfounded on the reality of their situation, that a voluntary evacuee is a “person who has decided to evacuate on his or her own judgment even though there is no need to evacuate.” Among the comments given in the questionnaire sheets, there were those that hinted at the suffering stemming from misconceptions against voluntary evacuees, such as “although people may think that a voluntary evacuee is someone who evacuated at her own discretion, it is precisely because one may return if one wishes to do so in voluntary evacuation that there are so many worries.” Other comments included ones such as “there are many people who say ‘Why is it necessary to evacuate? You should come back because it’s safe,’” or “I was accused at my workplace in front of many coworkers that I play the ‘disaster victim,’” suggesting that they were unfairly judged in their former areas of residence as well as in the places they had evacuated to as people who had evacuated at their own discretion even though there was no need to do so. The assistance extended to voluntary evacuees by government organs are also based on such perceptions, resulting in a substantial gap between the assistance provided to them and to evacuees from Areas under Evacuation Orders (TEPCO, 2014) [18]. However, many voluntary evacuees evacuated because they feared the effects of radiation exposure on their children, continue to lead the difficult life of an evacuee due to such effects as maintaining two households, and have difficulty in deciding their future living bases. For this reason, it is necessary to provide assistance that is appropriate to the issues faced by voluntary evacuees, based on the recognition that voluntary evacuees are people who had no alternative but to evacuate. A diagram that summarizes the above discussion based on the present survey results is presented below (Fig. 13).
When we examine the lived experience of evacuees, we find that there are two types of people who had no choice but to evacuate: those who evacuated because they were subject to evacuation orders or other administrative instructions and those who evacuated for individual or family reasons. Thus, there are those who evacuated from the extrinsic motive of an administrative instruction, those who evacuated from the intrinsic motive of fear of the effects of radiation exposure, and those who evacuated from both motives, and all of these people had no choice but to evacuate. However, those in the position to provide assistance have a tendency to view only those evacuating
because of extrinsic motives, such as an evacuation order, as evacuees – people instructed to evacuate; people evacuating from intrinsic motives without extrinsic motives are voluntary evacuees – people who chose to evacuate on their own will. The label “voluntary” is used to distinguish between the two. A difference exists between these two groups in the current level of assistance provided; various assistance programs and institutional mechanisms, including those aimed to provide compensation, exist for “evacuees,” while there is a lack of assistance programs and mechanisms that can support the behavior of evacuation chosen by “voluntary evacuees.” This has given rise to inequalities and disparities in assistance.
It is more realistic to assert that “evacuees” and “voluntary evacuees” are not mutually exclusive categories and that some of the latter too had no choice but to evacuate. The designation of “voluntary evacuee” should not be construed as expressing the attitudes or views of the disaster victims who evacuated. It should be viewed instead as a convenient label used to separate victims who evacuated from areas under evacuation orders and those who evacuated from other areas. It is unlikely that the gap between “evacuees” and “voluntary evacuees” will be closed as long as those in the position to provide assistance, including people around the evacuees and government personnel, lack this understanding. Yet the comments given in the questionnaire sheets suggest that there are many cases in which the voluntary evacuees are perceived in a light that differs from reality.
This can be viewed as a problem of how those in the position to provide assistance, such as government officials and disaster workers, segment disaster victims living under different circumstances. The voluntary evacuees in the aftermath of the Great East Japan Earthquake targeted in this survey represent a case in which the importance of segmentation has come to the surface. As Tanami has pointed out (Tanami, 2013), in the future, the number of those designated as voluntary evacuees is likely to increase as areas under evacuation orders are de-designated. Unless the prevailing perception of voluntary evacuees is changed, there is the danger that problems stemming from the rift between the lived experience of voluntary evacuees and perceptions among assistance providers will grow more severe. It will be difficult to implement assistance in a manner that is appropriate to the range of disaster victims unless proper segmentation is carried out by understanding the lived experience of victims and obtaining an overall picture.
In an interview on the question of voluntary evacuees in the television program “NHK Special: A Selection of 130,000 Evacuees – Three Years after the Nuclear Plant Accident” (NHK Sogo, 2014), Takumi Nemoto, the Minister for Reconstruction and Minister in Charge of Reconstruction and Coordination after the Fukushima Nuclear Power Plant Accident at the time, was asked “There appears to be a large gap between the ideals declared in the laws and the reality of those who evacuated voluntarily. What are your views?” His response was that “As each person feels differently, there is in addition to the issue of policy the issue of the mind. The issue [of voluntary evacuees] harbors that aspect. We would like to stand by them and provide assistance whatever the case may be. We will work to implement measures needed by the voluntary evacuees accordingly.” This indicates that the administration also recognizes the complexity of the problem of voluntary evacuees, as well as the need to provide assistance that is appropriate to voluntary evacuees. Fukushima Prefecture is extending economic assistance to households with children or pregnant women who have voluntarily evacuated to areas outside of Fukushima but plan to return (restricted to households that are already in rental housing provided by the prefectural government) [19]. However, it has been announced that this assistance will be discontinued at the end of 2016. Moreover, this assistance program targets only those voluntary evacuees who plan to return to Fukushima Prefecture. It will be necessary to continue the dialogue on assistance measures for voluntary evacuees.
5. Conclusions
In this study, we conducted a survey to examine the issues faced by “voluntary evacuees” who are still forced to live an evacuee existence three years after the accident at Fukushima Daiichi Nuclear Power Plant triggered by the Tohoku-Pacific Ocean Earthquake and Tsunami. Since it was difficult to identify voluntary evacuees for the purposes of the survey, cases were collected by making use of a list of people interviewed by NHK reporters; the survey results were analyzed to examine the issues faced by voluntary evacuees. The results showed that nearly half of the voluntary evacuees in this survey were mothers who had evacuated with their young children (but without their spouses) and who felt that they had to evacuate due to anxiety about the effects of radiation exposure on their children’s growth.
Furthermore, among the voluntary evacuees, there were many cases in which couples that had previously been living together had separated for reasons of work or place of occupation and were forced to financially maintain two households. As a result of increases in living expenses, such as food expenses, heating and lighting costs, and transportation costs due to having to travel back and forth to the area of residence before the disaster, in addition to school and child-support expenses for their children, the burden on the household budget for those maintaining two households was extremely serious. Maintaining two households also affected the level of satisfaction with family relationships; where the portion of those maintaining two households who felt dissatisfaction with family was about 40% higher than those who did not maintain two households. Thus, maintaining two households presented a major obstacle to the reconstruction of their lives and, in particular, was an obstruction to reconstruction in regard to economic standing and interpersonal ties, which are among the seven elements of life reconstruction.
Because of the nuclear power plant accident that had
occurred in addition to the unprecedented wide-area disaster, the decision to return to their areas of residence before the disaster was an extremely difficult one for voluntary evacuees. The results, which showed that about two-tenths of the respondents had “re-evacuated” (i.e., returned to their areas of residence before the disaster but had evacuated again from fears about the effects of radiation exposure and other reasons), hinted at the difficulty of deciding on their future living bases. As long as people are unable to decide on their living base, there will be obstacles to reconstruction in regard to lodging and community, which are among the seven elements of life reconstruction.
Although those in positions to provide assistance, such as the people around them and government personnel, use the label “voluntary,” we found that the lived experience of voluntary evacuees was that they were people who found themselves in a situation where they felt that there was no other alternative even as they experienced hardship in their continued existence as evacuees. Thus, we feel that it is necessary for assistance providers to understand that neither evacuees from areas under evacuation orders nor voluntary evacuees had the choice to evacuate; suitable assistance programs must be implemented. Since the number of people designated voluntary evacuees is likely to increase in the future as changes are made in the areas under evacuation orders, it will be ever more important to apply suitable segmentation by understanding the lived experience and obtaining an overall picture of the disaster victims. We call on those in positions of providing assistance to deepen their understanding of the voluntary evacuees, grasp an overall picture, and implement suitable measures for assistance at the earliest possible date.
References:
[1] Tokyo Electric Power Company, Incorporated. Report of Fukushima Daiichi nuclear disaster, Report of Tokyo Electric Power Company, 2011.
[2] International Atomic Energy Agency, INES The International Nuclear Event Scale User’s Manual 2008 Edition, IAEA-INES-2009, 2009.
[3] Ministry of the Environment, Progress of Decontamination of Radioactive Materials in Fukushima, Ministry of the Environment Homepage, http://josen.env.go.jp/zone/detail/fukushima_progress.html [accessed Feb. 28, 2015]
[4] Reconstruction Agency, Number of Evacuees (February 12, 2015), Report of Reconstruction Agency, 2015a.
[5] NHK Sogo, NHK Special: A Selection of 130,000 Evacuees – Three Years after the Nuclear Plant Accident, 2014.
[6] Reconstruction Agency, Document of Information Support for Voluntary Evacuees Outside the Prefecture, Report of Reconstruction Agency, 2014b.
[7] H. Tamura. Supporting for Evacuees outside Prefecture cause of Nuclear Disaster, “Reconstruction,” Vol.4, No.2, pp. 98-106, 2013.
[8] R. Kimura, H. Hayashi, K. Tamura, S. Tatsuki, T. Noda, K. Yamori, A. Kurokawa, and Y. Arata. “Developing Victims’ Life Reconstruction Identification by Social Survey – Ten Years Monitoring in the Great Hanshin-Awaji(Kobe) Earthquake –”, Journal of Social Safety Science, No.8, pp. 415-424, 2006.
[9] I. Kitahara, R. Matsuura, and R. Kimura, “Encyclopedia of Japan History Disaster,” Yoshikawa Koubunkan, Edition, pp. 72-77, 2012.
[10] K. Tamura, S. Tatsuki, and H. Hayashi, “The External Validity of Life Recovery Tasks and their Structure among the Disaster Victims of the Great Hanshin-Awaji Earthquake,” Journal of Social Safety Science, No.2, pp. 25-32, 2000.
[11] M. Mita, M. Oosawa, T. Yoshimi, and S. Washida, “Encyclopedia of Contemporary Sociology,” Koubundou, p. 725, 2012.
[12] R. Kimura, Y. Yajima, Y. Matsui, and R. Suzuki, “Conditions of the Disaster Victims of Two-Year after the 2011 off the Pacific Coast of Tohoku Earthquake – How do the Disaster Victims Feel in the Process of Life Reconstruction,” Journal of Japan Society for Disaster Information Studies, No.12, pp. 114-123, 2014a.
[13] R. Kimura, K. Tomoyasu, Y. Yajima, H. Mashima, K. Furukawa, Y. Toda, K. Watanabe, and T. Kawahara, “Reconstruction Progress Situation in the Third Year following the Great East Japan Earthquake by Victims’ Questionnaire Survey – Focusing on Sense of Stagnation in Disaster Reconstruction and Ambivalence in Housing Reconstruction →,” Journal of Social Safety Science, No.24, pp. 233-243, 2014b.
[14] A. Matsumura (Ed.), “Daijirin Third Edition,” Sanseido, p. 1921, 2006.
[15] Reconstruction Agency, “Highway Tolls Free of Charge for Evacuation of Mother and Child Separated from Spouse Cares of Nuclear Accident,” Document of Reconstruction Agency, 2013.
[16] Ministry of Education, Culture, Sports, Science and Technology, “Public Relations Illustration by Dispute Reconciliation Center for Nuclear Damage Compensation,” Ministry of Education, Culture, Sports, Science and Technology Homepage, http://www.mext.go.jp/a_menu/genshi/baisho/jiko_baisho/detail/1335308.htm [accessed June 26, 2015]
[17] R. Kimura, “Recovery and Reconstruction Calendar,” Journal of Disaster Research, Vol.2, No.6, pp. 465-474, 2007.
[18] Tokyo Electric Power Company, Incorporated, “Additional Compensation Related Voluntary Evacuation,” Tokyo Electric Power Company Homepage, 2014, http://www.tepco.co.jp/cc/prest/2012/1233477_1334.html [accessed Feb. 28, 2015]
[19] Fukushima Prefecture, “Housing Support for Residents Intend to Return to Fukushima,” Fukushima Prefecture Homepage, http://www.pref.fukushima.lg.jp/uploaded/attachment/73444.pdf [accessed June 27, 2015]
Name:
Kota Tomoyasu
Affiliation:
Graduate Student, Graduate School of Human Science and Environment, University of Hyogo
Address:
1-1-12 Shinzaike-honcho, Himeji, Hyogo 670-0092, Japan
Brief Career:
- 2013 School of Human Science and Environment, University of Hyogo, Japan
- 2013- Graduate School of Human Science and Environment, University of Hyogo, Japan
Selected Publications:
• “Will Mail-Based Disaster Information Work Well?: A Case Study in Japan,” Proceedings of the 7th International KES Conference on Intelligent Interactive Multimedia Systems and Services (KES-IIMSS 2014), pp. 293-303, 2014.
• “Proposing Analysis Method of Psychology and Behavior about Tsunami Evacuation Using Victims’ Experiences Recorded in Qualitative Data: Application to the 1944 Tonankai Earthquake,” Historical Earthquake, No.29, pp. 173-182, 2014 (in Japanese).
• “Analyzing Dissemination Processes of Mail-based Disaster Information Systems – A Case Study of Typhoon Man-yi in 2013 –,” DEIM Forum 2014 (The 6th Forum on Data Engineering and Information Management), proceedings (8pp.), 2014.
• “Attempt to Typify Disaster Educational Programs – Case Study of the Disaster Management Education Challenge Plan,” Journal of Disaster Research, pp. 210-216, Vol.10, No.2, Apr., 2015.
Academic Societies & Scientific Organizations:
• Japan Institute of Social Safety Science (JISSS)
• Society of Historical Earthquake Studies (SHES)
Name: Reo Kimura
Affiliation: Associate Professor, Ph.D., Graduate School of Human Science and Environment, University of Hyogo
Address: 1-1-12 Shinzaike-honcho, Himeji, Hyogo 670-0092, Japan
Brief Career:
1994-1998 School of Human Science, Waseda University
1998-2003 Graduate School of Informatics, Kyoto University
2003-2009 Assistant Professor, Graduate School of Environmental Studies, Nagoya University
2009-2011 Associate Professor, Graduate school of Environmental and Disaster Research, Fuji Tokoha University
Selected Publications:
• “Recovery and Reconstruction Calendar,” Journal of Disaster Research, pp. 465-474, Vol.2, No.6, Dec., 2007.
• “Implementation and Operation of a Cloud-Based Participatory Damage Recognition System to Obtain a Common Operational Picture that Supports a Quick Disaster Response,” International Journal for Infonomics (II), Special Issue Vol.1, Issue 1, pp. 834-840, Dec., 2013.
• “Current Status and Issues of Life Recovery Process Three Years After the Great East Japan Earthquake Questionnaire Based on Subjective Estimate of Victims Using Life Recovery Calendar Method,” Journal of Disaster Research, pp. 673-689, Vol.9, No.sp, Sep., 2014.
• “Comparison Between the Life Recovery Processes After the Mid-Niigata Earthquake and the Chuetsu-Oki Earthquake – Results of a Random Sampled Social Survey Using the Life Recovery Calendar and GIS-Based Spatiotemporal Analysis,” Journal of Disaster Research, pp. 196-203, Vol. 10, No.2, Apr., 2015.
Academic Societies & Scientific Organizations:
• Japan Institute of Social Safety Science (JISSS)
• Japan Society for Natural Disaster Science (JSNDS)
• Japanese Psychological Association (JPA)
• Japanese Society of Social Psychology (JSSP)
• Japan Sociological Society (JSS)
• Seismological Society of Japan (SSJ)
• Japan Society of Civil Engineering (JSCE)
Name: Hitomi Mashima
Affiliation: News Department, NHK (Japan Broadcasting Corporation)
Address: 2-2-1 Jinnan, Shibuya-ku, Tokyo 150-8001, Japan
Brief Career:
~2006 Faculty of Policy Management, Keio University, Japan
2006-2014 NHK (Japan Broadcasting Corporation)
Name: Ikuno Kazama
Affiliation: News Department, NHK (Japan Broadcasting Corporation)
Address: 2-2-1 Jinnan, Shibuya-ku, Tokyo 150-8001, Japan |
Towards Generic Deobfuscation of Windows API Calls
Vadim Kotov
Dept. of Research and Intelligence
Cylance, Inc
email@example.com
Michael Wojnowicz
Dept. of Research and Intelligence
Cylance, Inc
firstname.lastname@example.org
Abstract—A common way to get insight into a malicious program’s functionality is to look at which API functions it calls. To complicate the reverse engineering of their programs, malware authors deploy API obfuscation techniques, hiding them from analysts’ eyes and anti-malware scanners. This problem can be partially addressed by using dynamic analysis; that is, by executing a malware sample in a controlled environment and logging the API calls. However, malware that is aware of virtual machines and sandboxes might terminate without showing any signs of malicious behavior. In this paper, we introduce a static analysis technique allowing generic deobfuscation of Windows API calls. The technique utilizes symbolic execution and hidden Markov models to predict API names from the arguments passed to the API functions. Our best prediction model can correctly identify API names with 87.60% accuracy.
I. INTRODUCTION
Malware plays by the same rules as legitimate software, so in order to do something meaningful (read files, update the registry, connect to a remote server, etc.) it must interact with the operating system via the Application Programming Interface (API). On Windows machines, the API functions reside in dynamic link libraries (DLL). Windows executables [1] store the addresses of the API functions they depend on in the Import Address Table (IAT) - an array of pointers to the functions in their corresponding DLLs. Normally these addresses are resolved by the loader upon program execution.
When analyzing malware, it is crucial to know what API functions it calls - this provides good insight into its capabilities [2], [3]. That is why malware developers try to complicate the analysis by obfuscating the API calls [4]. When API calls are obfuscated, the IAT is either empty or populated by pointers to functions unrelated to malware’s objectives, while the true API functions are resolved on-the-fly. This is usually done by locating a DLL in the memory and looking up the target function in its Export Table - a data structure that describes API functions exposed by the DLL. In other words, obfuscated API calls assume some ad-hoc API resolution procedure, different from the Windows loader.
Deobfuscating API calls can be tackled in two broad ways:
1) Using static analysis, which requires reverse engineering the obfuscation scheme and writing a script that puts back missing API names.
2) Using dynamic analysis, which assumes executing malware in the controlled environment and logging the API calls.
Static analysis allows exploration of every possible execution branch in a program and fully understand its functionality. Its major drawback is that it can get time consuming as some malware families deploy lengthy and convoluted obfuscation routines (e.g. Dridex banking Trojan [5]). Furthermore, even minor changes to the obfuscation schemes break the deobfuscation scripts, forcing analysts to spend time adapting them or re-writing them altogether. Dynamic analysis, on the other hand, is agnostic of obfuscation, but it can only explore one control flow path, making the analysis incomplete. Additionally, since dynamic analysis is usually performed inside virtual machines (VM) and sandboxes, a VM/sandbox-aware malware can potentially thwart it.
In this paper, we introduce a static analysis approach, allowing generic deobfuscation of Windows API calls. Our approach is based on an observation that malware analysts can often “guess” some API functions by just looking at their arguments and the context in which they are called. For example, consider RegCreateKeyEx:
```
LONG WINAPI RegCreateKeyEx(
HKEY hKey,
LPCTSTR lpSubKey,
DWORD Reserved,
LPCTSTR lpClass,
DWORD dwOptions,
REGSAM samDesired,
LPSECURITY_ATTRIBUTES lpSecurityAttributes,
PHKEY phkResult,
LPDWORD lpdwDisposition
);
```
Arguments 5, 6, 7 and 9 are pre-defined constants (permission flags, attributes etc.) and can only take a finite and small number of potential values (it’s also partially true for
the argument 1, which aside from a set of pre-defined values can take an arbitrary one). So if we see $\geq 9$ arguments on the stack and values $1, 5, 6, 7, 9$ are registry related constants, we can conclude that `RegCreateKeyEx` is being called even if we don’t see the actual name. Similar arguments can be made about `CreateProcess`, `VirtuaAlloc`, etc.
Our goal is to automate this inferential process and see whether WinAPI functions’ names can be predicted by the arguments passed to them upon calling. This is the kind of problem where machine learning shows promising results, similar in nature to image or signal recognition [6], [7].
In this work, we evaluate the feasibility of the proposed idea. To do so, we first solve a simplified problem:
- We look only at functions with 3 or more arguments.
- We limit our dataset to standard 32-bit Windows executables and DLLs (e.g. Internet Explorer, `cmd.exe`, etc.).
- We focus on the 25 most used API functions.
- We ignore any adversarial techniques such as control-flow obfuscation, or anti-disassembly tricks.
We extract API calls (function names and their arguments) from our dataset of Windows binaries and use them to train a machine learning pipeline which uses Hidden Markov Models (HMM) for vectorization and Multinomial Logistic Regression (MLR) for prediction.
To extract the dataset of API calls, we build a simplified symbolic execution engine. We call it “simplified” because it supports only a small subset of x86 instructions, just enough to keep track of the arguments passed to API functions.
We conducted two experiments:
- In the first experiment, we test the feasibility of API prediction by arguments and whether ordering of the arguments matters. For this experiment we assume the number of arguments of an API function being predicted is known.
- In the second experiment, we create a more realistic scenario where the number of arguments is unknown. We build a refined model and test if it can (implicitly) infer the number of arguments indented for an API call.
The results show that our models can predict API names by the arguments with the accuracy of 73.18% in the first experiment (when the number of arguments is known) and 87.60% in the second one (when the number of the arguments is unknown, but the methodology is improved).
A. Source Code
The source code of the tools developed for this research as well as instructions on how to use them can be found at https://github.com/cylance/winapi-deobfuscation. The particular tagged commit is at https://github.com/cylance/winapi-deobfuscation/releases/tag/bar-2018.
II. RELATED WORK
One of the first works to address API obfuscation problems was the Eureka framework [8]. This is a generic malware analysis framework and API deobfuscation is only one side of it. Eureka’s API deobfuscation workflow includes the following steps:
1) **Building look up tables** - Eureka builds up a look up table of the API functions exported by the DLLs that are loaded at pre-defined addresses (this assumes the ASLR\(^1\) to be disabled). For the DLLs loaded at randomized addresses (e.g. when ASLR is enabled) it watches out for the DLLs being loaded by the malicious program.
2) **Identifying candidate API calls** - it statically identifies potential API calls by flagging call targets outside the program’s inter-procedural control flow graph.
3) **Identifying static call addresses** - for the flagged candidate calls it looks up the call targets in the pre-built API tables. This method is aimed at a particular obfuscation technique, where API functions are called directly by their addresses in the DLLs bypassing the IAT.
4) **Identifying dynamically computed call addresses** - it monitors calls to `GetProcAddress`\(^2\) and memory write operations. When a memory write is encountered it checks whether `GetProcAddress` has been called earlier. If `GetProcAddress` is found in the control flow path, then the API name being resolved is `GetProcAddresses`’s second argument.
The approach used in Eureka has a strong focus on call targets, which leads to the following limitations: (1) the static analysis method (Step 3) can be bypassed by obfuscating the target address using a technique Eureka is unaware of; (2) the dynamic analysis method (Step 4) can be bypassed by locating the address of an API in the memory space of a DLL without using `GetProcAddress`.
The authors of [9] focus on API obfuscation schemes which encrypt the API names. In such a scheme a decryptor first obtains the name of an API function and then uses `GetProcAddress` to resolve its address. The authors devised a decryptor-agnostic approach to extract the names of imported API functions. It deploys program slicing and taint propagation to correlate a potential decryption routine with the call to `GetProcAddress`. Once the API decryptor is identified they use a debugger as a binary instrumentation tool to “emulate” the decryption and extract the true API function address. This approach suffers from the same problem as the previous one – it uses `GetProcAddress` as a means of finding the API decryptor.
The approach of [10] is better in that it doesn’t rely on `GetProcAddress`. The author makes the distinction between static (or compile-time) and dynamic (or run-time) obfuscation. In static obfuscation the API resolution procedure is hardcoded and stays the same from execution to execution. Meanwhile, dynamic obfuscation assumes copying and obfuscating the code from the DLLs into a newly allocated executable memory area and then jumping into that area. The
\(^1\)ASLR stands for address space layout randomization – an exploitation mitigation which enables the system to load executables at random address locations
\(^2\)An API function resolving other API functions by their names
author proposes two deobfuscation methods - one for the dynamic obfuscation and one for the static one:
- To defeat dynamic obfuscation, the author proposes using memory access analysis that correlates memory read operations from the executable areas of DLLs and subsequent memory write operations into newly allocated memory regions.
- A method for static obfuscation checks whether a call target points at an address of an API function and if it does, the obfuscated call is replaced with the address of the API function.
The limitation of this approach and dynamic analysis methods in general is that sometimes dynamic analysis is impractical or impossible. For example, an analyst might be given a corrupted executable image that won’t run or a malware sample that deploys anti-VM/anti-debugging techniques.
Ours is a static analysis approach and therefore doesn’t require execution, or a malware sample to be complete. Static analysis is a challenging discipline as even simple obfuscation might thwart static analyzers. Our contribution does not eliminate the need for dynamic analysis, but improves the feasibility of static analysis.
III. BACKGROUND
A. Symbolic Execution
Symbolic execution [11], [12] is a type of program execution that can operate on symbolic values. It can be seen as an extension of concrete execution where unknown values (e.g. program’s user input) are represented by symbols. Computation over symbolic values then is essentially building up a formula. For example, consider the x86 instruction `add eax, 5`. It can’t be executed concretely as the value of `eax` is unknown. But in symbolic execution the result will be a symbolic formula `eax + 5`.
Another feature of symbolic execution is the ability to examine all the control flow paths of a program. For each path there is a first-order logic (FOL) formula that describes what conditions must be satisfied for the program to take that path (see Figure 1). These formulas then can be checked with a satisfiability solver to see if a path is realizable or find out what inputs are needed for best code coverage etc.
The ability to execute every path comes at a price - applying symbolic execution to large functions and programs might get prohibitively expensive - a problem known as path explosion. In practice only a subset of all paths is examined based on problem-specific criteria.
A symbolic execution engine should be able to model memory. The most straightforward model is, perhaps, fully symbolic memory, the simplest example of which is a key-value storage. A good overview of memory modeling strategies as well as other aspects of symbolic execution can be found in [12].
Originally created to improve code coverage for software testing [11], symbolic execution has applications in security, e.g. malware analysis assistance [13], identifying trigger behavior in malware [14], augmenting fuzzing techniques [15], checking stability of patches and identifying bugs [16], etc.
In our work, however, we use a simplified version of symbolic execution, which:
- can only execute a small subset of x86 instructions;
- does not support branching;
- does not support function calls.
These limitations were introduced for the sake of performance efficiency and to avoid path explosion as we wanted to generate the dataset for experimentation as fast as possible. At this stage of the research we are less interested in code coverage and more in generating the training dataset for our machine learning models. Our simplified symbolic execution engine is described in Section IV-A. In the future research we are planning to use a full-functioning symbolic execution engine.
B. Hidden Markov Models
Hidden Markov models (HMMs) [17], [18] are a popular statistical model for sequential data,\footnote{A deep learning alternative would be Long Short Term Memory (LSTM) neural networks; however, we stick with the simpler HMM model for the proof of concept, especially because our dataset is still relatively small, and plausibly within the regime where HMMs outperform LSTMs [19].} finding success in diverse fields such as speech recognition, computational molecular...
biology, data compression, cryptanalysis, and finance. In particular, as the field of cybersecurity begins to incorporate data mining and machine learning methods [20]–[23], HMMs have become increasingly popular tools in cybersecurity; for instance, they have been used to detect intrusions in substations of a power system [24], to learn user profiles of web browsing behavior [25], and to detect anomalous programs based on system call patterns [26].
HMMs are generalizations of mixture models (MMs). To build intuition, consider the standard n-simplex, defined by:
\[
\Delta^n = \left\{ (t_0, \ldots, t_n) \in \mathbb{R}^{n+1} \mid \sum_{i=0}^{n} t_i = 1 \text{ and } t_i \geq 0 \text{ for all } i \right\}
\]
(See Fig. 2a.) MMs represent an estimated probability distribution as a point on the simplex. Thus, for MM’s, the vertices represent probability distributions (the “mixture components”, typically summarized by fitted parameters from a parametric family, such as means \( \mu_i \) and covariance matrices \( \Sigma_i \) from Gaussian distributions), and the location of a point on the simplex represents the mixture weights. HMMs are like MMs in that the vertices represent distributions. However, whereas MMs describe an entire dataset as a single point on the simplex, HMMs assign mixture weights to each observation, such that the observed sequence is modeled as traveling through mixture weight space.
For HMMs to map individual observations onto the simplex, they must make additional assumptions about sequence dynamics which do not exist for models, such as MMs, which assume each data point is independent and identically distributed. To state them, let \( y_{1:T} = \{y_1, \ldots y_T\} \) be a sequence of observations, and \( s_{1:T} = \{s_1, \ldots s_T\} \) be a corresponding sequence of unobserved hidden states, where each \( s_t \) is a discrete K-valued random variable (i.e. each \( s_t \in \Delta^{K-1} \)). Then the assumptions for HMM are:
1) **(First order) Markovian hidden state transitions:** The \( t \)th hidden state is conditionally independent of previous data except for the \((t - 1)\)st hidden state.
\[
P(s_t \mid s_{1:t-1}, y_{1:t-1}) = P(s_t \mid s_{t-1})
\]
2) **Time homogeneity:** The underlying “hidden” Markov chain defined by \( P(s_t \mid s_{t-1}) \) is independent of time \( t \) (i.e., is stationary).
3) **Conditionally Independent Observations:** The \( t \)th observation is conditionally independent of all variables except for the \( t \)th hidden variable
\[
P(y_t \mid s_{1:T}, y_{1:T}) = P(y_t \mid s_t)
\]
Figure 2b provides a graphical model representation, where edges represent dependencies. The graphical model reflects the assumptions above: the hidden states follow first-order Markov dynamics (edges between \( s_t \) and \( s_{t+1} \)), and the dependence between observations is completely accounted for by the unobserved hidden state process (edges between \( s_t \) and \( y_t \)).
Given these assumptions, the model is characterized by parameters \( \lambda = (\pi, A, \theta) \):
\[
\begin{align*}
\text{Initial state distribution} & \quad \pi = \{\pi_i\} = P(s_1 = i) \\
\text{State transition matrix} & \quad A = \{a_{i,j}\} = P(s_t = j \mid s_{t-1} = i) \\
\text{Emission distribution} & \quad \theta = \{\theta_j\} \text{ for } P(y_t \mid s_t = j, \theta_j)
\end{align*}
\]
We can interpret the parameters with respect to Figure 2b. The initial state distribution, \( \pi \), describes the probability, before any data is observed, of various values of the initial hidden state \( s_1 \) (say \( s_1 = k \)) in the top left node of the Figure. The \( k \)th emissions distribution parameter, \( \theta_k \), then determines the probability of the first observation, \( y_1 \), given that \( s_1 = k \). The state transition matrix \( A \) describes the probability of transitioning from the first latent state, \( s_1 \), to each possible latent state for \( s_2 \). Following this logic through the graphical model, we obtain the complete data likelihood of a sequence of length \( T \), which is (suppressing \( \lambda \) for simplicity):
\[
p(s_{1:T}, y_{1:T}) = p(s_1)p(y_1 \mid s_1) \prod_{t=2}^{T} p(s_t \mid s_{t-1})p(y_t \mid s_t)
\]
A trained HMM model allows one to evaluate the likelihood of a sequence, \( P(y_{1:T} \mid \lambda) \). However, this evaluation is not immediate using (1), because the hidden state process is unobserved. One might attempt a naive marginalization via enumeration, i.e.
\[
P(y_{1:T} \mid \lambda) = \sum_{s_{1:T}} P(y_{1:T}, s_{1:T} \mid \lambda)
\]
However, note that this summation is over \( K^T \) state sequences. In contrast, a recursive forward algorithm uses ideas from dynamic programming to achieve efficient \( O(TK^2) \) likelihood evaluations. This algorithm exploits the Markovian structure of the model to simplify the number of computations of the likelihood evaluation.
Although notationally suppressed, all probability factors in (1) are conditioned on \( \lambda \). A maximum likelihood estimate of \( \lambda \) can be obtained by employing the Baum-Welch algorithm (a special case of the well-known Expectation Maximization (EM) algorithm). This is done by setting an initial guess for \( \lambda \), and then iterating over the following steps until a stopping criterion is satisfied:
1) **E-step:** Compute \( \mathbb{E}[s_t = k|y_{1:T}, \lambda] \) for all \( t, k \).\(^5\)
2) **M-step:** Given \( s_{1:T}, y_{1:T} \), find \( \lambda \) maximizing (1)
This procedure is guaranteed to monotonically converge to a local maximum of the likelihood. Moreover, it can easily be modified to handle multiple sequences (as occur in our dataset) [17]. Simply perform the E-step for each sequence separately, and then perform the M-step where the complete data likelihood is adjusted into a product over multiple observed sequences.
\(^5\)The forward-backward algorithm, derived from dynamic programming, makes the E-step computationally tractable.
Fig. 2a allows for a geometric interpretation of Baum-Welch. The M-step corresponds to “re-interpreting” the simplex (adjusting the following: the value of the emissions distribution parameters at each vertex, the starting point for the trajectories, and the degree of resistance to traveling in different directions), and the E-step corresponds to finding the best simplex trajectory (or trajectories) to match the observed dataset given the current simplex “interpretation” provided by the M-step.
For our purposes, the mapping of sequences onto the simplex produces a compact representation from which we can derive useful features for our predictive model.
IV. THE PROPOSED APPROACH
A. Simplified Symbolic Execution Engine Overview
The simplified symbolic execution engine is a research tool we developed to collect the training data. It is designed to process functions as opposed to full programs. It supports a limited number of x86 instructions that we assume to be crucial for API call recognition and ignores the rest. The list of supported instructions and explanations for why they were selected are shown in Table I.
To speed up processing time and avoid path explosion, our engine executes the longest path through the function’s control flow graph (CFG)\(^6\) ignoring loops.
We define a function CFG \(G\) with \(n\) vertices and \(m\) edges as a tuple \((V_G, E_G, v_0, r)\), where
- \(V_G = \{v_0, v_1, ..., v_n\}\) - is the set of vertices or nodes.
- \(E_G \subset V_G \times V_G\) - is the set of \(m\) edges.
- \(v_0 \in V_G\) - is the entry node - the point where the function takes the control flow.
\[^6\]A CFG is a directed graph where vertices are basic blocks of the function and edges are control flows between them. A basic block is a sequence of instructions not interrupted by intra-procedural control flow transfer instructions.
TABLE I: The subset x86 instructions supported by the simplified symbolic execution engine
| Instructions | Explanation |
|--------------|-------------|
| push, pop | Windows API functions follow standard calling convention (\_\_stdcall) [27], i.e. the arguments are pushed to the stack in reverse order. pop must be supported alongside push to properly model the stack. |
| mov | Used to transfer data between the registers and between the registers and the memory. Sometimes used to put an address of an API function into a register e.g. mov esi, RegOpenKeyExW / ... / call esi. |
| lea | Used to transfer memory addresses. E.g. lea eax, [ebp+phkResult] puts the address of the variable phkResult into eax (as opposed to its value) |
| xor | Often used to set a register value to zero. Many WinAPI arguments are zeros or NULL-pointers. |
| add, sub, inc, dec | Sometimes addition and subtraction (including increment and decrement operations) are used instead of mov. E.g. xor eax, eax / add eax, 25h / push eax. |
- \(r \subseteq V_G\) - the set of return nodes, i.e. nodes from which the function returns or nodes with tail jumps\(^7\).
A path through a function is a sequence of connected vertices starting at \(v_0\) and ending at any \(v_i \in r\). Let \(P = \{p_0, p_1, ..., p_{|P|}\}\), be the set of all the function’s paths, then the longest path \(p_j\) is such that \(|p_j| \geq |p_k|, \forall p_k \in P, j \neq k\).
Searching the longest path can be computationally expensive for functions whose CFG has a large number of edges. So if \(|E_G| > 100\) we approximate the longest path by performing a random walk from \(v_0\) to any \(v_i \in r\) 30 times and picking the longest path out of 30.
Once the longest path is identified the symbolic execution engines follows its basic blocks executing supported instruc-
\[^7\]Tail jump is a compiler optimization where if a function \(f_1\) calls a function \(f_2\) right before returning (i.e. call \(f_2\) / ret), the call is replaced with a jump to \(f_2\). And then \(f_2\) returns the control back to the caller.
tions. Upon reaching a call instruction it does one of the two things:
1) If the call address is not an API function (i.e. it’s a call to another function in the program) - it ignores the call.
2) If the call address is an API function or a function jumping to an API function (i.e. Delphi-style API call) - it reads at most 12 arguments from the stack (12 is the maximum possible number of arguments in the set of supported API calls); then it looks up the number of arguments it takes in the pre-constructed API database; and, finally, removes this many arguments from the stack (to keep the stack in consistent state).
In both cases it sets the eax register (where the returned value is supposed to be) to the dummy symbolic value “ret”.
The symbolic execution engine is based on radare2 [28] and uses its intermediate language called ESIL (Evaluable Strings Intermediate Language).
B. Simulating Memory
Our simulated memory is a key-value storage, where keys represent memory addresses written to or read from and values represent the data. Both memory addresses and data can be either symbolic or concrete.
Keys are strings of the format size:addr where
- size indicates the size of a memory operation. On a 32-bit x86 system it can be 1, 2, 4 bytes.
- addr is a string representation of the memory address.
Here’s an example of memory write operation:
```
mov [ebp-0xC], 0x1000 → mem["4:ebp-0xC"] = 0x1000
```
Where mem is the key value storage.
Memory read operations are simulated in a similar manner - we construct the key and fetch the value stored at that key. Sometimes the value of a particular address is unknown. In this case we emit a new symbolic value:
- arg_xh, if the memory address is a function argument, i.e it is represented as ebp+x. E.g. a symbolic value for the memory address ebp+0x8 is arg_8h.
- var_xh, if the memory address is a local variable, i.e. it is represented as ebp-x. E.g. a symbolic value for the memory address ebp-0xC is var_Ch.
- mi, where \( i \in \{0, 1, 2, \ldots\} \) is a counter that increments each time a new value is emitted for any other address.
Examples:
```
mov esi, [ebp-0x8] → mem["4:ebp+0x8"] = arg_8h
mov cx, WORD [0x1068EEC] → mem["2:0x1068EEC"] = m0
```
This way of simulating memory is not precise, because, for example, different symbolic values may point to the same memory. But we conjecture that in practice it shouldn’t have a strong effect on the efficacy of the prediction model.
C. Data Collection
Algorithm 1 describes our data collection process. It calls a few subroutines which we will not define as rigorously as Algorithm 1. These subroutines are fairly simple and depend heavily on third party tools and libraries:
- EXTRACT_FUNCTIONS(exe) - extracts functions from an executable exe using radare2. Each function is represented as a pair (address, opcodes), where address is a function’s virtual address and opcode is the sequence of instructions the function consists of.
- GET_CFG(f) - builds the CFG of a function f using the recursive traversal algorithm [29]. We use the NetworkX [30] Python library to represent the function CFG.
- GET_NUMBER_OF_EDGES(CFG) - returns the number of edges in a function’s CFG.
- FIND_LONGEST_PATH(CFG) - finds the longest path through the function’s CFG using NetworkX’s method all_simple_paths. all_simple_paths takes start and end vertices as arguments.
- GET_PATH_RANDOM_WALK(CFG) - performs random walk through the CFG 30 times and returns the longest path.
- GET_OP_TYPE(opcode) - returns the radare2 type of an opcode. E.g. type of the opcode mov ebp, esp is “mov”.
- SYM_EXECUTE(opcode) - executes the current opcode symbolically and updates the internal state of the symbolic execution engine.
- GET_CALL_TARGET(opcode) - extracts the address of a call. E.g. for the call call 0x01001C78 it returns 0x01001C78.
- IS_API_CALL(address) - looks up an address in the IAT of the executable
- LOOK_UP_NUMBER_OF_ARGUMENTS(api_name) - looks up the number of arguments an API function requires in a pre-constructed table.
- GET_ARGUMENTS_FROM_STACK(n_args) - reads at most 12 arguments from the stack and removes n_args values, where n_args - is the actual number of arguments an API function takes and \( 3 \leq n_{args} \leq 12 \).
- PUT_IN_DATABASE(api_name, arguments, n_args) - puts the API name and its arguments from the stack, as well as the real number of arguments into the database.
We applied Algorithm 1 to a data set of 2,185 32-bit PE files. The PE files are standard 32-bit Windows executables and DLLs that are typically found on a vanilla Windows 7 SP1 in C:\Program Files, C:\Windows and C:\Windows\system32. The only exception is a set Python 2.7 binaries. We skipped some of the files due to the large size which radare2 couldn’t process efficiently at the time of the research.
From those binaries we extracted 63,195 calls with 2,748 unique API names. We used the top 25 API functions with the most data points (see Appendix A for the full list of API names). Still the data was too biased with some API calls having thousands of entries and some just a few hundreds. To balance the dataset we sampled at most 400 calls from each group. The final dataset consists of N=9,451 samples of API
Algorithm 1 Data Collection
Input: exe - 32-bit Windows executable
functions ← EXTRACT_FUNCTIONS(exe)
for all f ∈ functions do
CFGf ← GET_CFG(f)
n_edges ← GET_NUMBER_OF_EDGES(CFGf)
if n_edges < 100 then
path ← FIND_LONGEST_PATH(CFGf)
else
path ← GET_PATH_RANDOM_WALK(CFGf)
end if
for all opcode ∈ path do
mmem ← GET_OP_TYPE(opcode)
if mmem <> "call" then
if mmem ∈ supported_mnemonics then
SYM_EXECUTE(opcode)
end if
else
call_target ← GET_CALL_TARGET(opcode)
if IS_APL_CALL(call_target) then
name ← LOOK_UP_IMPORT_TABLE(call_target)
n_arg ← LOOK_UP_NUMBER_OF_ARGUMENTS(name)
arguments ← GET_ARGUMENTS_FROM_STACK(n_args)
PUT_IN_DATABASE(name, arguments)
end if
end if
UPDATE_EAX()
end for
end for
calls and arguments read from the stack with each of the 25 API calls representing somewhere between 2.69% and 4.91% of the dataset.
D. Argument Representation
Collected arguments can be one of the following types:
1) Integer - 0x1000, 0x80000002 etc.
2) Symbolic value - eax, m1, etc.
3) Symbolic expression - edx + ebx − 1, 32 + ecx, etc
There are two problems. First, the dataset is of mixed type. Symbolic values and expressions are essentially strings, whereas the remaining arguments are integers. Mixed types complicate the modeling process.\footnote{In particular, in this case, the emissions distributions of the HMMs would need to accommodate mixed types. This would push the HMM out of the regime of standard HMMs and into the territory of hierarchical or mixture models, for which there may not be a closed form maximum likelihood solution for the E-step of Baum-Welch.} Second, the vocabulary (i.e., the space of possible argument values) is too large. The set of symbolic values and the set of symbolic expressions are both infinite and the set of integers [in 32-bit x86 CPU] has impractically large cardinality of $2^{32}$. The problem here is that a model will be insufficiently powered to learn about the distribution of arguments if the number of arguments is too large relative to the number of samples.\footnote{In particular, in our case, the emissions distributions of the HMM are categorical with true multinomial parameter $p$ and estimator $\hat{p}$. The variance of $\hat{p}$ grows monotonically with the size of the vocabulary, such that datasets with large vocabulary relative to sample size can be overfit and perform poorly in prediction mode.}
To solve these problems, we map the three argument types into finite sets (with binning, as described below, for the integers). This allows us to model arguments with a single categorical distribution of moderate size. The mapping is performed as follows:
**Integer arguments** can be split into three groups:
1) *Arbitrary values*, e.g. size of a memory allocation, or size of a buffer to read into.
2) *Predefined values*, e.g. permission constants, flags, enumerations etc.
3) *Pointers*, i.e. addresses in the memory
We conjecture that arbitrary values are not that important for API prediction. What might be important is their scale. So, an arbitrary integer is encoded as the length of its string representation in hexadecimal (ignoring ‘0x’ prefix). E.g. 0x1000 becomes 4, 0x12 becomes 2, etc.
Predefined values on the other hand are crucial for prediction. For example, a system-defined registry key handle can be 0x80000001 (HKEY_LOCAL_USER), 0x80000002 (HKEY_LOCAL_MACHINE) etc., which makes it very likely that a function with one of those values as a first argument is related to the registry. Therefore we do not abstract predefined values and leave them as is.
Finally, all the pointers are replaced by the string “ptr” as a pointer can take any arbitrary value and depends on a compiler and compilation options.
**Symbolic values** are mapped onto the set of strings \{reg, var, mem, ret, *\}, where:
- *reg* - corresponds to any register; since compilers can use some registers interchangeably we ignore the actual register names and sizes.
- *var* - corresponds to a function argument or a local variable. We make no distinction between arguments and local variables as any argument may or may not be put into a local variable before being passed to the callee.
- *mem* - is any symbolic memory value.
- *ret* - is any value that has been returned by a function.
- *-* - is a dummy value we use when the number of arguments is greater than the number of values on the stack. Since our symbolic execution engine supports only a small subset instructions, it is sometimes possible that the stack is in an inconsistent state.
**Symbolic expressions** can be any combination of symbolic values and supported operations between them, therefore the set of all potential values is infinite. Furthermore, it is very difficult to define a meaningful order relation on such set. So any symbolic expression is represented as the string “expr”.
The vocabulary size from training (i.e. distinct arguments in our representation scheme) was $W = 679$. Some samples of API calls and their arguments are shown in Table II.
E. Vectorization
We conceptualize the arguments of an API call as a sequence, i.e. the ordering of the arguments matters. To capture this sequence information, our approach applies what we call a *Sequential (HMM)* vectorization to the dataset:
TABLE II: Samples of API calls for 3 API call functions.
| API Call Function | Argument Sequence |
|----------------------------|------------------------------------|
| RegOpenKeyEx | var, var, 0x146, 1, 1 |
| RegOpenKeyEx | mem, 4, 0x170, var, 1 |
| GetLocaleInfo | mem, 4, 1, 1 |
| GetLocaleInfo | ret, 3, 2, 2 |
| SendDlgItemMessage | var, var, ret, expr, var, var, var, 1 |
| SendDlgItemMessage | mem, 0x411004, expr, 2, expr, 1, 1, expr |
1) Train one or more relevant HMMs.\(^{10}\) (What constitutes a “relevant” HMM depends on the experiment; see the Experiment sections for more detail.)
2) Feed a given argument sequence through the trained HMM(s) in order to represent it as a latent trajectory on the simplex.
3) Derive feature vectors from those latent trajectories.
Many strategies could be used, in principle, for converting latent trajectories into features. For this proof of concept, each API call’s argument sequence is vectorized into \(K+3\) features, where \(K\) is the number of hidden states for the HMM. The features are
- **\(K\) hidden state features**: The log of the hidden state distribution at the terminal argument, i.e. the \(K\)-valued vector \(\log P(s_T \mid y_{1:T}, \lambda)\)
- **3 likelihood features**: The log likelihood of the sequence, \(\log P(y_{1:T} \mid \lambda)\), the mean log likelihood of an observation in the sequence, \(\frac{1}{T} \log P(y_{1:T} \mid \lambda)\), and the log likelihood of the final observation, \(\log P(y_T \mid \lambda)\).
Roughly, the hidden state features summarize the history of the argument sequence from the perspective of the final argument, and the likelihood features summarize how unusual the sequence is relative to the relevant (training) population.
**F. Prediction**
A predictive model, or classifier, is trained to learn a mapping between the feature vectors onto API function names. Many classifiers could be used in principle; for this proof of concept, a multinomial logistic regression (MLR) is applied for simplicity. The MLR produces, for each sample \(i = 1, \ldots, N\) represented as a feature vector \(X_i\), a probability distribution over candidate API calls. If the candidate API calls are considered as a random variable \(M\) and represented by indicators \(m = 1, \ldots, 25\), then the MLR model returns:
\[
p_{i,m} = P(M_i = m \mid X_i)
\]
For the \(i\)th sample, the predicted API call \(\widehat{M}_i\) is determined as the API call with the largest score
\[
\widehat{M}_i = \argmax_m p_{i,m}
\]
To evaluate predictive performance, the dataset is randomly partitioned into a training set (7,869 samples, or 80% of the dataset) and a test set (1,968 samples, or 20% of the dataset).
\(^{10}\)We fit HMMs efficiently using the Baum-Welch algorithm available in the pyhsmm Python package [31]. The package calls a forward-backward algorithm implementation which is written in C.
**V. EXPERIMENT 1**
For Experiment 1, we investigate the performance of the generic API call deobfuscator in an artificially constrained setting, where we treat each API call as having a known number of arguments. (In Experiment 2, we relax this constraint.) The experiment has two primary goals: (1) to investigate how well one can predict the unknown identity of the API call using our vectorization and prediction scheme;\(^{11}\) and (2) to investigate the extent to which the ordering of the arguments is important for these predictions.
**A. Methodology**
For this experiment, we treat each API call as an i.i.d sample from a single population that includes all possible API functions. Thus, we train a single HMM on the set of 7,869 API call samples that has no knowledge of the API function name. For this experiment, we arbitrarily preset \(K=10\). We then use the *Sequential (HMM)* vectorization strategy, described in Section IV-E, to extract \(K+3 = 13\) features from each of these samples based on its argument sequence. Afterwards, we train a classifier, described in Section IV-F, to map feature vectors to API function names. Predictions are made by applying the trained HMM vectorizer to the test set of 1,968 samples, and then running the resulting vectors through the trained classifier. We take the API function with the highest score to be the predicted API function for that particular call. We investigate the quality of this prediction.
A subsidiary purpose of this experiment is to address the question: how do we know that the sequence of arguments matters? Might it be enough to represent the arguments as a *bag of words*, whereby we consider the presence/absence of possible arguments but not their order? To address this question, we apply an alternate vectorization strategy, which we refer to as the *Bag of Words (SVD)* vectorization strategy. Here, we use one-hot encoding to create a \((N \times W)\) binary matrix such that the \((i,j)\)th entry is set to 1 if the \(i\)th sample contains argument \(j\), and 0 otherwise. We then run a singular value decomposition (SVD) on this matrix, rotate it onto its right singular vectors, and use the \(K+3\) dominant components to represent the dataset. This strategy provides the best rank \(K+3\) approximation to the original dataset, and allows for a comparison between the *Sequential (HMM)* and *Bag of Words (SVD)* vectorization schemes where the number of features is held constant.
**B. Results**
The generic API call deobfuscator achieved 75.50% accuracy in predicting the correct API call from a bank of 25 candidates when using our preferred argument sequence (HMM) vectorization strategy and a multinomial logistic regression.
\(^{11}\)Note that, in reality, if we knew the number of arguments for an obfuscated API call, it would make the prediction task substantially easier. For example, if we knew that the obfuscated API call had 4 arguments, then we could immediately eliminate any candidate API functions that take a different number of arguments (e.g. RegOpenKeyEx and SendDlgItemMessage in Table II). However, we do not directly utilize this information here, as it would impede upon the primary goal of this experiment.
classifier. For comparison, random guessing would produce only 4.0% accuracy, and random guessing by selecting the most common API call in the training set would produce only 4.9% accuracy.
Predictive performance drops from 75.50% under the sequential (HMM) vectorization strategy to 51.30% under the bag of words (SVD) vectorization strategy. As a result, the sequential (HMM) vectorization strategy causes the confusion matrix to concentrate its probably mass more tightly on the diagonal. (See Figure 3).\footnote{Figure 3 also suggests that when the predictive model is wrong, the model tends to confuse the true API call with only a very small number of other calls. Indeed, a follow up analysis revealed that the generic API call deobfuscator included the correct API call in its top prediction 75.50\% of the time, top 2 predictions 89.26\% of the time, and top 3 predictions 92.38\% of the time.} Thus, the \textit{sequence} (or ordering) of arguments appears to provide information valuable for predicting the API function name.
\subsection{Discussion}
The major shortcoming of this experiment is that the number of arguments for each API call is treated as known. In practice, when we encounter an API function call whose name we would like to predict, we don’t know how many arguments on the stack are intended for this call. The stack contains an arbitrary number of values, some of which remain from previous non-API calls, and some of which are pushed in advance for the subsequent calls (API or non-API).
\section{Experiment 2}
For Experiment 2, we investigate the performance of the generic API call deobfuscator in a more realistic setting, where, due to obfuscation, we do not know the number of arguments that correspond to a given obfuscated API call. Here, the model must evaluate numerous possible argument lengths based on the contents of the stack, thereby implicitly inferring the number of arguments. Although this setting is more challenging, we also exploit it to our advantage. In particular, as we consider popping different numbers of arguments from the stack, different subsets of API function names should become viable candidates. This contrasts with Experiment 1 which implicitly ignored the known correspondence between API function names and argument number (e.g. \texttt{RegOpenKey} takes 5 arguments, but \texttt{GetLocaleInfo} takes 4 arguments) by fitting a single HMM to the entire corpus.
\subsection{Methodology}
We imagine incrementally popping arguments from the stack to construct an argument sequence of increasing length $\ell$, and then evaluating the fit of that argument sequence against all API functions which are known to take $\ell$ arguments. We then determine which API call is most likely, across all $\ell$, thereby also indirectly discovering the true $\ell^*$.
To do this, we train $M = 25$ separate HMMs, where each HMM is trained on all samples for a particular API function.\footnote{Note that we are now treating each API call sample as an i.i.d sample from the population of some \textit{particular} API function, rather than from a population of all API function, as in Experiment 1.} For an arbitrary $m$th HMM model, we vectorize using the number of arguments $\ell_m$ appropriate for the corresponding API name.\footnote{If the candidate API call requires more arguments than can possibly be extracted from the stack, we set all the features to a default “unlikely” value of $-200.00$. Recall that all features are probabilities on a log scale, and so this unlikely value corresponds to a probability of $1.38 \times 10^{-87}$.} In this way, we obtain $M * (K + 3) = 325$ features for each sample. As in Experiment 1, we arbitrarily fix the number of latent states for each HMM to $K = 10$.
\subsection{Results}
Fig. 4 shows the performance of the generic deobfuscator on a hold-out test set of obfuscation API calls, as a function of the number of predictions allotted to the model. The generic API call deobfuscator selected the true API call 87.60\% of the time\footnote{Accuracy using only the $K$ latent state marginal features was 85.16\%, and using only the 3 likelihood features was 84.09\%.} when it was allowed a single prediction and 95.63\%, 97.36\%, 98.27\%, and 98.68\% of the time when it was allowed 2, 3, 4, and 5 predictions, respectively. In contrast, a baserate model, which guesses according to which API calls were most commonly observed during training, made correct predictions 3.25\%, 6.71\%, 10.27\%, 13.83\%, and 17.59\% of the time with those same prediction allotments.
\subsection{Discussion}
Although Experiment 2 handles relatively tougher constraints (the unknown number of arguments for an obfuscated API call) than Experiment 1, it actually yields substantially better predictive performance. This is because the methodology of Experiment 2 is more refined, exploiting the linkage between API function names and argument lengths to achieve a more informative vectorization.
\section{Future Work}
Now that we have evidence that our idea works in principle, we can start improving upon each subcomponent of our research: (1) the symbolic execution engine; (2) the data set; (3) the API prediction models.
\textbf{Improvements to the symbolic execution engine}:
- Extract additional contextual information about the API calls, such as sequences of API calls, data flow between the API calls, etc. This will provide additional information to the prediction model and potentially improve accuracy.
- Support full x86 instruction set and test whether this improves the accuracy of prediction as well as cover all control flow paths with API calls.
\textbf{Improvements to the data set}
- Use a larger dataset of Windows executables, include popular programs and utilities other than those coming with Windows. Include malicious programs in the dataset. The malicious dataset must be as diverse as possible i.e. using various types of malicious functionality: code injection, command and control communication, encryption etc.
- Perform exploratory data analysis on malware dataset and prepare a list of API functions most likely to be seen
Fig. 3: Confusion matrices for API call classifier under different vectorization strategies. The \((i, j)\)th entry of the confusion matrix reports the number of times that the model predicted the \(i\)th API call and the \(j\)th API call was the true call. A model is more accurate if it looks closer to a diagonal matrix (i.e. has higher counts – looks more red – on the diagonal and lower counts – looks more beige – on the off diagonal).
Fig. 4: Predictive performance of generic API call deobfuscator.
in malware. Correlate API functions used with types of malicious behavior. Incorporate native APIs into the study as malware is known to use those too.
Improvements to predictions model:
- Exploit Bayesian HMM’s with additional hierarchical structure. For instance, apply hierarchical emissions distributions, which nests particular argument tokens within their broader categorizations (e.g. 0x146 and 0x170 are both flags, and so observing one should increase the probability of the other). Also, the 25 separate HMM’s should be viewed as perturbations of a global HMM, so the learned emissions distribution for one API function should influence the estimated emissions distribution for the other API calls.
- Optimize model parameters (e.g. \(K\), the number of hidden states in the HMM, as well as parameters in the current classifier or alternative classifiers – regularized MLR, SVM, etc.)
- Seek richer vectorization strategies. With HMM vectorization, we discard the latent state trajectories except for the terminal point; the rest of the trajectory implicitly enters into consideration via the likelihoods, but may provide additional information as well. Alternatively, we might explore alternate tools for vectorizing sequences, e.g. LSTM.
VIII. CONCLUSION
Our proof of concept research suggest that (1) it is possible to predict the name of an API function from the arguments passed to it by the program and (2) machine learning, specifically HMM, is instrumental in the API prediction. The results suggest future research directions. For example, we learned that some API calls are so similar that they might be mixed up by the prediction models. Using hierarchical HMMs and incorporating more contextual information (such as API sequences) might improve the accuracy.
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APPENDIX A
LIST OF API NAMES
1) CheckDlgButton
2) CoCreateInstance
3) CompareString
4) CreateFile
5) CreateWindowEx
6) DeviceIoControl
7) FormatMessage
8) GetLocaleInfo
9) HeapAlloc
10) LoadString
11) MessageBox
12) MultiByteToWideChar
13) PostMessage
14) ReadFile
15) RegCreateKeyEx
16) RegOpenKeyEx
17) RegQueryValueEx
18) RegSetValueEx
19) SendDlgItemMessage
20) SendMessage
21) SetDlgItemText
22) SetTimer
23) SetWindowPos
24) WideCharToMultiByte
25) WriteFile |
CNS & Extrahepatic RNAi Pipeline Programs
October 1, 2021
Agenda
Welcome
• Joshua Brodsky – Senior Director, Investor Relations & Corporate Communications
Introduction & Extrahepatic Platform Overview
• Vasant Jadhav, Ph.D. – SVP, Research
RNAi Therapeutics for CNS Disorders
• CNS Delivery
o Kirk Brown, Ph.D. – Senior Director, CNS Program
• CNS Pipeline
o Bret Bostwick, M.D. – Director, Clinical Research
Advancing RNAi Therapeutics into Ocular and Lung Disorders
• Vasant Jadhav, Ph.D. – SVP, Research
Q&A Session
Reminders
Event will run for approximately 60-75 minutes
Q&A session at end of presentation
• Questions may be submitted at any time via the ‘Ask a Question’ field on the webcast interface
Replay, slides and transcript available at www.alnylam.com/capella
Alnylam Forward Looking Statements
This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934, including expectations regarding our aspiration to become a leading biotech company, and the planned achievement of our “Alnylam P5x25” strategy, the potential of our platform to enable RNAi therapeutics for the treatment of large indications and the extension into extrahepatic tissues, including the CNS, eye and lungs, the potential of RNAi therapeutics to demonstrate superior potency, duration and systemic safety profile versus ASOs, the potential of ALN-APP to treat Alzheimer’s disease and other indications and expectations regarding the timeline for the initiation of clinical development, and expectations regarding our long-term pipeline opportunities and growth. Actual results and future plans may differ materially from those indicated by these forward-looking statements as a result of various important risks, uncertainties and other factors, including, without limitation: the direct or indirect impact of the COVID-19 global pandemic or any future pandemic on our business, results of operations and financial condition and the effectiveness or timeliness of our efforts to mitigate the impact of the pandemic; our ability to discover and develop novel drug candidates and delivery approaches and successfully demonstrate the efficacy and safety of our product candidates; the pre-clinical and clinical results for our product candidates; actions or advice of regulatory agencies and our ability to obtain and maintain regulatory approval for our product candidates, including lumasiran, as well as favorable pricing and reimbursement; successfully launching, marketing and selling our approved products globally; delays, interruptions or failures in the manufacture and supply of our product candidates or our marketed products; obtaining, maintaining and protecting intellectual property; our ability to successfully expand the indication for ONPATTRO (and potentially vutrisiran) in the future; our ability to manage our growth and operating expenses through disciplined investment in operations and our ability to achieve a self-sustainable financial profile in the future without the need for future equity financing; our ability to maintain strategic business collaborations; our dependence on third parties for the development and commercialization of certain products, including Novartis, Sanofi, Regeneron and Vir; the outcome of litigation; the potential impact of current and risk of future government investigations; and unexpected expenditures; as well as those risks more fully discussed in the “Risk Factors” filed with our most recent Quarterly Report on Form 10-Q filed with the SEC and in our other SEC filings. If one or more of these factors materialize, or if any underlying assumptions prove incorrect, our actual results, performance, timelines or achievements may vary materially from any future results, performance or achievements expressed or implied by these forward-looking statements. All forward-looking statements speak only as of the date of this presentation and, except as required by law, we undertake no obligation to update such statements.
Agenda
Welcome
• Joshua Brodsky – Senior Director, Investor Relations & Corporate Communications
Introduction & Extrahepatic Platform Overview
• Vasant Jadhav, Ph.D. – SVP, Research
RNAi Therapeutics for CNS Disorders
• CNS Delivery
o Kirk Brown, Ph.D. – Senior Director, CNS Program
• CNS Pipeline
o Bret Bostwick, M.D. – Director, Clinical Research
Advancing RNAi Therapeutics into Ocular and Lung Disorders
• Vasant Jadhav, Ph.D. – SVP, Research
Q&A Session
RNAi Therapeutics: New Class of Innovative Medicines
Clinically and Commercially Established Approach with Transformational Potential
Nobel Prize-winning science
Silence any gene in genome with siRNAs
Potent and durable mechanism of action
Product engine for sustainable innovation
Multiple products impacting patients globally
© 2022 Alnylam Pharmaceuticals, Inc.
Focused R&D Strategy
Turning an *In Vitro* Observation into a New Class of Medicines
**Target Organs**
**RNAi Therapeutics**
**Genetically Validated Targets**
**Delivery**
Addressing Delivery Challenges in Liver
**siRNA Characteristics**
- Large molecules (~14,000 Da)
- Highly negatively charged
- Hydrophilic
**Challenges with natural, unmodified siRNAs**
- Unstable in biological matrices
- Nuclease susceptibility and lack of passive uptake across cell membranes
- Immunostimulatory
**Lipid Nanoparticles (LNPs)**
- Multi-component lipid formulation
- Encapsulated siRNA
- Highly efficient for targeted delivery to liver
- Administered intravenously
- Clinically validated (patisiran)
**GalNAc-siRNA Conjugates**
- Single chemical entity
- GalNAc ligand conjugated to extensively modified siRNA
- Targeted delivery to liver
- Administered subcutaneously (SC)
- Clinically validated (all current DCs in clinical development other than patisiran)
**Without these lipid shells, there would be no mRNA vaccines for COVID-19**
Fragile mRNA molecules used in COVID-19 vaccines can’t get into cells on their own. They owe their success to lipid nanoparticles that took decades to refine.
*C&EN, March 2021*
**Continuous innovation**
- STC → ESC → ESC+ → IKARIA
Key Features of Alnylam RNAi Therapeutics in Liver
Platform Profile Well-Suited for Large Indications
**Alnylam RNAi Platform**
- Infrequent, subcutaneous administration creates dosing flexibility for patients and eases treatment burden
- Potential for quarterly and biannual dosing
- Wide therapeutic index with potential for transformative outcomes
- Extensive human safety experience across multiple indications, including large market indications such as hypercholesterolemia
---
**MAXIMUM KNOCKDOWN (KD) EFFICACY**
Up to **99%**
**UNDRUGGABLE TARGETS**
**DURABILITY**
As few as **2** doses per year vs. **365** or more doses per year
**CLAMPED PHARMACODYNAMICS (PD)**
**SUBCUTANEOUS (SC) ROUTE**
**ROOM TEMP**
RNAi is Durable AND Reversible
Intracellular Depot For the Durability of Conjugates
Activity in Proliferating Mouse Liver after Partial Hepatectomy (Two Thirds)
OTS Paper of the Year 2021
NAR Breakthrough Article
Investigating the pharmacodynamic durability of GalNAc–siRNA conjugates
Christopher R. Brown¹, Swati Gupta¹, June Qin¹, Timothy Racie¹, Guo He¹, Scott Lentini¹, Ryan Malone¹, Mikyung Yu¹, Shigeo Matsuda¹, Svetlana Shulga-Morskaya¹, Anil V. Nair², Christopher S. Theile¹, Karyn Schmidt¹, Azar Shahraz¹, Varun Goel¹, Rubina G. Parmar¹, Ivan Zlatev ³,⁴, Mark K. Schlegel¹, Jayaprakash K. Nair¹, Muthusamy Jayaraman¹, Muthiah Manoharan ⁵,⁶, Dennis Brown², Martin A. Maier¹ and Vasant Jadhav ³,⁴,¹.
¹Alnylam Pharmaceuticals, Inc., Cambridge, MA, USA; ²The University of Texas MD Anderson Cancer Center, Houston, TX, USA; ³The University of Texas at Austin, Austin, TX, USA; ⁴The University of Texas at Austin, Dell Medical School, Austin, TX, USA; ⁵The University of Texas at Austin, College of Pharmacy, Austin, TX, USA; ⁶The University of Texas at Austin, Department of Chemistry, Austin, TX, USA.
## Alnylam Clinical Development Pipeline
**Focused in 4 Strategic Therapeutic Areas (STArS):**
- Genetic Medicines
- Cardio-Metabolic Diseases
- Infectious Diseases
- CNS/Ocular Diseases
| Product | Indication | Stage | Registration/Commercial | Commercial Rights |
|---------|------------|-------|-------------------------|-------------------|
| Onpattro® (givosiran) | hATTR Amyloidosis-PN | Early/Mid-Stage | Global | |
| Givlaari® (givosiran) | Acute Hepatic Porphyria | Late Stage | Global | |
| Oxlumo® (lumasiran) | Primary Hyperoxaluria Type 1 | Late Stage | Global | |
| Leqvio® (inclisiran) | Hypercholesterolemia | Registration/Commercial | Milestones & up to 20% Royalties | |
| Vutrisiran* | hATTR Amyloidosis-PN | Registration/Commercial | Global | |
| Patisiran | ATTR Amyloidosis | Late Stage | Global | |
| Vutrisiran* | ATTR Amyloidosis | Late Stage | Global | |
| Fitusiran* | Hemophilia | Late Stage | 15-30% Royalties | |
| Lumasiran | Severe PH1 Recurrent Kidney Stones | Registration/Commercial | Global | |
| Cemdisiran* | Complement-Mediated Diseases | Early/Mid-Stage | 50-50 | |
| Cemdisiran/Pozelimumab Combo* | Complement-Mediated Diseases | Registration/Commercial | Milestone/Royalty | |
| Belcesiran* | Alpha-1 Liver Disease | Late Stage | Ex-U.S. option post-Phase 3 | |
| ALN-HBV02 (VIR-2218)* | Hepatitis B Virus Infection | Registration/Commercial | 50-50 option post-Phase 2 | |
| Zilebesiran (ALN-AGT)* | Hypertension | Registration/Commercial | Global | |
| ALN-HSD* | NASH | Registration/Commercial | 50-50 | |
---
1 Includes marketing application submissions: * Approved in the U.S. and Canada for the PN of hATTR amyloidosis in adults, and in the EU, Japan and other countries for the treatment of hATTR amyloidosis in adults with stage 1 or stage 2 polyneuropathy; * Approved in the U.S., Brazil and Canada for the treatment of adults with acute hepatic porphyria (AHP), and in the EU and Japan for the treatment of AHP in adults and adolescents aged 12 years and older; * Approved in the U.S., EU and Brazil for the treatment of primary hyperoxaluria type 1 in all age groups; * Novartis has obtained global rights to develop, manufacture and commercialize inclisiran; 50% of inclisiran royalty revenue from Novartis will be payable to Blackstone by Alnylam; * Cemdisiran and pozolimumab are each currently in Phase 2 development; Alnylam and Regeneron are evaluating potential combinations of these two investigational therapeutics; * Dicerna is leading and funding development of Belcesiran; * Vir is leading and funding development of ALN-HBV02; * Not approved for any indication and conclusions regarding the safety or efficacy of the drug have not been established.
As of August 2021
Alnylam Advancements in Conjugate-Based Delivery of siRNAs
siRNA Designs with Enhanced Potency and Stability May Extend to Extrahepatic Tissues
**Therapeutic silencing of an endogenous gene by systemic administration of modified siRNAs**
**Multivalent N-Acetylgalactosamine-Conjugated siRNA Localizes in Hepatocytes and Elicits Robust RNAi-Mediated Gene Silencing**
**Advanced siRNA Designs Further Improve In Vivo Performance**
**Selection of GalNAc-conjugated siRNAs with limited off-target-driven rat hepatotoxicity**
---
**ABSTRACT:** Conjugate delivery of siRNAs (siRNA-CON) is an emerging strategy for systemic delivery of the cellular cargo. We have previously shown that GalNAc conjugation of siRNAs can improve their biodistribution, with enhanced accumulation in the liver. Herein, we report the development of siRNA-GalNAc conjugates using a new generation of dG30 chemistry achieved through a novel linker design. This enabled the SC adduct to be positioned at the 5′ terminus of the siRNA duplex, thereby at low doses of siRNA-CON, achieving robust gene silencing over 7 months with no observed off-target effects. These data are biologically and long-term proof-of-concept for these genes, with insight of its mechanism.
**INTRODUCTION:** The endogenous RNAi pathway is a powerful tool for the treatment of genetic diseases. However, the use of siRNAs has been limited due to their instability and off-target effects. To overcome these challenges, various strategies have been developed, including the use of modified siRNAs and conjugates. Conjugates are a promising approach for delivering siRNAs to target tissues. The conjugation of siRNAs with ligands allows for targeted delivery to specific cells or tissues, which can enhance the efficacy and safety of the therapeutic agent. In this study, we report the development of a new generation of siRNA-GalNAc conjugates using a novel linker design. This design enables the SC adduct to be positioned at the 5′ terminus of the siRNA duplex, thereby at low doses of siRNA-CON, achieving robust gene silencing over 7 months with no observed off-target effects. These data are biologically and long-term proof-of-concept for these genes, with insight of its mechanism.
**RESULTS:** We performed a series of experiments to evaluate the potential of siRNA-CON for therapeutic applications. We found that siRNA-CON can effectively silence target genes, with no observed off-target effects. We also demonstrated that siRNA-CON can be delivered to target tissues, such as the liver, with high efficiency. Finally, we showed that siRNA-CON can be used to treat genetic diseases, such as Huntington's disease, with significant improvements in disease progression.
**CONCLUSIONS:** Our results suggest that siRNA-CON is a promising approach for therapeutic applications. The conjugation of siRNAs with ligands allows for targeted delivery to specific cells or tissues, which can enhance the efficacy and safety of the therapeutic agent. We believe that further research and development in this area will lead to the development of more effective and safer therapies for genetic diseases.
---
**Figure:** Evolution of conjugate potency (mouse, SD ED₅₀)
- **Partially modified**
- **STC**
- **ESC**
- **Advanced ESC**
- **ESC+**
---
**References:**
1. Alnylam Pharmaceuticals, Inc. 2014. *N-Acetylgalactosamine-Conjugated siRNA Localizes in Hepatocytes and Elicits Robust RNAi-Mediated Gene Silencing*. *Molecular Therapy*.
2. Alnylam Pharmaceuticals, Inc. 2018. *Advanced siRNA Designs Further Improve In Vivo Performance*. *Nature Communications*.
3. Alnylam Pharmaceuticals, Inc. 2018. *Selection of GalNAc-conjugated siRNAs with limited off-target-driven rat hepatotoxicity*. *ACS Publications*.
---
**Authors:** Alnylam Pharmaceuticals, Inc.
Expanding Areas of Therapeutic Focus
Build on industry-leading liver platform
Extend delivery innovation to access new tissues
Tissues for Extrahepatic Delivery
- Multiple disease areas with high unmet medical need
- Genetically validated targets for disease with established biomarkers
- Leveraging siRNA-conjugate approach for delivery of RNAi therapeutics across multiple organs
Alliances in Extrahepatic Discovery and Development
**REGENERON**
- Landmark alliance with Regeneron focused on CNS & ocular RNAi therapeutics
- Leverages Alnylam R&D expertise and scientific excellence in RNAi therapeutics, in combination with Regeneron’s world-leading capabilities in human genetics
- 50-50 structure in CNS, with Regeneron leading development and commercialization of all programs targeting eye diseases.
**PeptiDream**
- Collaboration to discover and develop peptide-siRNA conjugates for targeted delivery of RNAi therapeutics to a broad range of extrahepatic tissues
- PeptiDream to select, optimize, and synthesize peptides for Alnylam-selected receptors utilizing its peptide discovery platform
- Final peptide selection to be supported by *in vitro* and *in vivo* studies evaluating novel peptide-siRNA conjugates
Over 25 Preclinical Programs in Four Tissues Feeding Pipeline
**LIVER**
- Alnylam
- ALN-XDH
- ALN-KHK
- ALN-LEC
- ALN-CC3
- ALN-F12
- Many others
- Alnylam/Regeneron
- ALN-PNP
- ALN-REGN-L2
- ALN-REGN-L4
- ALN-REGN-L5
**CNS**
- Alnylam/Regeneron
- ALN-APP
- ALN-HTT
- ALN-REGN-C3
- ALN-REGN-C4
- ALN-REGN-C5
- ALN-REGN-C6
- ALN-REGN-C7
- ALN-REGN-C8
- ALN-REGN-C9
**EYE**
- Alnylam
- ALN-TTRoc
- Alnylam/Regeneron
- ALN-REGN-E1
- ALN-REGN-E2
- ALN-REGN-E3
- ALN-REGN-E4
**LUNG**
- Alnylam/Vir
- ALN-VIR2 (ACE2)
- ALN-VIR3 (TMPRSS2)
Agenda
Welcome
• Joshua Brodsky – Senior Director, Investor Relations & Corporate Communications
Introduction & Extrahepatic Platform Overview
• Vasant Jadhav, Ph.D. – SVP, Research
RNAi Therapeutics for CNS Disorders
• CNS Delivery
o Kirk Brown, Ph.D. – Senior Director, CNS Program
• CNS Pipeline
o Bret Bostwick, M.D. – Director, Clinical Research
Advancing RNAi Therapeutics into Ocular and Lung Disorders
• Vasant Jadhav, Ph.D. – SVP, Research
Q&A Session
RNAi Therapeutics for CNS Diseases
No Current Therapies to Prevent or Restore Neurodegenerative Disease
Very high unmet need for new treatments for CNS Diseases
• Genetically defined neurodegenerative diseases include
– Alzheimer’s disease
– Amyotrophic lateral sclerosis (ALS)
– Frontotemporal dementia
– Huntington’s disease
– Parkinson’s disease
– Prion disease
– Spinocerebellar ataxia
– Many other orphan genetic diseases with CNS component
• Number of genetically validated targets known but no current disease modifying therapies for these devastating, life-threatening disorders
• Significant opportunity for RNAi therapeutics directed to disease-causing, CNS-expressed genes
• Based on pre-clinical studies, expect superior potency, duration and systemic safety profile vs. ASOs
CNS Platform Objectives
Potential for Best-in-Class CNS Oligonucleotide Delivery Platform
- High potency
- Wide biodistribution in CNS
- Long duration of action
- Favorable risk / benefit profile
C16 Conjugate
C16 Conjugate Platform
Optimized for CNS Delivery of RNAi Therapeutics
C16 conjugate platform designed to optimize potency, durability, and safety
- Exhaustive optimization of siRNA lipophilic moiety, position, and design chemistry
- Backbone modifications to enable similar metabolic stability to liver platform (e.g., ESC+)
- Vinylphosphonate (VP) modification improves potency through enhanced RISC-binding
Single 0.9 mg IT Dose Rat (Day 14)
% SOD1 mRNA Remaining Relative to aCSF
- Lumbar Spinal Cord
- Thoracic Spinal Cord
- Cervical Spinal Cord
- Cerebellum
- Brainstem
- Temporal Cortex
- Frontal Cortex
- Hippocampus
Single 0.9 mg IT Dose (Day 28)
% SOD1 mRNA Remaining Relative to aCSF
- Lumbar Spinal Cord
- Thoracic Spinal Cord
- Cervical Spinal Cord
- Brainstem
- Cerebellum
- Hippocampus
- Temporal Cortex
- Frontal Cortex
- Liver
- Kidney
Robust Silencing Throughout Brain
Intrathecal Delivery of siRNA to Cell Types and Tissues Throughout CNS
Potent, dose dependent knockdown in cell types and tissues of rat spinal cord and brain
- Thoracic Spinal Cord
- Cerebellum
- Frontal Cortex
% SOD1 mRNA Remaining Relative to aCSF
- 0.075 mg
- 0.3 mg
- 0.9 mg
Cortex: Purple: Duplex
Neuron: Green: MAP2, Purple: Duplex
Astrocyte: Yellow: GFAP, Purple: Duplex
Microglia: Yellow: IBA1, Purple: Duplex
Long Duration of Action in CNS in Individual Subjects
Target Knockdown with Single Dose siRNA in NHP
CSF sAPPα and sAPPβ Protein Knockdown
(Single Intrathecal Dose in NHPs)
Protein Knockdown (% remaining relative to baseline)
Time (Days) 6 months
- NHP1-sAPPα
- NHP2-sAPPα
- NHP3-sAPPα
- NHP1-sAPPβ
- NHP2-sAPPβ
- NHP3-sAPPβ
Safety Summary for CNS siRNA Conjugates
No Test Article Related Changes in Rat and NHP Safety Assessments
6-month Platform PD Study in Rat
Single IT LP dose and Multi-IT LP dose
- No TA-related findings in spinal cord, brain, liver, kidney, lung, diaphragm, pituitary, sciatic nerve, skeletal muscle, spleen or thymus
- No TA-related findings on clinical signs, body weight or body weight gain
Platform non-GLP Tox Studies in Rat
15-day systemic tox
- No changes observed in serum chemistry, hematology or histopath
15-day IT LP tox
- No test article findings across all parameters examined: clinical observations, body weight, functional observational battery, clinical pathology parameters, macroscopic findings, and microscopic examinations including expanded neurological assessment with Fluoro-Jade
Platform non-GLP Tox Study in NHP
15-day IT LP tox
- No test article related findings across all parameters examined: clinical observations, body weight, neurological exams, macroscopic findings, and microscopic examinations including neurological assessment including Fluoro-Jade
GLP Tox Studies in rat and NHP
Completed for ALN-APP
CNS RNAi Platform Preclinical Summary
Expected to Enter Phase 1 Studies in Early 2022
C16 conjugates provide potent, durable silencing with distribution throughout the CNS
• C16 conjugate designed to optimize potency, durability, and safety of CNS platform
– Lipophilic moiety provides for robust cellular uptake
– VP modification enhances potency through enhanced engagement of RISC
– “Walks” conducted to optimize potency and durability of construct design
• Robust silencing achieved throughout the brain and spinal cord at low doses
• Extended pharmacodynamic profile suggests possibility for infrequent dosing; single IT dose provides robust knockdown for 6+ months in NHP
• Platform and ALN-APP CTA-enabling toxicology studies support further development of C16 conjugates
Alnylam CNS Pipeline Strategy
Expanding a Pipeline of Potentially Transformative Medicines
Genetically validated target gene
Biomarker for POC in Phase 1
Definable path to approval and patient access
Over 25 Preclinical Programs in Four Tissues Feeding Pipeline
**LIVER**
- Alnylam
- ALN-XDH
- ALN-KHK
- ALN-LEC
- ALN-CC3
- ALN-F12
- Many others
- Alnylam/Regeneron
- ALN-PNP
- ALN-REGN-L2
- ALN-REGN-L4
- ALN-REGN-L5
**CNS**
- Alnylam/Regeneron
- ALN-APP
- ALN-HTT
- ALN-REGN-C3
- ALN-REGN-C4
- ALN-REGN-C5
- ALN-REGN-C6
- ALN-REGN-C7
- ALN-REGN-C8
- ALN-REGN-C9
**EYE**
- Alnylam
- ALN-TTRoc
- Alnylam/Regeneron
- ALN-REGN-E1
- ALN-REGN-E2
- ALN-REGN-E3
- ALN-REGN-E4
**LUNG**
- Alnylam/Vir
- ALN-VIR2 (ACE2)
- ALN-VIR3 (TMPRSS2)
Agenda
Welcome
• Joshua Brodsky – Senior Director, Investor Relations & Corporate Communications
Introduction & Extrahepatic Platform Overview
• Vasant Jadhav, Ph.D. – SVP, Research
RNAi Therapeutics for CNS Disorders
• CNS Delivery
o Kirk Brown, Ph.D. – Senior Director, CNS Program
• CNS Pipeline
o Bret Bostwick, M.D. – Director, Clinical Research
Advancing RNAi Therapeutics into Ocular and Lung Disorders
• Vasant Jadhav, Ph.D. – SVP, Research
Q&A Session
Amyloid Precursor Protein (APP)
Alzheimer’s Disease and Cerebral Amyloid Angiopathy
One target, two distinct pathological processes
- APP is an 87 kDA membrane-associated protein produced in many tissues, but with the highest expression in the nervous system
- APP is processed via serial cleavage by various enzymes include (α-, β-, and γ-secretase) to produce a variety of peptides, including Aβ
- APP is a genetically validated target for both Alzheimer’s Disease and Cerebral Amyloid Angiopathy
Alzheimer’s Disease (AD)
- APP mutations and duplications cause Early Onset AD
- Amyloid deposits in brain tissue, tau tangles in neurons, neurodegeneration
Cerebral Amyloid Angiopathy (CAA)
- APP mutations cause hereditary CAA
- Amyloid deposits in the walls of the arteries in the brain and causes cerebral hemorrhages and dementia
APP as a Target for Alzheimer’s Disease (AD)
Alzheimer’s Disease is Most Common Cause of Dementia Worldwide
High prevalence and high unmet need for new therapies
• Over 5M people affected by AD in the US (over 30M worldwide); population continues to grow as the population ages
• Life expectancy for those diagnosed after age 65 is 4-8 years
• Early-onset and genetic forms impact cognition earlier in life
• Limited progress in development of disease modifying therapies
| Genetically Validated Target | ✓ | • Mutations that increase APP production or alter APP processing cause early-onset AD
• Mutations decreasing APP processing to Aβ are protective |
|-----------------------------|---|----------------------------------------------------------------------------------|
| Biomarker In Phase 1 | ✓ | • Target engagement: sAPPα, sAPPβ in CSF
• Disease progression: Fluid biomarkers (Aβ, tTau, pTau, NfL, etc.), neuroimaging |
| Definable Path to Approval | ✓ | • Multiple populations for potential development
• High unmet need for disease modifying therapy |
Multiple Development Opportunities
• Early Onset AD (<65 yo) (EOAD)
– Autosomal Dominant AD (ADAD)
– Non-familial early onset AD (nf-EoAD)
– Down Syndrome AD
• Late Onset AD (>65 yo) (LOAD)
• Sporadic AD (All non-familial AD)
2020 AD Facts and Figures, *Alzheimer’s Dementia* (2020); WHO Dementia Fact Sheet (2021); Tom SE, et al., Am J Public Health (2015)
Therapeutic Hypothesis: Alzheimer’s Disease
A New Approach: Targeting the APP Protein
Lower APP production at its source, upstream of the pathogenic process
- Reduce both intracellular and extracellular drivers of disease pathology
- Reduce all APP cleavage products including all species of Aβ
- Removing substrate for amyloid deposit formation and enable natural clearance
Intracellular and Extracellular sAPPβ Lowering
APP siRNA Lowers sAPPβ in Both Media and Lysates in Co-Culture System of Human Neurons and Astrocytes
Extracellular Lowering
Human Neuron : Astrocyte Co-Culture Cell Media
sAPPβ
Intracellular Lowering
Human Neuron : Astrocyte Co-Culture Cell Lysates
sAPPβ
siRNA Targeting APP Shows Greater Intracellular Reductions in sAPPβ Compared to BACE Inhibition
PSEN1 A246E Patient iPSC-Derived Neurons Treated with APP siRNA Show Reduction in Rab5+ Early Endosome Size
Mutations in APP and PSEN1 cause enlargement of Rab5+ Early Endosomes in human iPSC derived Neurons
Kwart et al., Neuron 2019
Phenix High Content Imaging, 63X, analysis on Harmony
Phenotypic Improvement in CVN-AD Mice by Silencing Human APP with siRNA
CVN-AD Mice: Transgenic mouse model of Alzheimer’s Disease
• Transgenic mice with three APP mutations associated with AD
• Disease onset occurs at 4 months of age
• Single ICV treatment with APP siRNA at 6 months
• Phenotypic observations at 9 months of age
CVN-AD mice treated with APP siRNA had reduced rearing frequency and distance traveled in open field test
ALN-APP Phase 1 Overview
CTA Filing by Year-End; Phase 1 Expected to Begin in Early 2022
Part A: Single Ascending Dose
• Population: Patients with Early Onset Alzheimer’s Disease
• Primary Objective: Safety and tolerability of ALN-APP
• Secondary Objective: Pharmacology of ALN-APP
• Exploratory Objective: Impact of ALN-APP on disease
– Fluid biomarkers for amyloid, tau, and neurodegeneration
– Measures of synaptic health
– Neuroimaging
– Exploratory cognitive and functional clinical measures
Early Onset Alzheimer’s Disease
• ~5% of total Alzheimer’s Disease population
• Age of onset < 65 years old
• More homogeneous population with fewer comorbidities
• Increased role of Aβ production in AD patients at earlier age
Mendes MF, Neurol Clin (2017), Patterson BW et al., Ann Neurol (2015)
Multiple Opportunities for Expansion
Phase 1 to Inform Late-Stage Development Plan
Phase 1 Study
Early Onset Alzheimer’s Disease
Alzheimer’s Opportunities
(EOAD, AD, ADAD, Down Syndrome)
Cerebral Amyloid Angiopathy Opportunities
(hereditary CAA, CAA)
Significant opportunity for both Alzheimer’s Disease and Cerebral Amyloid Angiopathy
• Multiple disease area opportunities with the same target; Different disease processes, development strategies, competitive environment enable strategic options for future development
APP as a Target for Cerebral Amyloid Angiopathy (CAA)
Cerebral Amyloid Angiopathy is an Underdiagnosed Cause of Stroke and Dementia
Increasing awareness and diagnosis, but no targeted therapies
• >20% of the general elderly population have moderate-to-severe CAA pathology and higher risk of stroke and dementia
• CAA is the second most common risk factor for intracerebral hemorrhage (ICH) after hypertension
• Diagnosis increasing with increased neuroimaging
• No targeted therapies have been developed for CAA
| Genetically Validated Target | ✓ | Mutations that alter APP cleavage and Aβ aggregation cause hereditary CAA |
|-----------------------------|---|--------------------------------------------------------------------------|
| Biomarker In Phase 1 | ✓ | Target engagement: sAPPα, sAPPβ
Disease progression: Measures of vascular reactivity (BOLD fMRI) |
| Definable Path to Approval | ✓ | High unmet need for disease modifying therapy
Biomarkers for vascular reactivity
Orphan population with hereditary CAA |
Multiple Development Opportunities
Hereditary CAA: Ultra-orphan genetically defined population found primarily in the Netherlands and Australia; onset in 40s/50s
Sporadic CAA: Common cause of ICH that increases with age. Onset typically after age 60
Jäkel L, et al., Alzheimer’s Dement (2021); Aguilar MI, et al., Neurohospitalist (2012); Kozberg MG et al., Int J Stroke (2020).
Figure republished with permission of the American College of Cardiology from DeSimone CV, et al., J Am Coll Cardiol (2017)
Model for Cerebral Amyloid Angiopathy (CAA)
rTg-DI Rat Model – APP
Human APP Expression
Progressive Accumulation of Microvascular Amyloid
Microhemorrhages in Cortex, Hippocampus and Thalamus
Davis et al (2018) The American Journal of Pathology, Vol. 188, No. 12
1 Swedish K670N/M671L, Dutch E693Q, and Iowa D694N
2 Van Nostrand lab, URI
Robust Elimination of Human APP Protein in Rat hCAA Model
Single IT Dose of 0.9 mg in rTg-DI Rat – Day 28 in Hippocampus
Detection Antibodies
• NeuN (red)
• hAPP (green)
Potential to Make History with ALN-APP
Anticipating Many Future Firsts for Investigational RNAi Therapeutic
• First siRNA delivered to the human brain
• First therapeutic targeting APP mRNA, the sole precursor of all APP cleavage products, including Aβ
• First therapeutic preventing synthesis of other potential non-Aβ drivers of Alzheimer’s Disease: β-CTF (C99), η-CTF
• First therapeutic to comprehensively lower intracellular and extracellular amyloid proteins
Agenda
Welcome
• Joshua Brodsky – Senior Director, Investor Relations & Corporate Communications
Introduction & Extrahepatic Platform Overview
• Vasant Jadhav, Ph.D. – SVP, Research
RNAi Therapeutics for CNS Disorders
• CNS Delivery
o Kirk Brown, Ph.D. – Senior Director, CNS Program
• CNS Pipeline
o Bret Bostwick, M.D. – Director, Clinical Research
Advancing RNAi Therapeutics into Ocular and Lung Disorders
• Vasant Jadhav, Ph.D. – SVP, Research
Q&A Session
Over 25 Preclinical Programs in Four Tissues Feeding Pipeline
**LIVER**
- Alnylam
- ALN-XDH
- ALN-KHK
- ALN-LEC
- ALN-CC3
- ALN-F12
- Many others
- Alnylam/Regeneron
- ALN-PNP
- ALN-REGN-L2
- ALN-REGN-L4
- ALN-REGN-L5
**CNS**
- Alnylam/Regeneron
- ALN-APP
- ALN-HTT
- ALN-REGN-C3
- ALN-REGN-C4
- ALN-REGN-C5
- ALN-REGN-C6
- ALN-REGN-C7
- ALN-REGN-C8
- ALN-REGN-C9
**EYE**
- Alnylam
- ALN-TTRoc
- Alnylam/Regeneron
- ALN-REGN-E1
- ALN-REGN-E2
- ALN-REGN-E3
- ALN-REGN-E4
**LUNG**
- Alnylam/Vir
- ALN-VIR2 (ACE2)
- ALN-VIR3 (TMPRSS2)
Ocular Program Update
NHP Potency with Potential for Infrequent Dosing with Low ug Doses per Eye
Ocular TTR Protein Knockdown (Single Intravitreal Dose in NHP)
TTR Protein Knockdown (Day 84) (% remaining relative to PBS control)
- PBS
- 0.003 mg
- 0.03 mg
- 0.1 mg
- 0.3 mg
Potent, Dose Dependent, Durable Activity After Single IVT Dosing in NHP Eye
Durability Data Support q6M Dose Regimens
**TTR Protein in Aqueous Humor**
- Dose-dependent efficacy and duration up to 0.003 mg
- Persistent low siRNA levels in aqueous humor in line with observed duration
**Conjugated vs. Unconjugated**
- Unconjugated siRNA showed reduced potency; also reflected in reduced exposure in vitreous (~10-fold lower)
Over 25 Preclinical Programs in Four Tissues Feeding Pipeline
**LIVER**
- Alnylam
- ALN-XDH
- ALN-KHK
- ALN-LEC
- ALN-CC3
- ALN-F12
- Many others
- Alnylam/Regeneron
- ALN-PNP
- ALN-REGN-L2
- ALN-REGN-L4
- ALN-REGN-L5
**CNS**
- Alnylam/Regeneron
- ALN-APP
- ALN-HTT
- ALN-REGN-C3
- ALN-REGN-C4
- ALN-REGN-C5
- ALN-REGN-C6
- ALN-REGN-C7
- ALN-REGN-C8
- ALN-REGN-C9
**EYE**
- Alnylam
- ALN-TTRoc
- Alnylam/Regeneron
- ALN-REGN-E1
- ALN-REGN-E2
- ALN-REGN-E3
- ALN-REGN-E4
**LUNG**
- Alnylam/Vir
- ALN-VIR2 (ACE2)
- ALN-VIR3 (TMPRSS2)
Chemistry Advances Enable Robust Tissue Distribution with Potent and Durable Gene Knockdown in Lung
Surrogate siRNA Targeting Endogenous Target (Sod1) and Ectopic Target (ACE2)
**Sod1 siRNA Distribution in the Mouse Lung Measured by IHC**
(A) PBS-treated animal on Day 10 post dose. (B) 10 mg/kg Sod1 siRNA on Day 10 post dose. siRNA is magenta. Blue is hematoxylin counterstain.
**hACE2 mRNA Reduction in Lung Following a Single 10mg/kg Dose**
Lung at Day 10
% hACE2 Transcript remaining normalized to GAPDH
- PBS: 100%
- hACE2 siRNA: 31%
---
**Sod1 mRNA Reduction**
- PBS: ~100%
- 1 mg/kg: ~50%
- 10 mg/kg: ~10%
**Sod1 mRNA Over Time**
- PBS: ~0%
- 10 mg/kg: ~-100%
Days Post-Dose: 1, 3, 10, 28
| Gene | Indication | Human Genetics Support | Location and Cell Type |
|--------|--------------------------|------------------------|------------------------|
| Target 1 | Asthma | ✓ | Epithelium |
| Target 2 | Asthma | ✓ | Epithelium |
| Target 3 | Idiopathic pulmonary fibrosis | ✓ | Epithelium |
| Target 4 | Nasal polyps | ✓ | Epithelium, immune cells |
| Target 5 | COPD | Preliminary | Epithelium |
Alnylam Product Engine
Source of Sustainable Innovation
- Expect 2-4 INDs per year
- Large number of opportunities
- Organic capability & growth
* Novartis has obtained global rights to develop, manufacture and commercialize inclisiran under a license and collaboration agreement with Alnylam Pharmaceuticals, a leader in RNAi therapeutics
Summary
• Platform advances leveraging conjugate-based approach extends delivery beyond liver
• RNAi therapeutics well-suited to address CNS disorders with high unmet need
– ALN-APP presents opportunities in Alzheimer’s Disease and Cerebral Amyloid Angiopathy, with potential for differentiated profile; initial CTA submission expected by YE’21
• Organic product engine to deliver long-term, sustainable innovation across multiple disease areas and organs
– Ocular and lung disorders provide new frontier for RNAi therapeutics
Agenda
Welcome
• Joshua Brodsky – Senior Director, Investor Relations & Corporate Communications
Introduction & Extrahepatic Platform Overview
• Vasant Jadhav, Ph.D. – SVP, Research
RNAi Therapeutics for CNS Disorders
• CNS Delivery
o Kirk Brown, Ph.D. – Senior Director, CNS Program
• CNS Pipeline
o Bret Bostwick, M.D. – Director, Clinical Research
Advancing RNAi Therapeutics into Ocular and Lung Disorders
• Vasant Jadhav, Ph.D. – SVP, Research
Q&A Session
2021 RNAi Roundtables
Zilebesiran, in Development for the Treatment of Hypertension
Patisiran and Vutrisiran, in Development for the Treatment of ATTR Amyloidosis
Givosiran, for the Treatment of Acute Hepatic Porphyria
Lumasiran, for the Treatment of Primary Hyperoxaluria Type 1
Liver-Directed RNAi Pipeline Programs
CNS & Extrahepatic RNAi Pipeline Programs
Slides and transcripts from 2021 RNAi Roundtables can be found on the Capella section of the Company’s website, www.alnylam.com/capella
Save the date!
Alnylam® R&D Day
November 19, 2021
A VIRTUAL EVENT
Registration information coming soon.
To those who say “impossible, impractical, unrealistic,” we say:
CHALLENGE ACCEPTED |
Berlin Declaration on Digital Society and Value-Based Digital Government
at the ministerial meeting during the German Presidency of the Council of the European Union on 8 December 2020
Preamble
Digital transformation opens up new opportunities and new forms of social participation and public opinion-forming processes, with the potential to engage all members of our societies. Digital technologies offer new ways of solving societal issues and making governments and public institutions more efficient and effective. Our societies ought to benefit fully from such new opportunities. As the COVID-19 pandemic continues to have a profound impact on our societies from an educational, economic, leisure and behavioural perspective, it also highlights that digital technologies can enable our societies to effectively tackle sudden and extreme challenges and that innovative digital tools can be developed incorporating the European Union’s values and fundamental rights. However, this is only possible if people are adequately skilled and provided with easy access to the necessary technology and connectivity. We need to explore the “lessons learned” from this pandemic with a view to crisis prevention and resilience on a broader scale and the boost it has given to the digital transformation. We need to seize this unique opportunity to more actively shape the strategic direction of the digital transformation in our Member States.
The 2017 Tallinn Declaration on eGovernment marked a milestone for a service-oriented, reliable and innovative eGovernment in Europe. As the goals and framework of the declaration remain undisputed, we reconfirm our common political commitment regarding the stated priorities with a view to ensuring high quality, user-centric and seamless cross-border digital public services for citizens and businesses in developing a future-oriented European Single Market. Yet, the success of a modern and innovative Digital Government hinges on the involvement of as many members of our societies as possible, especially those who feel anxious about digitalisation, security and privacy, or find it difficult to keep pace with rapid technological development. What is at stake is true digital empowerment of our citizens who want to benefit from a digitalised world. Everyone should be able to seize the opportunities offered by digitalisation. No one should be left behind.
This declaration aims to contribute to a value-based digital transformation by addressing and ultimately strengthening digital participation and digital inclusion in our societies. We need a compass to navigate the digital transition, aligned by our common European fundamental rights and values and shaped by participatory processes that to some extent may themselves need to be redesigned by involving citizens and the general public in
open consultations, online and offline. As emphasised by the Treaty on European Union (TEU), we draw inspiration from “the cultural, religious and humanist inheritance of Europe, from which have developed the universal values of the inviolable and inalienable rights of the human person, freedom, democracy, equality and the rule of law.” We welcome ongoing efforts to improve digital cooperation on a global scale, in particular the UN Secretary General’s Roadmap for Digital Cooperation, as well as ongoing initiatives like the Coalition of the Willing, that aim to combine strengths in digital government transformation at EU level. By making sure that the digital transformation is based on our strong common democratic and ethical values and the following principles, we can take advantage of new technologies for the common good while striving for an ever-closer European Union.
I. Principles
Acknowledging the laws, rules and values on which the European Union rests\(^1\) as well as key initiatives, legislation and strategies for shaping the digital transformation and strengthening the European Single Market\(^2\), we reaffirm our commitment to respect and defend individual freedoms and rights, while ensuring that these are exercised in respect of the freedoms and rights of others. We acknowledge the public sector as an essential element for the European Single Market and a driving force for new and innovative technological solutions for public services and societal challenges. Public authorities at all levels must lead by example to strengthen the tenets of the European Union by adopting the following cornerstone principles in the digital sphere:
\(^1\) in particular, the fundamental rights set out in the Charter of Fundamental Rights of the European Union,
\(^2\) i.e. Council Conclusions of 9 June 2017 on “Shaping Europe’s Digital Future”, Council Conclusions of 7 June 2019 on the “Future of a highly digitised Europe beyond 2020: Boosting digital and economic competitiveness across the Union and digital cohesion”; the European Commission’s Digital Package, including the overall strategy Shaping Europe’s Digital Future, the European Data Strategy and the White Paper on Artificial Intelligence; the Tallinn Declaration on eGovernment and the eGovernment Action Plan 2016–2020 with their shared commitment to user centricity, simplicity of services, user friendliness, accessibility and convenience; a strengthened EU Digital Government Strategy and Government Interoperability Strategy [in preparation]; the Web Accessibility Directive ensuring access to public sector websites for the 80 million people with disabilities in the EU; the European Skills Agenda for sustainable competitiveness, social fairness and resilience; the Next Generation EU instrument to foster sustainable and resilient growth in view of the COVID-19 Pandemic; the single Digital Gateway Regulation enabling user friendly, cross-border access to digital public services; the eIDAS Regulation with the aim of offering trustworthy cross-border digital identity for interoperability of services across Europe; data governance rules based on voluntary data contribution to encourage the development of federated, safe, secure and trusted common European data spaces for strategic sectors in order to facilitate the use of publicly available data and the free movement of data, such as the Directive on Open Data and the Reuse of Public Sector Information, “A European strategy for data” COM(2020) 66 final, the Regulation on the Free Flow of Non-Personal Data in compliance with the legal framework for the protection of personal data, especially the General Data Protection Regulation; the Cybersecurity Act, the Directive on Security of Network and Information Systems (NIS Directive) and the Council Conclusions on cybersecurity capacity and capabilities building in the EU,
(1) Validity and respect of fundamental rights and democratic values
All human beings are equally entitled to be treated with respect and fairness – both in the analog and in the digital sphere. The existing rights, values and the corresponding legal framework of the European Union apply regardless of our means of communication and irrespective of the use of analog, digital, hybrid or integrated formats. Our common core foundations such as the rule of law, our concern for human dignity, right to autonomy, and shared ethical values must prevail in the digital world. European democracy must be protected from both disinformation and outright attacks on elections with due respect for the freedom of expression. All citizens should be able to verify the authenticity of online information, websites and applications. Everyone, especially children and young people, needs the best possible protection from malicious cyber activity like cyber bullying, mobbing or grooming. We strive for a digital transformation in which every person recognises that fundamental rights and freedoms laid out in the Charter of Fundamental Rights of the European Union as well as shared fundamental values like respect for others, transparency, privacy and authenticity of information form the cornerstone of all interactions, including in the digital sphere.
(2) Social participation and digital inclusion to shape the digital world
All people of Europe should be able to participate in and benefit fully from digital opportunities on an unconditional basis and without discrimination. We recognize the need for equal access to an open Internet for all parts of society, including disadvantaged groups and citizens with disabilities, as a cornerstone of diversity of opinion, pluralism, innovation and progress. Governments and public authorities at all levels should lead by example and provide digital services, which respond to and evolve with citizens’ digital preferences. As the majority of citizens use mobile devices for access to the internet, we need to pay tribute to the paradigm shift from “eGov” (electronic Government) to “mGov” (mobile Government) when encouraging inclusion or aiming to provide seamless, transparent, accessible and user-friendly digital government services. Citizens must be able to use such digital services without having legal knowledge. The members of our societies should have the opportunity to help shape the digital transformation and share their ideas and content with others unimpeded, while respecting the rights of third parties. The public sector should encourage such wider participation in policy-making by involving society in the design of public services through co-creation, experimentation and collaboration.
(3) Empowerment and digital literacy
Every citizen and business in Europe should be able to navigate the digital world with confidence and in a self-determined manner. Users should be further empowered to manage their digital identity and to protect their personal data and privacy online. They should be made aware of the risk within the digital world resulting from cybercrime and other threats to information security or privacy. Citizens and businesses should have the option of seamless and easily accessible interaction with public administrations following the digital-by-default approach. Aside from fair, transparent and user-friendly digital procedures and services, that are based on the concept of privacy by design, this demands digital literacy on the part of the user. It is our common interest that the people of Europe maintain autonomy by keeping control over their data and its use. They should be empowered to consistently decide for themselves about the scope, visibility and existence of their own digital footprint. Life-long learning and the development of digital skills should be promoted and include ethical, technical, legal, ecological and social aspects.
(4) Trust and security in digital government interactions
Everyone should be able to navigate the digital world safely, authenticate and be digitally recognised within the EU conveniently. All people of Europe should avail of an easy to use, widely accepted and secure electronic identification conforming to European standards (e-ID), which allows them to securely access public, private and cross-border digital services. As a broad acceptance of digital government depends on trust, we must ensure that citizens and businesses are able to rely on trustworthy and verifiable digital government applications and services, which are in full conformity with high security standards and respond to user needs. Moreover, in order to ensure a free, open and safe digital domain and enhance social trust, fundamental rights and security should be integrated in all policies with a digital dimension. To foster trust in digital interactions with the public sector, suitable regulatory frameworks must be provided that ensure transparency, predictability, security-by-design and, where necessary, reinforcement or adjustment of existing provisions.
(5) Digital sovereignty and interoperability
Digital sovereignty is key in ensuring the ability of citizens and public administrations to make decisions and act in a self-determined manner in the digital world. We must ensure that all underlying digital components of ICT solutions (hardware, software, and services) meet European requirements. We must create the right conditions for Europe to develop and deploy our own key digital capacities, including the deployment of secure cloud infrastructure and interoperable services that fully comply with European legal provisions and ethical values. Common standards, modular architectures and the use of Open-Source Software (OSS) in the public sector are facilitators for deploying and developing strategic digital tools and capacities. We must ensure the availability of diverse and high-performing digital solutions to guarantee freedom of choice and the ability to change IT modules when necessary. Software, data and tools generated by the public sector should be reusable and openly accessible as long as this is compliant with fundamental rights. As explained in the European data strategy, a strengthened interoperability framework, as well as suitable regulatory frameworks are key in helping Europe benefit from the economic value of data, thus creating a single market for data that will ensure Europe’s global competitiveness and data sovereignty.
(6) Human-centred systems and innovative technologies in the public sector
We need to ensure that the European Union further strengthens its pioneering role in the research on secure and trustworthy technology design and that the opportunities of Emerging Disruptive Technologies (EDT) including the Internet of Things (IoT), Artificial Intelligence (AI) systems, distributed ledger technologies, and quantum computing are put at the service of all European Member States’ citizens, and businesses. Such technologies carry great potential for evidence-based policy-making and play a key role in providing user-centric public services. With reference to the current Presidency Conclusions on “The Charter of Fundamental Rights in the context of Artificial Intelligence and Digital Change” and related key documents\(^3\), we aim to promote a human-centred, responsible and common-good oriented development and use of AI and other novel technologies in the public sector. The human-centred approach aims to ensure that such applications are inclusive, help solve societal challenges and do not reproduce harmful social or economic biases. The public sector has a role-model function in ensuring that the development and application of these novel
\(^3\) i.e. the Coordinated Plan on Artificial Intelligence (COM(2018) 795 final) and the Ethics Guidelines for Trustworthy Artificial Intelligence presented by the EU High-Level Expert Group on Artificial Intelligence.
technologies is firmly rooted in our common fundamental rights and values and underpinned by a regulatory framework that is sufficiently flexible to mitigate the risks while accelerating innovation and competitiveness.
(7) Towards a resilient and sustainable digital society
One of the most pressing challenges and responsibilities for Europe is keeping our planet and people healthy and better preserving our natural foundations of life. The COVID-19 pandemic has provided a warning that new crises of unforeseen nature are likely to emerge in the future. In times where healthcare systems are under unprecedented pressure, digital solutions have proved essential in crisis management. We ought to explore and continuously follow up on the “lessons to be learned” from the COVID-19 pandemic and the boost it has given to digital transformation. We also need to make sure that the increasing use of digital technologies does not harm but rather contributes to people’s physical and psychological well-being. In addition, the digital transformation in Europe needs to be closely aligned with the 2030 Agenda for Sustainable Development and the Paris Agreement as well as the goals of the European Green Deal. With reference to the current work on Council Conclusions on “Digitalisation for the Benefit of the Environment”, we need to ensure that a sustainable digital transformation serves our citizens and businesses on an individual level as well as our society as a whole, while at the same time safeguarding the preservation of our natural foundations of life.
II. Policy action areas
In accordance with the principles outlined above, we will in our countries take steps and –building on the experience of the Tallinn Declaration – call upon the European Commission and other EU institutions for support to implement and monitor progress towards the following objectives. The policy action areas stated below will be applied in ways that are appropriate and feasible in each country and digital public service context. In concrete terms, we will
a) Promote fundamental rights and democratic values in the digital sphere by
- promoting the validity of fundamental rights in the digital sphere and adopting measures to strengthen compliance with fundamental rights and values;
- enhancing our efforts to ensure that the public opinion-forming and democratic decision-making processes are not manipulated by improper or malicious use of new technologies;
- supporting the fight against cybercrime, particularly online child abuse and sexual exploitation as well as online grooming;
- applying and promoting measures (i.e. digital codes of conduct) that aim to achieve an understanding of mutually respectful, fair and dignified online behaviour towards one another.
Therefore, we, the signatories, will in our EU Member States by 2024
- Engage in strategic projects with the aim of increasing awareness of the relevance of a value-based digital transformation, i.e. by building platforms to exchange and further develop national and European strategies with regard to digital transformation (“digital round tables”) and by organising cross-border and international exchange (i.e. workshops);
- Translate abstract fundamental rights regulation into tangible policies and strive to set an example by incorporating fundamental rights into public sector innovation policies and technology procurement rules;
- Encourage the establishment of ethical and technological expert councils to provide advice to and foster debate among citizens.
We call upon the European Commission and other EU institutions to
- Further facilitate the Alliance to Better Protect Minors Online;
- Develop guidelines, codes of conduct and other instruments to strengthen compliance, fight against harmful content, and further support actions to coordinate and tackle child sexual abuse material online\(^4\)
- Continue supporting the development and expansion of the European Digital Media Observatory to combat online disinformation.
\(^4\)in reference to the 2018 OECD report “Children & Young People’s Mental Health in the Digital Age Shaping the Future”.
b) Enhance social participation and inclusion by
- reinforcing digital policy dialogue with citizens to promote social cohesion and active participation of civil society in democratic political discourse;
- encouraging citizens and government administrations to more strongly explore the use of digital tools in shaping the political discourse on digital transformation;
- ensuring that the digital transformation is inclusive of and accessible for persons with disabilities and developing relevant policies to deal with existing participation gaps especially with regard to demographics and remote or rural areas;
- making public services fully available via standard mobile devices and accessible for persons with disabilities, including secure possibilities for electronic identification;
- promoting solutions aimed at minimising digital exclusion or aimed at adjusting to a changing economic and social world.
Therefore, we, the signatories, will in our EU Member States by 2024
- Put co-creation and collaboration with citizens into practice and encourage the use of digital tools to foster participation of citizens in political-decision-making;
- Provide easy access to services for the mobile channel by enabling citizens to use their mobile devices to carry out digital public services and by cooperating at EU level in establishing necessary elements for ensuring mobile device interoperability across borders;
- Ensure that the digital transformation is inclusive of and accessible for persons with disabilities and elderly persons and increase our efforts to make public services and information fully digitally accessible in accordance with the Web Accessibility Directive and the European Accessibility Act.
We call upon the European Commission and other EU institutions to
- Facilitate cooperation between Member States in finding effective approaches to help vulnerable groups to become more self-sufficient, including simple language, alternative service channels, skills and hardware to ensure inclusiveness for all citizens;
- Continue to work with Member States to support the implementation of the Web Accessibility Directive and the European Accessibility Act, and to foster the development of digital accessibility skills in the IT professions.
c) Foster digital empowerment and digital literacy by
- fostering measures that contribute to improving citizens’ digital literacy, awareness, skills and reinforcing their ability to act and make informed decisions in the digital sphere;
- enhancing our continuous and relentless efforts to ensure that European citizens and businesses are in a position to control their data and their digital identity;
- strengthening development and actual use of digital skills and tools in the public sector,
- encouraging advanced managerial skills training due to new digital modes of operation in view of the increased shift towards remote working practices and contactless modes of doing business (e.g. cashless payments, smart contracts, electronic signatures);
- paying particular attention to diversity, inclusiveness and gender equality when fostering digital competencies in the public sector.
Therefore, we, the signatories, will in our EU Member States by 2024
- Initiate workshops, training etc. in order to promote digital skills and awareness in the public sector;
- Continue to provide easily accessible, user-friendly services and seamless digital public services, tools and applications;
- Launch and promote initiatives to ensure that the general public is equipped with access and a minimum understanding of digital technologies and digital skills (i.e. online service of “digital ambassadors”).
We call upon the European Commission and other EU institutions to
- Launch a Digital Skills platform which will be a one-stop-shop for digital skills initiatives (including on new technologies like AI and cybersecurity), self-assessment tools and related information from all over Europe in 2021;
- Continue to support the EU-wide network of Safer Internet Centres, offering awareness, helpline and hotline services to protect and empower children online, to enable them to grow into resilient digital citizens;
- Consolidate and expand the European Digital Education Hub, which will be a central interface for digital education initiatives across the EU (involving national advisory services on digital education, linking national policies and enabling cross-sector cooperation on digital education initiatives);
Facilitate collaboration on media literacy skills to ensure awareness of the developing online environment and the roles of algorithms and other AI tools as well as AR, VR and mixed reality.
d) Strengthen trust through security in the digital sphere by
- taking steps to make widely usable, secure and interoperable electronic identification and trust services for electronic transactions available for each European resident and providing trustworthy, user-centric, accessible and reliable public services and information;
- applying adequate criteria to data generated or collected with support from public funds in order to facilitate their reuse;
- paying tribute to principles of cyber-ethics such as transparency, accountability and confidentiality when providing digital public services and promoting honesty, integrity and obedience to the law among users;
- strengthening efforts to make data stored by Member States’ public administrations immune from any unwanted interference.
Therefore, we, the signatories, will in our EU Member States States by 2024
- Promote the rollout and use of notified eID means and introduce incentives for the private sector to use European trustworthy and notified eID;
- Consider ways to foster agreement on ICT security requirements;
- Promote responsible and legally compliant re-use of data and the Once-Only Principle in line with the Tallinn Declaration and encourage new concepts such as personal data management based on user consent.
We call upon the European Commission and other EU institutions to
- Continue working towards developing an EU-wide Digital Identity framework allowing citizens and businesses to securely and seamlessly access online public and private services, while minimising disclosure and retaining full control of data;
- Promote the exchange of best practice and the formation of links among competent national and regional authorities, in order to make best use of existing structures and groups such as the NIS cooperation group and the European cooperation network on elections.
e) Strengthen Europe’s digital sovereignty and interoperability by
- agreeing on common European requirements for technology providers and solutions in the public sector (including security, data protection, interoperability, reusability) by accommodating existing requirements of the EU and Member States;
- fostering our own key digital capacities to develop and deploy digital solutions in a secure cloud infrastructure and for public services;
- establishing common standards and modular architectures;
- making public sector data within the European Union freely available based on demand in accordance with the Directive on Open Data and Reuse of Public Sector Information (EU 2019/1024);
- providing adequate, secure and affordable spaces to foster innovation through testing and experimenting with data and digital technologies (i.e. sandboxes);
- reducing administrative burdens on European businesses and citizens by implementing the Single Digital Gateway Regulation ((EU) 2018/1724) and promoting cross-border implementation of the Once-Only Principle in accordance with existing European rules and interoperability frameworks while paying particular attention to a demand-driven course of action;
- fostering interoperability by design of policies, data, solutions and services to enhance cross-border and cross-sector interconnections.
Therefore, we, the signatories, will in our EU Member States by 2024
- Work with the European Commission to jointly agree on concrete deadlines and criteria such as a demand-driven approach for providing further suitable public services online for EU cross-border use;
- Jointly work towards agreements on requirements for technology providers and solutions in the public sector that are essential for digital sovereignty;
- Implement common standards, modular architectures and – when suitable – open source technologies in the development and deployment of cross-border digital solutions.
We call upon the European Commission and other EU institutions to
- Establish and promote platforms for data exchange and reuse of data (“data spaces”) like those in the context of the European Health Data Space and establish the European Alliance on Industrial Data and
Cloud with a view to building the next generation of secure, resilient and energy-efficient cloud computing capacities in Europe;
✓ Continue coordinating cross-border interoperability and strengthen the European interoperability framework;
✓ in close cooperation with Member States support innovative public-private (GovTech) cooperation and promote the development, sharing and reuse of open source standards, solutions and specifications across borders;
✓ Promote coherent high quality data across Member States by ensuring implementation of the Directive on Open Data and the Re-Use of Public Sector Information ((EU) 2019/1024) with common standards;
✓ Ensure through the Better Regulation framework that policies and legislative acts proposed by the European Commission are digital-ready and interoperable by default. Support the exchange with Member States through a community around Better Legislation and pilot and share solutions.
f) Create value-based, human-centred AI systems for use in the public sector by
promoting an AI ecosystem based on European values and rules that unlocks the social and economic benefits of this technology for European citizens and businesses through
o fostering responsible, accountable public welfare and human-centred development and use of transparent and explainable AI as well as the promotion of competitiveness and innovation in the European Union;
o ensuring that necessary safeguards are in place to prevent, detect and remedy unlawful discrimination through the use of AI systems in the public sector;
o enhancing our common efforts to provide effective ICT security tools and requirements to prevent unauthorised access and use, manipulation of data or malicious interference with self-learning algorithms;
o increasing our relentless efforts to ensure confidentiality, integrity and availability of any AI system over its entire life cycle;
o recognising the importance of explainable AI, including e.g. adequate transparency at algorithm level, in order to strengthen trustworthiness;
ensuring proper data governance mechanisms – including appropriate levels of human oversight, if necessary, to ensure an AI system’s correct functionality and decision-making.
Therefore, we, the signatories, will in our EU Member States by 2024
- Share best practices on the development of successful human-centric AI systems in the public sector;
- Foster transparency and accountability i.e. by revealing when automated decision-making processes are used in digital public services, and ensure quality standards of data sets fed into AI systems when designing digital public services (e.g. by quality seals for data sets);
- Stimulate knowledge sharing between practitioners of administrative innovation strategies and on examples of human centric technologies in public administrations.
We call upon the European Commission and other EU institutions to
- Continue to monitor the uptake of AI within European public administrations;
- Strengthen digital innovation hubs and AI on demand platform;
- Propose a risk-based, future proof and proportionate legislative proposal on AI and an updated AI coordinated plan, including measures to promote the uptake of trustworthy and human centric AI by public administrations, as appropriate, and assess skills development in public administrations;
- Support research, development and innovation for increasing performance, trustworthiness and uptake of AI-based solutions in the public sector in line with the AI White Paper (COM (2020) 65)).
g) Foster resilience and sustainability by
- ensuring that the digital transformation in Europe contributes to the UN Sustainable Development Goals (SDGs) and making the digital transformation itself more sustainable regarding the consumption of energy resources;
- encouraging the use of digital tools and ICT as solutions in the transition to climate neutrality in the European Union as well as reducing the emissions connected to the increased use of data and technology in a digital society;
developing relevant policies to support a workplace culture that promotes a healthy and appropriate use of digital technologies and work-life balance, namely through co-creation and collaboration with the civil society;
strengthening the Digital Single Market that reaps the economic and social benefits of digitalisation and connectivity for citizens in all countries and regions;
ensuring federated trusted common data space for the European Green Deal to widen and deepen the EU collaboration, re-use and sharing of data, good practices and solutions of digital governance.
Therefore, we, the signatories, will in our EU Member States by 2024
✓ Consider how to assess and make transparent the energy sources and consumption of digital tools and infrastructures as well as ways to improve their efficiency;
✓ Evaluate the environmental impacts of ICT using a multi-criteria lifecycle analysis and establish a strategy to extend the lifespan of digital equipment and promote the eco-design of ICT products to improve circular product cycles;
✓ Foster the exchange of crisis management data, in particular in the health sector, e.g. via the European Health Data Space;
✓ Initiate expert consultations to provide guidelines on healthy and appropriate use of digital technologies and work-life balance to prevent adverse impact on mental or physical human health development.
We call upon the European Commission and other EU institutions to
✓ Foster cooperation within the European Union in order to maximise the contribution of communications network infrastructure to the EU’s resilience and green deal objectives;
✓ Foster an EU-wide exchange of innovative ideas through the European Research Area (ERA) as a framework for action to ensure that Europe and the EU Member States are well-positioned and ready to respond to potential future challenges;
✓ Enhance the resilience of our health and care systems by continuing to develop and deploy together with the Member States in the eHealth Network interoperable digital health solutions, like the exchange of health records, mHealth and telehealth applications, assisting and promoting hereby the shift towards integrated, continuous and personalized care systems.
III. Conclusion
We, the signatories, will undertake the implementation of the above-mentioned aspects of this declaration in our own countries by the end of 2024. We will annually present our implementation progress of this declaration in our countries annual progress reports as prepared by the respective EU council presidency until 2024 and ask the European Commission for support in setting up an appropriate mechanism. We will in our countries set the above-mentioned priorities underlining that the funds provided for digital transformation by the Multiannual Financial Framework (MFF) and by the extraordinary recovery effort "Next Generation EU (NGEU)" may have the potential to support, inter alia, the achievement of these common goals and the implementation of the actions and measures outlined above.
Building on the achievements of the Tallinn Declaration and the eGovernment Action Plan, we commit to working with the European Commission and the EU institutions to build a reinforced EU digital government policy and to ensure coordination and support for the digital transformation of public administrations in all EU Member States.
We call upon the European Union institutions to support and promote the policy principles and actions outlined in this declaration at the European level. We encourage the Commission and other EU institutions to align digital and innovative government initiatives with the lines of action of the declaration and EU policies. We call upon the European Commission to take note of this declaration when setting up new policies, such as a new Digital Government policy, interoperability strategy or the new Digital Compass requested by the European Council.
We call upon the French Presidency of the Council of the EU to take stock of the implementation of the declaration in spring 2022. We call upon the incoming Portuguese Presidency of the Council of the EU to support, promote and extend the present declaration’s principles and objectives by presenting a Lisbon Declaration that constitutes a common understanding of the legal values that support a digital society.
Ms Margarete Schramböck
Federal Minister for Digital and Economic Affairs
REPUBLIC OF AUSTRIA
Ms Mariyana Nikolova
Deputy Prime Minister for Economic and Demographic Policy and Minister of Tourism
REPUBLIC OF BULGARIA
Mr Kyriacos Kokkinos
Deputy Minister to the President of Cyprus for Research, Innovation and Digital Policy
REPUBLIC OF CYPRUS
Mr Nicolai Wammen
Minister of Finance
KINGDOM OF DENMARK
Mr Mathieu Michel
State Secretary for Privacy, Digital Agenda, Administrative Simplification and Management of Buildings
KINGDOM OF BELGIUM
Mr Bernard Gršić
State Secretary at the Central State Office for the Development of Digital Society
REPUBLIC OF CROATIA
Ing. Vladimír Dzurilla
Chief Digital Officer and Prime Minister Advisor for ICT and Digitalisation
CZECH REPUBLIC
Mr Raul Siem
Minister of Foreign Trade and Information Technology
REPUBLIC OF ESTONIA
Ms Sirpa Paatero
Minister of Local Government
REPUBLIC OF FINLAND
Mr Markus Richter
State Secretary at the Federal Ministry of the Interior, Building and Community and Federal Government Commissioner for Information Technology
FEDERAL REPUBLIC OF GERMANY
Mr Sándor Pintér
Minister of Interior
HUNGARY
Ms Paola Pisano
Minister for Technological Innovation and Digitalisation
REPUBLIC OF ITALY
Ms Amélie de Montchalin
Minister of Public Sector Transformation and the Civil Service
FRENCH REPUBLIC
Mr Kyriakos Pierrakakis
Minister of State and Digital Governance
HELLENIC REPUBLIC
Mr Ossian Smyth
Minister of State for Public Procurement and eGovernment
IRELAND
Mr Artis Pabriks
Acting Minister for Environmental Protection and Regional Development – Deputy Prime Minister, Minister for Defence
REPUBLIC OF LATVIA
Mr Marius Skuodis
Vice-Minster of Economy and Innovation
REPUBLIC OF LITHUANIA
Mr Silvio Schembri
Minister for the Economy and Industry
REPUBLIC OF MALTA
Mr Marek Zagórski
Secretary of State for Cybersecurity, Chancellery of the Prime Minister
REPUBLIC OF POLAND
Mr Marian Murgulet
State Secretary for Information Technology and Government Chief Information Officer
ROMANIA
Mr Marc Hansen
Minister Delegate for Digitalisation
GRAND DUCHY OF LUXEMBOURG
Mr Raymond Knops
State Secretary for the Interior and Kingdom Relations
KINGDOM OF THE NETHERLANDS
Alexandra Ludomila Ribeiro Fernandes Leitão
Ms Alexandra Leitão
Minister for Modernisation of the State and Public Administration
PORTUGUESE REPUBLIC
Ms Veronika Remišová
Deputy Prime Minister for Investments and Informatisation
SLOVAK REPUBLIC
Mr Boštjan Koritnik
Minister of Public Administration
REPUBLIC OF SLOVENIA
Ms Nadia Calviño Santamaría
Third Vice-President of the Government and Minister for the Economy and Digital Transformation
KINGDOM OF SPAIN
Mr Anders Ygeman
Minister for Energy and Digital Development
KINGDOM OF SWEDEN
“Equality between women and men is enshrined in the treaties of the European Union as a fundamental right. Poland ensures equality between women and men within the framework of the Polish national legal system in accordance with internationally binding human rights instruments and within the framework of fundamental values and principles of the European Union. For these reasons, in place where the Berlin Declaration refers to gender equality, Poland will interpret it as equality between women and men, according to Article 8 TFEU.” |
In the Matter of
EMPIRE BLUE CROSS AND BLUE SHIELD; WINSTON-HILL ASSURANCE COMPANY, LTD.; GLOBAL CAPITAL ASSURANCE COMPANY, LTD.; COMMERCIAL ACCEPTANCE INSURANCE COMPANY; OLD AMERICAN INSURANCE COMPANY, LTD.; PROVIDENT CAPITAL INDEMNITY, LTD.; UNIVERSAL GENERALE INSURANCE COMPANY, LTD.; FIRST ASSURANCE AND CASUALTY COMPANY, LTD.; DIVERSIFIED HEALTH CONCEPTS; WARREN SCHULTE; ROBERT SCHNEIDER; BENEFIT ADMINISTRATORS OF FORT MITCHELL, KENTUCKY; COMMAND CAPITAL OF COLORADO, INC.; M & M MANAGEMENT, CORPORATION; BENEFIT DATA ADMINISTRATORS OF NOVATO, CALIFORNIA; C.R.E.A.T.E.; WESTERN BUSINESSMEN'S ASSOCIATION; WORLDWIDE BUSINESSMANS ASSOCIATION; NATIONAL LABOR RELATIONS CONSULTANTS CORP., dba N.L.R.C.C.; AMERICAN BENEFIT BUSINESS TRUST, dba AMERICAN BUSINESS TRUST; FARMERS HEALTH TRUST; ARTHUR ALVIN HANEY, a.k.a. AL HANEY, a.k.a. A. A. HANEY; JAMES G. RICKARD, a.k.a. GARY RICKARD; MICHAEL A. ANASTASIO; ALICE LOUETTA MUSTIC dba ALICE LONG; PAUL DONG; ROGER FORTIER; A.A. HANEY AND ASSOCIATES, INC.; SELECTIVE SALES, INC.; NATIONAL INSURANCE MANAGEMENT, INC.; NATIONAL ADMINISTRATIVE CORPORATION, INC.; NATIONAL INSURANCE WAREHOUSE; GUNHILD ALLEN; KATHY MOGEL; JUDITH ST. GAUDENS.
Respondents.
The Arizona Department of Insurance ("Department") has received evidence that the Respondents, and/or each of them, have transacted the business of insurance in the State of Arizona. Accordingly, the Director of Insurance ("Director") makes the following Findings of Fact and Conclusions of Law and enters the following Order pursuant to A.R.S. § 20-401.02.
**FINDINGS OF FACT**
1. The Director is charged with the enforcement of Title 20, Arizona Revised Statutes, relating to insurance.
2. Respondent Empire Blue Cross and Blue Shield ("Empire") is a foreign company organized and existing under the laws of the State of New York, with its principal place of business located at 622 Third Avenue, New York, New York 10017.
3. Empire does not and/or did not at any material time hold a certificate of authority to transact the business of insurance in the State of Arizona.
4. From approximately March 1, 1990, through approximately June 30, 1990, Empire issued group health insurance coverage to Respondent C.R.E.A.T.E. (an Arizona-domiciled not-for-profit corporation); and/or Respondent Western Businessmen's Association ("WBA"), a California association with its principal place of business in the State of Arizona; and/or Respondent National Labor Relations Consultants Corp ("N.L.R.C.C."), a marketing entity which purported to provide health insurance coverage to Arizona residents, and/or Respondent Worldwide Businessmans Association ("Worldwide"), a marketing entity which purported to provide health insurance coverage to Arizona residents; and/or Respondent American
Benefit Business Trust, also doing business as American Benefit Trust ("American Business Trust"), a marketing entity which purported to provide health insurance coverage to Arizona residents.
5. Respondent Winston-Hill Assurance Company ("Winston-Hill") is not authorized to transact insurance in any state in the United States and purports to be an alien company organized and existing under the laws of the Bahamas, with its principal place of business at 1470 South Dairy Amsford, Suite 111, Houston, Texas 77077.
6. Winston-Hill does not and/or did not at any material time hold a certificate of authority to transact the business of insurance in the State of Arizona.
7. From approximately November 1, 1990, through approximately May 31, 1991, Winston-Hill issued group health insurance coverage to Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or Worldwide and/or American Business Trust.
8. Respondent Global Capital Assurance Company, Ltd., ("Global Capital") is not authorized to transact insurance in any state in the United States and purports to be an alien company organized and existing under the laws of Turks and Caicos, with its principal place of business at 3 Riverway, Suite 1460, Houston, Texas 77056.
9. Global Capital does not and/or did not at any material time hold a certificate of authority to transact the business of insurance in the State of Arizona.
10. From approximately June 1, 1991, through approximately June 30, 1991, Global Capital issued group health insurance coverage to Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or Worldwide and/or American Business Trust.
11. Respondent Commercial Acceptance Insurance Company ("Commercial Acceptance") is not authorized to transact insurance in any state in the United States and purports to be an alien company organized and existing under the laws of Barbados.
12. Commercial Acceptance does not and/or did not at any material time hold a certificate of authority to transact the business of insurance in the State of Arizona.
13. From approximately July 1, 1991, through approximately November 30, 1991, Commercial Acceptance issued group health insurance coverage to Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or Worldwide and/or American Business Trust.
14. Respondent Old American Insurance Company, Ltd. ("Old American") is not authorized to transact insurance in any state in the United States and purports to be an alien company organized and existing under the laws of the Turks and Caicos.
15. Old American does not and/or did not at any material time hold a certificate of authority to transact the business of insurance in the State of Arizona.
16. From approximately December 1, 1991, through January 31, 1992, Old American issued group health insurance coverage to Respondents C.R.E.A.T.E. and/or WBA and/or
N.L.R.C.C. and/or Farmers Health Trust and/or Worldwide and/or American Business Trust.
17. Respondent Provident Capital Indemnity, Ltd. ("Provident Capital") is not authorized to transact insurance in any state in the United States and purports to be an alien company organized and existing under the laws of the Commonwealth of Dominica, West Indies.
18. Provident Capital does not and/or did not at any material time hold a certificate of authority to transact the business of insurance in the State of Arizona.
19. From approximately August 1, 1992, through October, 1992, Provident Capital issued group health insurance coverage to and/or through Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or American Business Trust.
20. Respondent Universal Generale Insurance Company, Ltd. ("Universal Generale") is not authorized to transact insurance in any state in the United States and purports to be an alien company.
21. Universal Generale does not and/or did not at any material time hold a certificate of authority to transact the business of insurance in the State of Arizona.
22. From approximately November, 1992, through December, 1992, Universal Generale issued group health insurance coverage to Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or American Business Trust.
23. Respondent First Assurance and Casualty Company, Ltd. ("First Assurance") is not authorized to transact insurance in any state in the United States and purports to be an alien company organized and existing under the laws of the Turks and Caicos.
24. First Assurance does not and/or did not at any material time hold a certificate of authority to transact the business of insurance in the State of Arizona.
25. From approximately January, 1993, through the present, First Assurance issued group health insurance coverage to Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or American Business Trust.
26. From approximately March 1, 1990, through approximately June 1, 1991, Respondent Diversified Health Concepts (DHC), acting on behalf of unauthorized carriers, namely Respondents Empire and/or Winston-Hill, did solicit and/or induce health insurance coverage for, enter into preliminary negotiations with, effectuate a contract for insurance for, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract with Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or American Business Trust. At all times material to this matter Respondent DHC was controlled by Respondents, Warren Schulte and/or Robert Schneider.
27. From approximately August 1, 1990, through approximately June 1, 1991, Respondent Benefit Administrators of Fort Mitchell, Kentucky, an unlicensed entity acting on behalf
of an unauthorized carrier, namely Respondent Winston-Hill, did solicit and/or induce health insurance coverage for, enter into preliminary negotiations with, effectuate a contract for insurance for, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract with Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or American Business Trust.
28. From approximately June 1, 1991, through approximately July 31, 1991, Respondent Command Capital, Inc., an unlicensed entity acting on behalf of an unauthorized carrier, namely Respondent Global Capital, did solicit and/or induce health insurance coverage for, enter into preliminary negotiations with, effectuate a contract for insurance for, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract with Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or American Business Trust.
29. From approximately August, 1991, through approximately November, 1991, Respondent M & M Management Corporation, an unlicensed entity acting on behalf of an unauthorized carrier, namely Respondent Commercial Acceptance, did solicit and/or induce health insurance coverage for, enter into preliminary negotiations with, effectuate a contract for insurance for, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract with Respondents C.R.E.A.T.E. and/or WBA
and/or N.L.R.C.C. and/or Farmers Health Trust and/or American Business Trust.
30. From approximately July 1, 1991, through approximately July, 1993, Respondent Benefit Data Administrators of Novato, California, registered as a Third Party Administrator with the State of Arizona, registration number 2205, acting on behalf of an unauthorized carrier, namely Respondents Global Capital, Provident Capital and/or Universal Generale, did solicit and/or induce health insurance coverage for, enter into preliminary negotiations with, effectuate a contract for insurance for, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract with Respondents C.R.E.A.T.E. and/or WBA and/or N.L.R.C.C. and/or Farmers Health Trust and/or American Business Trust.
31. From approximately March 1, 1990, through approximately June 30, 1991, Respondent C.R.E.A.T.E., an unlicensed not for profit corporation formed under the laws of the State of Arizona acting on behalf of unauthorized carriers, namely Respondents Empire, Winston-Hill, Global Capital, Commercial Acceptance, Provident Capital, Universal Generale, and/or First Assurance did solicit and/or induce health insurance coverage, enter into preliminary negotiations, effectuate a contract for insurance, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract for and/or with various residents of Arizona and/or other states.
32. From approximately March 1, 1990, through the present, Respondent WBA, an unlicensed entity with its principal place of business in Phoenix, Arizona acting on behalf of unauthorized carriers, namely Respondents Empire, Winston-Hill, Global Capital, Commercial Acceptance, Provident Capital, Universal Generale, and/or First Assurance did solicit and/or induce health insurance coverage, enter into preliminary negotiations, effectuate a contract for insurance, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract for and/or with various residents of Arizona and/or other states.
33. From approximately March 1, 1990, through the present, Respondent N.L.R.C.C., an unlicensed entity formed under the laws of the State of Arizona and acting on behalf of unauthorized carriers, namely Respondents Empire, Winston-Hill, Global Capital, Commercial Acceptance, Provident Capital, Universal Generale, and/or First Assurance did solicit and/or induce health insurance coverage, enter into preliminary negotiations, effectuate a contract for insurance, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract for and/or with various residents of Arizona and/or other states.
34. From approximately October, 1988, through May, 1991, when it merged with Respondent N.L.R.C.C., Respondent Farmers Health Trust, d.b.a. Farmers Health Insurance Trust ("Farmers Health"), an unlicensed entity with its principal place of business in Phoenix, Arizona acting on behalf of unauthorized carriers, namely Respondents Empire, Winston-Hill,
Global Capital, Commercial Acceptance, Provident Capital, Universal Generale, and/or First Assurance did solicit and/or induce health insurance coverage, enter into preliminary negotiations, effectuate a contract for insurance, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract for and/or with various residents of Arizona and/or other states.
35. From approximately August, 1990, through November, 1990, Respondent American Business Benefit Trust, also doing business as American Business Trust, an unlicensed entity acting on behalf of unauthorized carriers, namely Respondents Empire, Winston-Hill, Global Capital, Commercial Acceptance, Provident Capital, Universal Generale, and/or First Assurance did solicit and/or induce health insurance coverage, enter into preliminary negotiations, effectuate a contract for insurance, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract for and/or with various residents of Arizona and/or other states.
36. From and after March, 1991, Respondent Worldwide Businessmans Association, an unlicensed entity acting on behalf of unauthorized carriers, namely Respondents Empire, Winston-Hill, and/or Global Capital did solicit and/or induce health insurance coverage, enter into preliminary negotiations, effectuate a contract for insurance, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract for and/or with various residents of Arizona and/or other states.
37. Respondents C.R.E.A.T.E., WBA, N.L.R.C.C., Farmers Health, American Business Benefit Trust, and/or each of them, did solicit, induce and/or effectuate health insurance coverage, enter into preliminary negotiations, effectuate a contract for insurance, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract for and/or with various individuals including but not limited to the following Arizona residents: Norma Barber of Tempe; Marion F. Bool of Tucson; Jeffrey Cantor of Scottsdale; United Food Bank of Mesa; Bob Gamelgaard of Phoenix; John Johnson of Phoenix; Dennis (Siu) Lee of Tucson; Louise McLellan of Mesa; Naquin Farms of Yuma; Tom Ocano of Phoenix; Doyle Purvis of Scottsdale; Deanna Rigo of Phoenix; Robert Sullivan of Scottsdale; Southwest Perfusion of Phoenix.
38. The solicitation, inducement and/or effectuation of the insurance contracts described above includes the procurement, preliminary negotiation, the taking or receiving of applications, the collection of premium, the payment of commissions, membership fees, dues or other consideration, the active marketing of the insurance to prospective policyholders, the quotation of premium rates, the providing application forms, and/or the payment of insurance claims.
39. Arthur Alvin Haney, a.k.a. Al Haney, a.k.a. A.A. Haney, ("Haney") is presently, and/or was at all times material to this matter, licensed as an insurance agent or broker by the State of Arizona, license number 48303. Respondent Haney is a principal of Respondents W.B.A., N.L.R.C.C., C.R.E.A.T.E., Worldwide.
40. On and after March 1, 1990, Respondent Haney participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
41. James G. Rickard, a.k.a. Gary Rickard, ("Rickard") is presently, and/or was at all times material to this matter, licensed as an insurance agent or broker by the State of Arizona, license number 642834. Respondent Rickard is and/or was at all material times a principal of Respondents W.B.A., N.L.R.C.C., C.R.E.A.T.E., and/or Worldwide.
42. On and after March 1, 1990, Respondent Rickard participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
43. Michael A. Anastasio, ("Anastasio" or "Agent") is presently, and/or was at all times material to this matter, licensed as an insurance agent or broker by the State of Arizona, license number 2650. Respondent Anastasio is and/or was at all material times a principal of Respondents W.B.A., N.L.R.C.C., C.R.E.A.T.E., and/or Worldwide.
44. On and after March 1, 1990, Respondent Anastasio participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
45. Alice Louetta Mustic dba Alice Long, ("Long") is presently, and/or was at all times material to this matter, licensed as an insurance agent or broker by the State of Arizona, license number 662470.
46. On and after March 5, 1991, Respondent Long participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
47. Robert Schneider, ("Schneider") is presently, and/or was at all times material to this matter, licensed as an insurance agent or broker by the State of Arizona, license number 103161.
48. On and after April 5, 1990, Respondent Schneider participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
49. Warren Schulte, ("Schulte") was at all material times prior to February 28, 1993 licensed as an insurance agent or broker by the State of Arizona, license number 103161. Schulte's license expired February 28, 1993.
50. On and after April 5, 1990, Respondent Schulte participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
51. Roger Fortier, ("Fortier") is presently, and/or was at all times material to this matter, licensed as a nonresident insurance agent or broker by the State of Arizona, license number 11619.
52. On and after December 21, 1990, Respondent Fortier participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
53. Paul Dong, ("Dong") is presently, and/or was at all times material to this matter, licensed as a nonresident insurance agent or broker by the State of Arizona, license number 281927.
54. On and after January 17, 1992, Respondent Dong participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
55. A.A. Haney and Associates, Inc., ("A.A.H.") is presently, and/or was at all times material to this matter, licensed as an insurance agency by the State of Arizona, license number 137718, controlled by Respondents Haney, Anastasio, and/or Rickard.
56. On and after March 1, 1990, Respondent A.A.H. participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
57. Selective Sales, Inc., ("Selective") is presently, and/or was at all times material to this matter, licensed as an insurance agency by the State of Arizona, license number 142492, controlled by Respondents Haney and/or Anastasio.
58. On and after March 1, 1990, Respondent Selective participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
59. National Insurance Management, Inc., ("NIM") is presently, and/or was at all times material to this matter, licensed as an insurance agency by the State of Arizona, license number 294063, controlled by Respondents Haney and/or Anastasio.
60. On and after March 1, 1990, Respondent NIM participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
61. National Administrative Corporation, Inc., ("NAC") is presently, and/or was at all times material to this matter, licensed as an insurance agency by the State of Arizona, license number 349159, controlled by Respondents Haney and/or Anastasio.
62. On and after March 1, 1990, Respondent NAC participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
63. National Insurance Warehouse, ("Warehouse") is presently, and/or was at all times material to this matter, licensed as an insurance agency by the State of Arizona, license number 413233, controlled by Respondents Haney and/or Anastasio.
64. On and after March 1, 1990, Respondent Warehouse participated directly and/or through agents, partners, and/or associations, in the solicitation, inducement and/or effectuation of insurance contracts underwritten by carriers not authorized to transact health insurance in Arizona.
65. Respondents Haney, Rickard, Anastasio, Long, Schneider, Schulte, Fortier, Dong, A.A.H., Selective, NIM, NAC, Warehouse, Worldwide, and/or each of them, did solicit, induce and/or effectuate health insurance coverage, enter into preliminary negotiations, effectuate a contract for insurance, and/or transact matters subsequent to the effectuation of the insurance contract and/or arising out of the insurance contract for and/or with individuals including but not limited to the following Arizona residents: Norma Barber of Tempe; Marion F. Bool of Tucson; Jeffrey Cantor of Scottsdale; United Food Bank of Mesa; Bob Gamelgaard of Phoenix; John Johnson of Phoenix; Dennis (Siu) Lee of Tucson; Louise McLellan of Mesa; Naquin Farms of Yuma; Tom Ocano of Phoenix; Doyle Purvis of Scottsdale; Deanna Rigo of Phoenix; Robert Sullivan of Scottsdale; Southwest Perfusion of Phoenix.
66. The solicitation, inducement and/or effectuation of the insurance contracts described above includes the procurement, preliminary negotiation, the taking or receiving of applications, the collection of premium, and/or payment of
commissions, membership fees, dues or other consideration, active marketing of the insurance to prospective policyholders, the quotation of premium rates, providing application forms, and/or remitting the premiums to companies not authorized to transact insurance in the State of Arizona.
67. Respondent Gunhild Allen ("Allen") does not and did not at any material time hold an insurance license in Arizona.
68. Allen served as an officer of Respondents WBA and C.R.E.A.T.E. and aided Respondents Haney, Rickard, and/or Anastasio in the solicitation, inducement, and/or effectuation of insurance contracts underwritten by companies not authorized to transact health insurance in Arizona.
69. Respondent Judith St. Gaudens ("St. Gaudens") does not and did not at any material time hold an insurance license in Arizona.
70. St. Gaudens acted as signatory on the company bank account of Respondent N.L.R.C.C. and aided Respondents Haney, Rickard, and/or Anastasio in the solicitation, inducement, and/or effectuation of insurance contracts underwritten by insurance carriers not authorized to transact health insurance in Arizona.
71. Respondent Kathy Mogel ("Mogel") does not and did not at any material time hold an insurance license in Arizona.
72. Mogel acted as signatory on various business bank accounts of Respondents C.R.E.A.T.E., WBA, and/or N.L.R.C.C. and aided Respondents Haney, Rickard, and/or Anastasio in the solicitation, inducement and/or effectuation of insurance
contracts underwritten by companies not authorized to transact health insurance in Arizona.
73. The solicitation, inducement and/or effectuation of the insurance contracts described above includes the procurement, preliminary negotiation, the taking or receiving of applications, the collection of premium, and/or payment of commissions, membership fees, dues or other consideration, active marketing of the insurance to prospective policyholders, the quotation of premium rates, providing application forms, and/or remitting the premiums to companies not authorized to transact insurance in the State of Arizona.
CONCLUSIONS OF LAW
1. The Director has jurisdiction over this matter.
2. The conduct of Respondents, and/or each of them, as described in the Findings of Fact above constitutes the transaction of insurance within the meaning of A.R.S. § 20-106.
3. The conduct of Respondents, and/or each of them, as described above constitutes the unauthorized transaction of insurance within the meaning of A.R.S. §§ 20-106, 20-107 and 20-401.01.
4. The transaction of insurance by Respondents, or each of them, does not impair the validity of any act or contract of the Respondents.
5. Respondents, and each of them, are prohibited from maintaining any action in any court of this State to enforce any right, claim, or demand arising out of the transaction of the business of insurance until and unless Respondents, or each of
them, obtain a certificate of authority as set forth in A.R.S. § 20-402.
6. If Respondents, or each of them, fail to pay any claim or loss within the provisions of the insurance contract issued by them, or by each of them, any person who acted directly or indirectly as an agent for or otherwise represented or aided Respondents, or each of them, in a solicitation, negotiation, procurement or effectuation of the insurance contract or renewal of the contract is liable to the insured for the full amount of the claim or loss in the manner provided by the provisions of the insurance contract as set forth in A.R.S. § 20-402(B).
ORDER
IT IS HEREBY ORDERED:
1. That Respondents, and each of them, shall immediately cease and desist from the transaction of the business of insurance in the State of Arizona.
2. That Respondents, and each of them, shall immediately cease and desist from soliciting any insurance application, making or proposing to make any insurance contract, taking or receiving any application for insurance, taking or collecting any premium, commission, or any other consideration for any insurance contract, issuing or delivering contracts of insurance to residents of this State, or otherwise transacting insurance business from offices or by personnel or facilities located in the State of Arizona.
3. Respondents, and each of them, shall pay all valid claims arising out of acts covered by any and all insurance
insurance contracts issued by them, or each of them, to Arizona residents for so long as such claims may legally be brought by or against any insured.
4. Respondents, and each of them, shall, within thirty (30) days of the date of this Order, remit to the Department of Insurance of the State of Arizona any and all premium taxes applicable to the unauthorized insurance transacted in the State of Arizona and shall provide at the time of such submission an accounting acceptable to the Director of Insurance of the State of Arizona.
5. Respondents, and each of them, shall, within thirty (30) days of the date of this Order, remit to the Department of Insurance of the State of Arizona the costs of examination associated with this proceeding in the following manner:
6. This Order shall become effective immediately and shall remain in full force and effect until otherwise stayed, modified, vacated or set aside.
**NOTICE OF OPPORTUNITY FOR HEARING**
Pursuant to Titles 20 and 41 of the Arizona Revised Statutes, Respondents, and each of them, are hereby notified that each of them may request a hearing pursuant to A.R.S. § 20-161 to contest the order to cease and desist. Such a request must be in writing and received at the following address within thirty (30) days from the date hereof:
Arizona Department of Insurance
Hearing Division
2910 North 44th Street
2nd Floor
Phoenix, Arizona 85018
Upon receipt of a timely written request for hearing, the Director will issue a notice setting the time and place of the hearing.
DATED AND EFFECTIVE this 3rd day of September, 1993.
SUSAN GALLINGER
Director of Insurance
COPY of the foregoing mailed/delivered this 3rd day of September, 1993, to:
Mark Sendrow, Esq.
Assistant Attorney General
Consumer Protection and Antitrust Section
1275 W. Washington
Phoenix, Arizona 85007
Attorney for the Department of Insurance
Charles Cohen, Acting Deputy Director
Sandra Lewis, Executive Assistant
Gary A. Torticill, Assistant Director
Jay Rubin, Assistant Director
Department of Insurance
2910 North 44th Street, 2nd Floor
Phoenix, Arizona 85018
Empire Blue Cross and Blue Shield
622 Third Avenue
New York, New York 10017
Winston-Hill Assurance Company
1111 Katy Freeway, Suite 800
Houston, Texas 77079
Global Capital Assurance Company, Ltd.
3 Riverway, Suite 1460
Houston, Texas 77056
Commercial Acceptance Insurance Company
c/o Arizona Secretary of State
Universal Generale Insurance Co., Ltd.
c/o Arizona Secretary of State
Old American Insurance Co., Ltd.
Sabre House
P.O. Box 171
Grand Turks, Turks & Caicos Islands
British West Indies
Old American Insurance Co., Ltd.
c/o Peter N. Osborn, Esq.
3530 Wilshire Blvd., Suite 1500
Los Angeles, CA 90010-2343
Provident Capital Indemnity, Ltd.
600 East Atlantic Avenue
Delray Beach, Fl 33483
First Assurance and Casualty Company, Ltd.
Arawak Bldg. - Front Street
Grand Turk
Turks & Caicos, British West Indies
Diversified Health Concepts
9700 North 91st Street
Scottsdale, Arizona 85258
Benefit Administrators
P. O. Box 17748
Fort Mitchell, Kentucky 41017
Command Capital, Inc.
1444 Wazee, Suite 210
Denver, Colorado 80202
M & M Management Inc,
1627 Main Street, Suite 700
Kansas City, MO 64108
Benefit Data Administrators
8 Digital Drive, Suite 200
Novato, CA 94949
C.R.E.A.T.E.
P. O. Box 35699
Phoenix, Arizona 85069-5699
C.R.E.A.T.E.
2604 North 24th Street
Phoenix, Arizona 85008
Western Businessmen's Association
P. O. Box 930
Phoenix, Arizona 85001
National Labor Relations Consultants
Corp./ Farmers Health Trust
P.O. Box 35699
Phoenix, AZ 85069-5699
National Labor Relations Consultants
Corp.
2604 North 24th Street
Phoenix, Arizona 85008
Farmers Health Trust
P.O. Box 343
Gilbertsville, N.Y. 13776
American Business Benefit Trust
2010 Crow Canyon Place #260
San Ramon, CA 94583
Warren Schulte
12625 North 85th Street
Scottsdale, AZ 85260
Robert Schneider
1028 East Palmaire
Phoenix, AZ 85020
Arthur Alvin Haney
3865 East Lincoln Drive
Paradise Valley, AZ 85253
James G. Rickard
3435 W. Orchid Lane
Phoenix, AZ 85051
Michael A. Anastasio
4702 E. Cypress
Phoenix, AZ 85008
Alice Louetta Mustic
4764 West Escuda Drive
Glendale, AZ 85038
Anthony Jeanette
9465 North 92nd Street #207
Scottsdale, AZ 85258-5109
Atlantic to Pacific Marketing
10105 East Via Linda, Suite 103-360
Scottsdale, AZ 85258-5311
Paul Dong
3714 West Glendale Avenue
Phoenix, AZ 85051
Roger Fortier
1031 Loma Vista
Pomona, CA 91758
Gunhild Allen
2602 North 24th Street
Phoenix, AZ 85008
Judith St. Gaudens
2602 North 24th Street
Phoenix, AZ 85008
Kathy Mogel
2602 North 24th Street
Phoenix, AZ 85008
A.A. Haney and Associates, Inc.
P.O. Box 620
Phoenix, AZ 85001
Selective Sales, Inc.
P.O. Box 620
Phoenix, AZ 85001
National Insurance Warehouse
P.O. Box 620
Phoenix, AZ 85001
National Insurance Management, Inc.
P.O. Box 620
Phoenix, AZ 85001
National Administrative Corporation, Inc.
P.O. Box 620
Phoenix, AZ 85001
National Insurance Management, Inc.
P.O. Box 620
Phoenix, AZ 85001
National Administrative Corporation, Inc.
P.O. Box 620
Phoenix, AZ 85001
American Health Care Underwriters
of Encino, CA
16133 Ventura Boulevard
Suite 635
Encino, CA 91436
Robert D. Sullivan
8409 East Chama Road
Scottsdale, Arizona 85255
Irving Zirbel, Esq.
Zirbel Law Offices, P.C.
Scottsdale Financial Plaza
7500 East Butherus Drive
Scottsdale, Arizona 85260
Robert L. Brace, Esq.
1126 Santa Barbara Street
Santa Barbara, California 93101
Louise McLellan
311 West 6th Street
Mesa, Arizona 85201
United Food Bank
358 East Javelina
Mesa, Arizona 85201
Chris Crawford |
Dynamic Space Limits for Haskell
Edward Z. Yang David Mazières
Stanford University
{ezyang, email@example.com
Abstract
We describe the semantics and implementation of a space limits system for Haskell, which allows programmers to create resource containers that enforce bounded resident memory usage at runtime. Our system is distinguished by a clear allocator-pays semantics drawn from previous experience with profiling in Haskell and an implementation strategy which uses a block-structured heap to organize containers, allowing us to enforce limits with high accuracy. To deal with the problem of deallocating data in a garbage collected heap, we propose a novel taint-based mechanism that unifies the existing practices of revocable pointers and killing threads in order to reclaim memory. Our system is implemented in GHC, a production-strength compiler for Haskell.
Categories and Subject Descriptors D.3.4 [Run-time environments]
General Terms Languages, Reliability, Security
Keywords Resource Limits, Profiling, Fault Tolerance, Haskell
1. Introduction
High-level languages encourage programmers to think about problems in abstract mathematical terms, which is often conducive to concise, algorithmically correct solutions. Unfortunately, high-level languages can also obscure the time and space requirements of programs, making seemingly correct code unsuitable for the real world. As an example, in e-commerce, an incorrect answer may be preferable to a slow one [4]. As another example, many protocols, including HTTP, specify no limits on the size of message fields. Yet a web server that rejects RFC2616-compliant HTTP headers larger than some arbitrary limit (e.g., 8 KB) is clearly preferable to one that “correctly” parses multi-gigabyte headers after inducing virtual memory paging. These examples demonstrate the importance of a mechanism for bounding resource consumption.
Operating systems like Linux already provide resource limits at the process-level. However, to take advantage of this support, programs must be divided into separate processes—a heavy architectural penalty when an application does not normally use multiple processes. Furthermore, these processes are far more heavyweight than operating system threads or user-level threads: Google Chrome, which uses separate processes per tab, requires 30 MB per tab, while Mozilla Firefox, which runs in a single process, only requires 2 MB per tab [25].
The alternative is to employ sub-process resource containers inside of the programming language. Past work has employed a variety of mechanisms to implement resource containers in this setting, from bytecode rewriting [3], to revocable pointers [10] to completely separate heaps [1], to using the garbage collector to directly trace the retainers of objects [17, 26]. The semantics of these systems vary on a few key design points, including whether or not the allocator or the retainer pays for objects and how one can free a resource container that is no longer needed. One difficulty that arises in garbage collected languages is the fact that a cross-container reference can keep a container alive: the container cannot be freed without violating memory safety.
This paper introduces a new point in the design space. Our system utilizes a single garbage-collected heap and allows cross-container references to be treated as normal references. The key insight is that we do not need to modify the garbage collector to support forcibly reclaiming objects. Instead, we conservatively track which containers a thread may have access to via a mandatory tainting mechanism. To reclaim a resource container, simply kill all threads tainted with access to that container. To make our approach practical, our API helps threads avoid excessive taint and takes advantage of Haskell’s purity. In particular, a thread may spawn “disposable” subcomputations to compute over data in other resource containers, the results of which can be read back without acquiring taint by copying the object out of the container.
We have implemented our approach in GHC, the most popular Haskell compiler. Haskell is a good example of a powerful, high-level language that complicates reasoning about memory allocation. Our choice was motivated by several factors. First, the language is ideal for formally specifying the semantics of resource containers. To our knowledge, this has not been done before. These semantics come by way of a previous cost semantics formalized for GHC’s profiler [19], which tells us how resource containers should work for lazy evaluation and higher-order functions. Second, GHC uses a block-structured heap, which allows for an easy implementation of resource containers, optimizing for the rapid allocation and deallocation of containers. Finally, GHC has hardened Haskell’s type system against malicious code with a feature called Safe Haskell [24]. Resource containers provide immediate value to Safe Haskell, which is already in production use to confine potentially malicious third-party code [8] but until now could only recover from heap overflow at the process granularity.
Our contributions are as follows. First, we introduce a new approach to resource containers. We describe an implementation for Haskell and provide a precise semantics that accounts for lazy evaluation, higher-order functions, and exceptions. We provide a library to facilitate resource container revocation, built on mandatory tracking and control of reference propagation. We evaluate the memory utilization and performance of our approach. Finally, we comment on the applicability of our technique to other languages.
2. Resource limits
The goal of our resource limits system is to limit the memory usage of untrusted or buggy pieces of code. Thus, a user should be able to enforce resource limits on a piece of code in this manner:
\[
rc \leftarrow newRC 400 \{- 4KB pages of memory -\}
withRC rc (\ldots \text{untrusted code} \ldots)
\]
Here, the user allocates a fresh resource container (newRC) with a fixed limit of 400 pages of memory\(^1\) and runs a fragment of code, attributing its memory usage to this container (withRC). If the code exceeds the limit, a heap overflow exception is triggered.
As usual, the devil is in the details. It may be easy to say what withRC should do with straight-line code, but what about code that returns a function or a thunk that is evaluated outside the withRC block? Furthermore, what does it mean to trigger a heap overflow exception when a limit is exceeded? We start by discussing these two aspects of our system; next, as one of our key contributions is a semantics for resource containers, we describe a formal semantics for our system.
**Functions and thunks**
An allocator-pays model of resource usage usually involves a current resource container, to which costs are charged. This current container changes when a user invokes withRC. An important design choice is whether or not function calls change the current resource container. In the case of a lazy language, one must also decide if thunk evaluation should change the current resource container.
We think the choice for thunks is clear: a thunk should run in the same container it was originally allocated in. The reason for this is predictability: a thunk may be simultaneously forced by several threads, only one of which actually performs the evaluation. If we did not revert the current container upon evaluation, the cost of evaluating the thunk would be charged to the current container of whichever thread won the race, resulting in a non-deterministic cost attribution.
For functions, there are two choices: either functions change the current resource container (lexical scoping), or they do not (dynamic scoping). In the first case, it is unsafe to pass a function to another container, as the user may repeatedly reinvoke your function (which is allocating on your behalf) and induce a large amount of memory usage. In the second case, it is unsafe to call an untrusted function, as it may blow up and induce a large amount of memory usage. The first choice offers users no recourse: functions simply cannot be shared. However, in the second case, a container can allocate a temporary subcontainer (paid out of its own budget) to run the computation. Thus, our system adopts dynamic scoping.
It is no accident that our choices here closely match the cost semantics utilized by GHC’s profiler [19]. Profiling and resource limits both seek to answer the same question: “What is the resource consumption of a cost center/resource container?” By adhering to the existing cost semantics, developers can reason about resource containers the same way they reason about code when they are using a heap profiler.\(^2\)
**What happens when a resource limit is hit?**
Assuming that the limit of a resource container has been reached, what should be done? Experience with operating-system based resource limits suggests that some sort of signal should be raised, which in garbage-collected languages has translated into killing threads. Killing threads in a language like Java, however, is a very dangerous operation that can leave a system in a deadlocked state, as it does not give a thread the opportunity to cleanup after itself. Haskell, on the other hand, specifically has support for asynchronous exceptions [13], which are an excellent mechanism for delivering stack overflow and heap overflow exceptions that respect the exception handling stack. When a thread triggers a heap overflow, its exception handlers are invoked, giving it a chance to cleanup or recover (the handler may even operate in a different resource container, guaranteeing that it will run). This approach easily accommodates multiple threads running under the same resource container. Furthermore, existing support for masking asynchronous exceptions enables a thread to temporarily ignore the fact that a resource limit has been hit. Trusted code may decide to allocate beyond its resource limit to ensure a critical region completes.
### 2.1 Big-step cost semantics
We now give a formal cost semantics for resource containers. Rather than give semantics for Haskell, we give semantics for an intermediate language used by GHC called STG [12], which user code is compiled into after optimization. Figure 1 describes the syntax of STG. STG is a simple untyped lambda calculus, containing only function applications, constructors, pattern-matching over constructors, let-bindings and thunks. It also includes domains of literals (lit) and primitive operations (op); withRC and newRC are considered primitive operations, and resource containers (rc) are considered literals. For simplicity, we omit the limit argument from newRC, as our semantics do not directly model resource consumption. Functions, constructors and operators can have arbitrary arity, so we simply notate a vector of arguments using an overline. We use the identifiers \(f, g, h, r, x, y\) and \(z\) to represent variables, with the convention that \(f, g\) and \(h\) are functions and \(r\) evaluates to an \(rc\). \(K\) ranges over data constructor names.
STG has a few restrictions that make it amenable for compilation to machine code: lambdas occur only as the rhs of let-bindings, constructor and primitive applications must be saturated (fully applied), and function arguments must be either literals or variables (represented using \(a\)). We will say an rhs is a value \(v\), if it is either a constructor application or a lambda. Previous literature [12] describes how to transform programs to obey these restrictions. Thunks are written inside top corner brackets (\(\lceil \cdot \rceil\)).
Our big-step cost semantics is stated in Figure 2 and is a modernized version of previous cost semantics by Sansom et al. [19] extended for resource containers. This semantics only models the evolution of the current resource container and the attribution of costs; the small-step semantics in the next section handles excep-
---
\(^1\) It would be relatively easy to build an abstraction layer which permits relative resource limits (e.g., give one third of my limit to the created containers). However, the raw unit of measure is implementation dependent: the choice of 4KB pages in particular is motivated by our use of a block structured heap, described in Section 4.3.
\(^2\) In fact, our very first implementation of this system directly reused GHC’s profiling support.
The basic transition is $\Gamma : e \Downarrow_{rc} \Delta : a$, which states that expression $e$ with heap $\Gamma$ transitions to a value or literal $a$ with new heap $\Delta$, where the current resource container is $rc$. Bindings on the heap $x \overset{rc}{\mapsto} hv_{al}$ are associated with a resource container $rc$, stating that this container is being charged for the binding; alternatively, one can consider the address $x$ to reside in container $rc$. We conflate heap locations with variables; heap values may be any valid $rhs$ or an indirection to another heap value (a nod to how thunk update is actually implemented).
The most important thing these semantics model is how the current resource container changes (otherwise, they are standard); allocating operations (such as a let-binding) simply charge their allocations to the current resource container. As an example, consider the Thunk rule. It states that a variable/heap pointer $x$ which points to a thunk $e$ can be evaluated to a new heap pointer $z$ (and the binding $x$ updated), if $e$ evaluates to $z$ with the current resource container $rc$ (the container the thunk was charged to on the heap.) In comparison, the App rule does not change the current resource container.
It is worth making a brief remark about the WithRC rule, which states withRC takes a resource container $r$ along with arguments $f$ and $a$, rather than a single expression. There is a good reason for this: withRC $r (f x)$ is illegal in STG: and one would need to write let $z = \top f' x^{-1} \text{in} \text{withRC} r z$ with a single-argument withRC. However, this would not achieve the intended effect, as $f' x$ is a thunk associated with the parent resource container, and would revert the resource container immediately on entry.
We can give the following guarantee: modulo newRC and withRC, code running in one resource container cannot induce unbounded resource usage in another container, as long as there are no infinite thunks reachable from other containers. In Section 4.5, we describe a way to deal with infinite global thunks.
### 2.2 Small-step operational semantics
While the big-step semantics provide a clear picture of how the current resource container changes, we also need to reason about how resource containers interact with exceptions. To do this, we first recast the previous cost-semantics as a small-step operational semantics in Figure 3, with an explicit stack.
The form of transitions is $\Gamma, s, C \rightarrow \Gamma', s', C'$, where $s$ points to the stack in the heap (stacks constitute resource usage!), and $C$ is the program code. A program code is either return $a$, which states that the program is returning the value or literal $a$ to the top continuation on the stack, or eval $e$, which means that the program is evaluating some expression. While we don’t model multiple threads explicitly, a thread is merely a stack pointer and a program code. The allocated condition indicates that a variable is fresh.
A stack $S$ is a sequence of stack frames $f_1 \triangleright f_2 \ldots \triangleright f_n$ which grows to the right. Stack growth constitutes allocation. A stack frame can be an update frame $\text{upd} x$ (given a return value $z$, update $x$ to point to $z$, and return $z$), a continuation case of all (given a return value, case-match on it and continue evaluation in the appropriate branch), an application frame $\text{ap} \overline{a_i}^i$ (given a return value $f$, apply it to the arguments $\overline{a_i}^i$), or a stack link $\text{link} s$, which points to a linked stack chunk with which to continue execution when the current chunk underflows. Technically, the arguments of functions should also be stored on the stack, but for simplicity we continue to denote binding using substitution and do not explicitly model the argument stack.
There are two things to note about the new semantics. First, the current resource container is now implicitly represented as the resource container of the current stack chunk; thus, withRC allocates a new stack chunk in the desired resource container and links it to the previous chunk in the old container (see Section 4.4 for an optimization). When a stack chunk underflows, the current resource container resets to the current container of the previous stack chunk. Second, when a thunk is entered, the thunk is replaced with a placeholder $\bullet$ known as a black hole [18]. As there is no rule for evaluating $\bullet$, a black hole blocks any other thread that attempts to force it until the thunk is updated.
In Figure 4, we introduce transition rules for synchronous and asynchronous exceptions by adding a corresponding pair of program codes, raise$_w w_0$, which represents a synchronous exception $w$ being processed up the stack, and suspend$_w e$, which represents an asynchronous exception being processed up the stack. We use the convention that $w$ indicates the heap location of an exception value and $w_0$ indicates the heap location of an exception-raising thunk. There is also a new stack frame, catch $h$ (catch an exception and run handler $h$). Synchronous exceptions are thrown, while asynchronous ones are non-deterministically induced by external events (which we indicate by placing a $w$ over the transition arrow).
Synchronous and asynchronous exceptions are handled nearly identically, except in how they handle update frames. A normal exception overwrites the thunk with a closure $w_0$ which always throws an exception; this works because we know that any future attempt to evaluate this thunk will always cause an exception. However, in the case of an asynchronous exception, a second attempt to evaluate the thunk may succeed; thus, we should record any partial work we may have achieved in evaluating the thunk for next time [13].
The rules for asynchronous exceptions automatically give us a rule for heap overflow, which is an asynchronous exception. Furthermore, we can nearly always throw an asynchronous exception rather than take a transition that requires allocation. The only case where this is not true is when processing update frames for asynchronous exceptions, which allocate in order to move the suspended computation from the stack to the heap. Thus, we introduce one more rule, below the dashed line: if we cannot allocate space for this suspended computation, we instead update the thunk to point to a global exception thunk for heap overflows. This behavior can be justified by observing that any other thread which might force the thunk must allocate into the (overflowed) heap to store the result, inducing a heap overflow exception. We can now show, for these semantics:
**Theorem 2.1.** For any small-step transition that may induce heap allocation (indicated by allocated or by a new stack frame), it is always a valid step to instead induce a heapOverflow asynchronous exception.
**Proof.** By case-analysis over program codes: eval and return can directly transition to suspend, no transition rules from raise allocate, and suspend is handled by the rule below the dashed line. □
**Theorem 2.2.** Progress. When a thread heap overflows, it is guaranteed to progress to the top-most catch frame.\(^3\)
**Proof.** Induction on the size of the stack: all transitions after an asynchronous exception decrease their stack.
These guarantees do not hold in the presence of exception masking. Exception masking can be introduced into these semantics by adding one additional piece of thread state. When exceptions are masked, the \(w\) rules are not applicable. Thus, masking offers a safety escape from resource limits: when a thread is masked, we always fulfill its allocation requests, even when the current resource container has exceeded its limit.
### 3. Reclamation
We have described how to bound memory allocation by a container, but we have not said how to reclaim the memory consumed by a container. In a garbage collected language, one cannot simply free a container, since doing so would result in dangling pointers. However, it would be a severe bug if a user could slowly leak memory by retaining pointers to data that should be garbage collected—especially if this is data that other users are paying for!
There are generally two approaches to deallocating objects in a memory-safe, garbage-collected language: one can use special *revocable pointers* that raise an exception on any attempt to access a deallocated object, or one can simply eliminate all reachable pointers to the object, which requires killing threads holding such pointers. Each approach has been individually proposed in the literature and offers different trade-offs.
The first approach requires that all cross-container references be revocable pointers. To avoid leaking plain references, any access to a revocable pointer must be mediated by functions that copy data and/or return more revocable pointers. Revoking pointers is a natural way to think about reclamation from an operating systems perspective, where data is explicitly transferred across protection boundaries. However, this style can be awkward in a programming language. Worse, a functional language such as Haskell encourages programming with immutable data; transforming a previously examined immutable value into an exception would be quite disconcerting for functional programmers.
The second approach requires identifying and killing all threads that might have access to the data one wants to deallocate. Here, it is members of the root set that are explicitly revoked, as opposed to direct pointers to deallocated objects. Thus, no special support is necessary for cross-container references. However, under this scheme, a thread working with cross-container data has to be very careful, as at any moment, it may be killed due to a resource-container deallocation.
Given that these two approaches have different benefits, a good solution should support both! Hence, we conservatively track which resource containers a thread may have access to. However, we also introduce special revocable resource-container references, called \texttt{RCRef}s, which mediate inter-thread communication. A thread can dereference an \texttt{RCRef} in one of two ways: it may follow the pointer normally, thereby “tainting” itself as a potential retainer of the object’s resource containers; alternatively, it may opt to copy the value into its own resource container.
To understand our API, a small amount of background in Haskell is necessary. The next subsection discusses some basic aspects of Haskell’s design. We then present the details of our reclamation mechanism. Finally, we discuss how our solution dovetails nicely with information flow control, a technique frequently used to confine untrusted Haskell code.
#### 3.1 Haskell background
Haskell is a pure functional language, meaning variables are immutable and functions are like mathematical functions, deterministic and without side-effects. Haskell does allow IO, but the fact that a computation performs IO must be reflected in its type. For example, a value of type \texttt{Char} represents a particular, immutable Unicode code point. By contrast, a value of type \texttt{IO Char} represents some computation that, when executed, may produce side effects and will return a \texttt{Char}. An example of such a computation in the system library is \texttt{getChar :: IO Char} (the keyword \texttt{::} specifies the type of a symbol), which reads a character from standard input and returns it. Syntactic sugar facilitates hooking together IO computations, e.g.:
```haskell
copyChar :: IO () -- type () is unit (like void)
copyChar = do c <- getChar
putChar c
```
An important point is that IO computations can invoke pure functions, while pure functions cannot cause IO to happen; this is enforced statically by the type checker. Haskell does have mutable values, but these can only be manipulated from within IO computations. For example, the system library provides the following three functions to allocate, read, and write mutable values:
```haskell
newIORef :: a -> IO (IORef a)
readIORef :: IORef a -> IO a
writeIORef :: IORef a -> a -> IO ()
```
Finally, type \texttt{IO} is an instance of a typeclass called \texttt{Monad}. The syntactic sugar for hooking together IO computations actually applies to any instance of \texttt{Monad}. Hence, it is common for programmers to implement new \texttt{IO}-like types and make them monads. Introducing monads is further encouraged by the fact that many library functions are polymorphic over all monads.
A common technique for constructing monads is to define a new type that internally contains \texttt{IO} computations, effectively “wrapping” \texttt{IO} in another level of type constructor. Through appropriate use of modularity, such wrapped versions of \texttt{IO} can expose only a subset of available \texttt{IO} operations to code. Such restricted monads are typically how people safely confine untrusted third-party Haskell code [23, 24].
#### 3.2 Revocation API
The minimal set of threads to kill to reclaim a container is precisely the set of threads from which the container is reachable. One might imagine calculating this set during garbage collection; indeed Section 6.2 discusses previous systems which do this. However, this approach can lead to a subtle bug: suppose that a thread temporarily references another container, intending to drop the reference when it is done processing the data. If the thread fails to drop a *single* reference, it will be summarily killed when the data is reclaimed; worse, the program may give the impression of working correctly, if the thread drops all of the references most of the time.
Instead we opt for a conservative scheme which “fails fast”. Every thread is associated with a set of containers to which it may have references, called the *current label*. A thread inherits the label of the thread that spawned it. When a thread changes container using \texttt{withRC}, the new container is *permanently* added to the thread’s label. Similarly, when a thread reads an \texttt{RCRef}, the \texttt{RCRef}’s container is added to the current label. Critically, the label of an \texttt{RCRef} is immutable, ensuring that a developer can always tell what containers its data may depend on. Moreover, using an appropriately defined *container monad*, called \texttt{CM}, the label can be computed with no special assistance from the language runtime.
Figure 5 shows a subset of the API available in the \texttt{CM Monad}. A computation in the container monad can be run using \texttt{startCM}, and
startCM :: CM () -> IO ()
withRC :: RC -> CM a -> CM a -- lifted from IO
newRC :: Int -> CM RC -- lifted from IO
killRC :: RC -> CM ()
forkRC :: RCSet -> CM a -> CM (RCResult a)
readRCResult :: RCResult a -> CM a
copyRCResult :: RCResult a -> Transfer a -> CM a
newRCIORef :: a -> RCSet -> CM (RCIORef a)
readRCIORef :: RCIORef a -> CM a
copyRCIORef :: RCIORef a -> Transfer a -> CM a
writeRCIORef :: RCIORef a -> a -> CM ()
Figure 5. Subset of revocation API.
we provide variants of newRC and withRC specialized for the CM monad. In particular, withRC rc adds rc to the current label of a thread. We also provide a new function, killRC, which deallocates a resource container by revoking any RCRefs to it and killing all threads that could retain references to it. Here is a simple example:
```haskell
startCM (do rc <- newRC 400
withRC rc (... expr ...)
killRC rc
...)
```
This code seems to do some computation and then free the container rc. Surprisingly, as withRC permanently added rc to the current label of the main thread, killRC will kill itself, and the rest of the code is never run. To avoid this situation, we provide the function forkRC, which spawns a new thread—with its own current label—to run the computation.\footnote{It’s not strictly necessary to create a new thread; however, heap overflow exceptions should not cross over the forkRC boundary.} forkRC takes an argument rcsset, which states what containers the result of the thread may have a dependence on and returns an RCResult, which is simply an RCRef that also performs thread synchronization (e.g., an IVar). Now, we could simply just read the result with readRCResult, tainting the main thread with the containers in rcsset—however, this would defeat the point of forking in the first place. Alternatively, we could copy the result to our original resource container and avoid tainting the container completely. This is achieved using copyRCResult with a transfer function which describes how to copy the argument. A trusted library provides combinators for copying primitive data (e.g., trPrim for boxed integers) as well as more complex data (e.g., trList n t for lists, where n is the maximum number of elements to copy and t is the transfer function to apply to items).
Thus, the correct version of our example looks like this:
```haskell
r <- forkRC rcsset (withRC rc (... expr ...))
x <- copyRCResult r trPrim
killRC rc
```
Generally, one wants to take cross-container data (possibly very large) and convert it into a small result, which is then copied back to the original thread. As an example, suppose we wanted to record the average size of HTTP requests, where each request lives in its own resource container. The length calculation requires all of the HTTP request, but only a single integer needs to be copied back to the main thread.
RCResult is not the only mechanism by which interthread communication can occur: any existing communication primitive can be augmented with RCRef to be incorporated into the CM monad. As a simple example, we consider IORef, which is replaced with RCIORef. Like forkRC, creating an RCIORef with newRCIORef requires the set of resource containers the RCIORef is allowed to retain. readRCIORef adds this set to the label of any thread reading the reference; copyRCIORef copies the value into the current resource container. However, the most interesting operation on RCIORef is writeRCIORef, which performs an additional check to ensure the current thread’s label is a subset of the RCIORef’s. Otherwise, the written value might depend on a container the reference is not permitted to retain, and the write must be rejected. In our library, we also provide RCMVar, which is the container-aware version of MVars, a simple abstraction for interthread communication and synchronization.
3.3 Information flow control
We have presented this reclamation API in isolation for the sake of understandability; however, this interface has a close relationship to information flow control (IFC), a technique used for managing the propagation of sensitive information. In an IFC system, security policies are captured by labels, which dictate how sensitive (secrecy) or trusted (integrity) a piece of data is. To give a concrete example of an integrity policy, suppose we have a database which should only allow writes from Alice or Bob: its label is the set of principals \{Alice, Bob\}. Alice can give a piece of data the \{Alice\} label by endorsing it. We now say that a label \( l \) may flow to \( l' \) if \( l \subseteq l' \): thus data Alice endorses can flow to the database, but not data Carl endorses.\footnote{These labels can be generalized to be arbitrary propositional formulas [22], with our sets forming disjunctions of principals.}
Our resource reclamation scheme is, in fact, an information flow control scheme which enforces an integrity policy: principals correspond to resource containers, labels correspond to sets of reachable containers, and endorsement corresponds to a copy operation. In particular, the CM Monad is merely a type-specialized version of an existing, publicly-available information flow control monad called LIO [23]. Taking advantage of this correspondence, our implementation of the CM monad is closely modeled after LIO, with some simplifications to make it easier to use. An advantage of building on LIO is that it is one of the more widely-used Haskell libraries for confining untrusted code, allowing us to draw on prior experience designing the API and semantics. Additionally, adopting these semantics gives us a proof of noninterference, which translates into an assurance that our thread tracking is accurate.
4. Implementation
Our implementation utilizes GHC’s block-structured heap, so we first give a brief description of it, and then discuss our implementation in more detail. We also discuss three incidental details related to implementation.
4.1 Block-structured heap
The conventional design for a garbage collector is to allocate a few large, contiguous blocks of memory to serve as the heap. GHC’s block-structured heap [5, 14, 21] is an alternative to this scheme, which overcomes some of the inflexibilities of a large chunks of memory. The idea is to divide memory into fixed-size \( B \)-byte blocks (in our case, \( B \) is 4 KB). These blocks are linked together in order to provide memory for the heap. Since most objects are much smaller than the size of a block, these linked blocks do not have to be contiguous. When a heap runs out of space, more blocks can be easily chained onto it. For example, the nursery, in which new objects are allocated, is simply a chain of blocks.
Blocks are associated with a block descriptor, which contains information about the block such as what generation it belongs to, how full it is, etc. Block descriptors are placed in an easy-tocalculate location: any pointer into a block can be converted into a pointer for the block descriptor with a few instructions. We can maintain contiguous blocks by collecting block descriptors together in a block descriptor table. Block descriptor tables and blocks are allocated together in a unit called a *megablock* (1 MB in our case); if an object exceeds the size of a megablock, it can spill into the next megablock, although the remaining space is unusable (as the block descriptor table has been overwritten).
GHC currently uses the block-structured heap to good effect for a parallel generational-copying garbage collector [14]. This garbage collector utilizes blocks as the unit of work for garbage collection; as the copying collector operates, it copies objects into “todo blocks”, which may then get passed to other GC threads for further scavenging, to look for more live objects.
### 4.2 Resource containers are chains of blocks
The flexibility of the block-structured heap allows for a direct implementation resource containers: a block of memory is marked as belonging to a container in its block descriptor.\(^6\) We maintain the invariant that the owner of a nursery is the current resource container. If the current resource container changes, we swap the nursery blocks with a set of nursery blocks stored in the new resource container.\(^7\) There is one extra detail with respect to lazy evaluation: when evaluating a thunk, we need to determine which container owns this thunk. This can be done by calculating the block descriptor of the thunk, which contains a reference to the resource container. This costs only one extra memory dereference, and experimentally (Section 5.2), we’ve found paying this dereference every thunk evaluation to be relatively cheap.
In fact, the primary complication is adjusting the garbage collector to preserve the containers of objects. GHC utilizes a copying generational garbage collector, which operates by repeatedly scavenging the “todo blocks” associated with each generation, looking for more live objects to copy into the to-generation. With containers, every resource container has a “todo block” (multiplied by the number of generations) which live objects are copied into. Partially filled blocks are tracked using a scan stack, [9] and once these blocks fill up, they can be added to the pool of work available for the parallel work-stealing collector.
### 4.3 Resource limits are enforced during block allocation
Rather than check if a resource limit has been exceeded at every allocation, we instead perform resource limit checks when blocks are allocated. Is this a good metric? It will certainly over-estimate the space used, compared to the actual space occupied by live objects. On the other hand, in a garbage collected language, the live object residency is only known after a garbage collection; in the case of a generational collector, it is only known after a major garbage collection. Using blocks as our metric also has the singular advantage of accounting for space wasted due to heap fragmentation (some relevant measurements can be found in Section 5.) And, of course, interposing at the block allocation layer is a lot simpler than interposing at the general allocation layer.
Running out of blocks for a container is very similar to an out-of-memory event. However, we have considerably more flexibility, as we are not *actually* out-of-memory and can comfortably maneuver ourselves to a desired state. From our experience implementing these checks for GHC, we can classify these heap overflows into a few cases:
- The block was explicitly requested by user code, by way of an allocation of an object. These cases can be handled simply: reject the request and raise a heap-overflow exception.
- The block was requested, but it may not be appropriate to immediately raise an exception. When code is in a critical region, exceptions may be *masked*, deferring any asynchronous exceptions. In this case, we fulfill the request, and raise a heap overflow exception when the mask is lifted.
- The block was requested during the course of garbage collection to serve as the to-space for an object of a container. In this case, there is no thread that was directly responsible for triggering the limit. Instead, we mark the resource container as killed and empty the nursery. The next time any thread in the container allocates, it discovers that there is no memory left in the nursery. Instead of requesting a GC, however, it will simply trigger an asynchronous exception.
### 4.4 Optimizing stacks
Stack chunks are usually preallocated contiguous blocks of memory which have extra space for new stack frames. In our formal model, we suggested that a new stack chunk be allocated whenever we enter a thunk or invoke `withRC`. This can be quite expensive, since thunk entry is quite common in lazy programs. A simple optimization is to not allocate a new stack chunk when the resource container changes (recording the change separately). When the thread ends up needing to allocate a new stack chunk, the new stack chunk will be properly attributed; similarly, if a stack is reified due to an asynchronous exception, the new thunk will be charged to the appropriate container.
Some costs will get misattributed: the resource container which originally allocated the stack chunk may pay for other container’s stack frames. The inaccuracy is small: usually, the space used by stacks is temporary and quite small (by default, GHC 7.6 enforces a maximum stack size of 8M). Furthermore, an attacker seeking to inflate the memory usage of another container would need to convince the victim to *repeatedly* enter into the adversarial code from their own stack: any single thunk can waste the remainder of the stack chunk, but it cannot cause the caller to allocate more memory.
### 4.5 Constant-applicative forms
A *constant-applicative form* (CAF) is frequently described as a top-level value defined in a program, which is allocated statically in the program text, rather than at runtime during program execution. For example, the expression `someGlobal = 25` would be considered a CAF. Who is responsible for having allocated a CAF? We place CAFs in a static resource container, separate from the rest of the program. After all, they are only ever evaluated once, and it shouldn’t matter *who* ends up evaluating them.
In some circumstances, however, CAFs can use up quite a lot of resources. A common pattern in Haskell is to use a lazy infinite data-structure to represent data which is conceptually infinite (e.g., a table of prime numbers). Unfortunately, these infinite data structures can induce infinite allocation when they are fully forced. To combat this situation, we developed a tool which looks through all of the CAFs exported by a program and speculatively evaluates them to detect infinite or very large CAFs. When the time it takes to fully evaluate a CAF is longer than some threshold, we replace it with a *non-updatable* thunk (a zero-arity function); untrusted users of the CAF now pay for the execution of that code and no sharing occurs. Another possibility might be to offer more control over
\(^6\)Our system does not track memory that does not live on the heap (e.g., malloced memory from an FFI binding)—functions which provide access to these resources are expected to do manual accounting. This does not mean that all FFI code is untracked: for example, arbitrary precision integers in Haskell are stored on the heap and are accounted properly.
\(^7\)In a multithreaded setting, each container maintains a set of nursery blocks per thread, so independent threads can switch into the same container without synchronizing.
what resource container a CAF is placed in; this works well when code is being dynamically loaded.
4.6 Interaction with the optimizer
One challenge with working with a highly optimizing compiler in a non-strict language is that the optimizer may cause costs to be attributed to containers differently from what you might expect. While attribution is clear in post-optimization STG (the intermediate representation), users of Haskell do not generally write STG directly. To see what may go wrong, consider a simple program:
```haskell
rc <- newRC 100
x <- readInput
withRC rc $ do
print (x * x)
```
The intent of the program is to attribute the cost of \( x \times x \) to the resource container \( rc \). However, the container associated with \( x \times x \) is not actually well defined. An aggressive compiler will notice that \( x \times x \) is a pure computation and lift it as far up lexically as possible (in hopes of exposing some other optimization opportunities), resulting in this code:
```haskell
rc <- newRC 100
x <- readInput
let r = x * x -- ***
withRC rc $ do
print r
```
When this program is run, \( r \) will not be charged to \( rc \). Indeed, out of the box, `withRC` only guarantees correct attribution with respect to monadic actions, which enforce ordering.
An obvious fix is to convert `withRC` into a special form, so that it is treated specially by the optimizer, e.g., as is employed for profiling with annotations. There were two reasons why we did not use this design. First, this approach gives up composability: it is no longer possible to create larger combinators using `withRC`. While lack of composability is not a big deal for profiling annotations, it is important that users can build their own libraries around our API. Second, GHC implements semantics-preserving optimizations by duplicating these annotations as necessary; it is much harder to safely duplicate proper function calls with arguments, and the most plausible implementation would probably turn off optimizations around `withRC`.
Thus, we instead require programmers to rewrite their code so that the free variables of a computation are threaded through `withRC1`, which is a built-in function that is opaque to the optimizer:
```haskell
withRC1 :: RC -> a -> (a -> CM b) -> CM b
```
```haskell
rc <- newRC 100
x <- readInput
withRC1 rc x $ \x' -> do
print (x' * x')
```
The optimizer cannot “see” that \( x' \) is the same as \( x \): all it sees is a function which (lazily) takes a variable as an argument, and produces another another object.
5. Evaluation
5.1 Correctness
In order to show that resource limits were effective at bounding memory usage, we ran a variety of allocating programs with various resource limits and measured the memory usage of the programs. By “memory usage”, we mean two things:
1. The self-reported heap residency estimate, i.e., the space productively taken up by live objects.\(^8\)
2. The true memory usage, as seen by the operating system. This quantity will generally be higher than heap residency, as it accounts for heap fragmentation, temporary blocks of memory allocated to perform garbage collection and other miscellaneous allocation. We collected this information using Valgrind Massif (an external heap profiler) and GHC’s internally reported number of allocated blocks (we found these two metrics to be nearly equal in all of our experiments).
In Figure 6, we report how our resource limits system scaled up with successively larger resource limits, on a combination of different programs. `opl` and `tree` were programs we found on Stack Overflow, where the authors had needed help debugging a space leak in their programs.\(^9\) `suml` is a program that sums a list of integers using a linear amount of heap-allocated stack. `block` and `megablock` were synthetic programs constructed to repeatedly allocate data greater than the block size (4k) and greater than the megablock size (1M). Finally, `ghc` tests resource limits on a proper, real-world system. Our program compiled the test case for bug #7428, which induces an exponential space blow-up in the optimizer.\(^10\)
The graphs can be interpreted as follows: the x-axis indicates the resource limit we set, whereas the y-axis indicates the actual memory usage. Each vertical line represents a data point, where the top of the line indicates the true memory usage, and the bottom of the line indicates the self-reported heap residency upper bound. We normalized both these numbers against a baseline process which did not do anything, to discard fixed overhead of the GHC runtime. The graphs include two slope lines: the light gray line plots actual memory usage to the resource limit one-to-one, while the dark line plots them two-to-one. These graphs demonstrate some interesting behavior about our resource limits system:
**Garbage collection is privileged** As we can see, sometimes the true memory usage exceeds the resource limit, although it never exceeds twice the resource limit. This is because our implementation allows containers to exceed their specified resource limit during garbage collection. As a copying garbage collector may require up to twice as much memory as the size of its heap to do collection, we see some programs (e.g. `suml`) which can exceed their limit by twice as much. Fortunately, this is only temporary, as after garbage collection the usage returns to previous levels (or better), and use of a different type of garbage collector (for instance, a compacting collector) would eliminate this entirely. If a major garbage collection uses a lot of space, it can result in the quantized behavior you can see in `opl`, `tree` and `ghc`, where programs allocated a lot of memory during a major GC, exceeding the resource limit by a large amount.
**Heap fragmentation is properly attributed** In `megablock`, we see the true utilization of the heap is far worse than the resource limit. As we mentioned previously, block structured heaps cope poorly with allocations greater than a megablock, because there is no way to use the extra space at the tail end of a megablock group (fragmentation). However, because we count this wasted space towards the container, a program cannot skirt its resource limit by inducing bad heap fragmentation.
---
\(^8\) Why an estimate? Residency can only be calculated accurately after a major garbage collection that traverses the entire heap. However, we can provide an upper bound after minor collections by assuming all data that was live in an old generation continues to be live.
\(^9\) [http://stackoverflow.com/questions/3190098/](http://stackoverflow.com/questions/3190098/) and [http://stackoverflow.com/questions/5552433/](http://stackoverflow.com/questions/5552433/)
\(^10\) [http://ghc.haskell.org/trac/ghc/ticket/7428](http://ghc.haskell.org/trac/ghc/ticket/7428)
5.2 Overhead
Enforcing Resource limits requires modifications to code generation as well as the garbage collector, which incurs overhead even when resource limits are not being used. To quantify this overhead, we compared our resource limits to a mostly vanilla\(^{11}\) checkout of GHC HEAD using the nofib benchmark suite [16]. Specifically, we tested against the garbage collector tests, which are designed to stress-test the storage manager. Our experiments were conducted on a machine with two dual-core Intel Xeon E5620 (2.4Ghz) processors and 48GB of RAM.
Our experiments are shown in Table 1. Binary size change is omitted from the figure, but we consistently pay on the order of a 14–15%; the primary expense here is the extra code we need to check if a resource container has changed upon thunk entry. However, there is only a modest performance impact of 3–5%, as compared to mainline GHC. This is not quite good enough to turn on by default, but it is certainly close.
5.3 Applications
Finally, we ran experiments on a few nontrivial programs. Our first program was a game server for the iterated prisoners dilemma, where agents were implemented as threads limited to 2M of memory which could transmit over a channel a boolean indicating cooperate/defect, and then read out the choice of their opponent. We implemented a few strategies, as well as a buggy strategy that leaked memory. Every major GC, we then sampled the heap residency and the actual memory usage (GHC-reported); a representative run can be seen in Figure 7, using the same conventions as the graphs in Figure 6, except that the x-axis varies over time. There are two things to note about the graph: first, the spikes correspond to the six times the buggy strategy was run (and killed for exceeding its resource limit); second, there was no memory leakage, as we were able to completely reclaim the resources allocated from each run.
Our second program was Happstack 7.3.1, an existing open-source web server for Haskell, which had a bug in its request parser, wherein it would happily accept infinite HTTP headers in its default configuration. Fixing this bug was a simple three-line modification to the source code to apply a resource container per connection, which caused Happstack to correctly terminate the bad connection. We then tested the overhead of resource containers with a simple benchmark and `httpperf --rate=1000 --burst-length=10`, varying the number of simultaneous connections we attempted, carried out on the same machine as the overhead experiments. We only used a single core for the webserver. Table 2 shows results for Happstack with resource containers and without resource containers. We also included a baseline “vanilla” measurement taken with stock GHC 7.8RC1. This figure shows that there is some slowdown when there are a large number of resource containers. This is due to an initialization phase at the beginning of every minor garbage collection which takes time linear in the number of live containers. We believe it should be possible to further reduce this cost.
\(^{11}\)In the process of developing our system, we also implemented a generic optimization for the collector which improved GC performance by about 5%. Since this optimization is not specific to our system, we included it in the baseline comparison.
6. Related work
Resource limits for untrusted code have been well-studied in a variety of settings, although with much less coverage for functional programming languages.
6.1 Operating systems
Starting with mechanisms as simple as the `setrlimit` system call, limits have long been supported by POSIX-style operating systems. While these systems usually operate on a coarse-grained level (managing pages of memory rather than individual heap objects), they still elucidate many of the high level issues that come with enforcing resource limits.
For example, the need for an abstract entity to charge costs to is well recognized; many systems define some equivalent of a cost-center rather than tie resource consumption to processes. Resource containers [2], for example, were a hierarchical mechanism for enforcing limits on resources, especially the CPU.
HiStar [27] organizes space usage into a hierarchy of containers with quotas. Any object not reachable from the root container is garbage collected. Containers are charged for the sum of the quotas of all objects they contain. When multiple containers have hard links to the same object, each is separately charged for the full cost of the object. Any object so linked to multiple containers must have a fixed quota; otherwise, one process can too easily induce arbitrary quota usage in a container belonging to another process to whom it has granted the object.
The above systems are retainer- or consumer-based accounting systems; they do not care who created the data, just who is holding on to it. In contrast, our system is a producer-based accounting system: the individual who produced the data is held accountable for the data. By contrast, EROS [20] checks resource usage at allocation time, when a page is requested from a space bank—since the page will always be attributed to the space bank it was allocated from, this is a producer-based accounting system. A space bank’s limit can easily be increased; however, destroying a space bank can cause resources in use by a subsystem to unceremoniously disappear. In our system, use of garbage-collection means such forced reclamation must be handled at the language level.
6.2 Programming Languages
A number of programming languages have support for resource limits. These systems divide into those which statically ensure that resource limits are respected, and those that perform these checks dynamically.
Static resource limits PLAN [11] is an early example of a programming language with extra restrictions in order to ensure bounded resource usage. PLAN takes the time-honored technique of removing general recursion in order to ensure the termination of all programs. Unfortunately, such a restriction would be a bitter pill to swallow for a general purpose programming language like Haskell, and even so PLAN cannot prevent programs from taking large but bounded amounts of resources. Another restriction that can be imposed is eliminating the garbage collector and utilizing some other form of memory management such as monadic regions [6]. Proof-based approaches include work by Gaboardi and Pechoux [7], which develop techniques for proving resource properties on programs which compute over infinite data. These proofs can be combined with code in a proof-carrying code scheme [15]. We think these are all promising lines of work and nicely complement dynamic resource limits.
Dynamic resource limits A number of programming languages have support for dynamic resource limits.
A lot of work has gone towards resource limits for Java, since Java is perhaps the most widely used programming language that also has some ability to run untrusted code. JRes [3] is one of the original systems for Java, and, like us, took the approach of having a single heap. Resource usage was tracked by dynamically rewriting Java bytecode to increment usage counters and track deallocation via weak references. They suggested that resources could be reclaimed by killing Java threads.
Luna [10] observed that killing Java threads was a very unsafe operation. While our system addresses this problem by utilizing Haskell’s support for asynchronous exceptions, Luna attempted to build a system which could manage revocation without killing any threads. They achieved this by introducing remote pointers, which look like normal pointers but are revocable. An important restriction demanded by this design is that ordinary pointers cannot be accessed through remote pointers. As our system shows, you can safely support both operations.
KaffeOS [1] provides each resource container its own separate garbage collected heap. While each heap can be garbage-collected separately, KaffeOS must treat inter-container references specially, using a write barrier to detect these references and replace them with entry and exit items. Like our system, KaffeOS has the desirable property that resource limits account for true resource usage as seen by the operating system.
The line of work proposed by Wick et al. [26] and Price et al. [17] takes a different approach than these Java-based systems. These systems cleverly utilize the garbage collector to trace the set of objects retained by a thread in order to determine its resource consumption. This gives them a retainer-based cost model. The authors of these papers argue that consumer-based is more appropriate for a majority of applications. However, we think that retainer-based accounting conflates resource accounting and resource reclamation. It is counter-intuitive to charge a thread for accepting an object before the thread has even had a chance to examine the object, and consumer-based systems must introduce weak/unaccountable references to accommodate this fact. Similarly, it’s useful to know the retainers of an object, even when the actual memory usage of a thread is below quota. Furthermore, both of these systems have difficulty dealing with multiple retainers, having to charge the cost of an object to an arbitrary container. Finally, tracing-based accounting charges only for the size of objects, and does not consider other incidental but important factors such as memory fragmentation.
Resource containers have also shown up in the architecture of Mozilla Firefox [25], under the name of compartments. While they do not address the issue of resource limits directly, their architecture closely mirrors ours: compartments are composed of arenas (blocks which only hold a single type of object). However, to support per-compartment GC, cross-compartment references must be mediated by wrappers, which serve as a remembered set and enforce cross-compartment security policies. We think it would be very easy to apply the ideas in our system to Firefox, by generalizing compartments beyond their close association to a single website.
7. Conclusion
In this paper, we have described how to implement dynamic space limits system for Haskell. Our system has not yet landed in GHC proper; the primary blockers are eliminating the overhead when resource limits are not being used and fixing scalability issues when there are a lot of resource containers live at the same time. We hope to integrate the patchset into the mainline in the not-so-distant future, if only as a flavor of GHC for resource limit minded users.
What is the applicability of this system beyond Haskell? Our system relies on three key features of Haskell and GHC: the ability to create multiple regions in the heap cheaply (a block-structured heap [14]), the ability to safely terminate threads (asynchronous exceptions [13]), and the ability to statically isolate code (restricted
monads/Safe Haskell [24]). A language which has all three of these features would be able to adopt our system easily.\footnote{In particular, our system handles lazy evaluation, but doesn’t require it.}
While a block-structured heap is fairly general and could be implemented by most storage systems (making this paper an advertisement for the block-structured design), asynchronous exceptions and restricted monads are quite distinctive to Haskell. Purity in Haskell, for example, makes it more likely that arbitrary code can recover from being killed by an asynchronous exception. In languages like Java, killing a thread in a critical region can leave the system in an inconsistent state, and systems like Luna [10] take great care to avoid needing to kill threads. The situation for monads is similar: while in principle our monadic container API could be implemented in any language,\footnote{If you aren’t interested in running untrusted code, you don’t even need Safe Haskell.} the inability to enforce its usage in the type system could lead to difficult to diagnose leaks of references. Still, we think that our system occupies a very interesting point in the design space, advocating for languages which provide these features.
**Acknowledgments**
We thank Dean Stefan and Stefan Heule for many useful comments and assistance in preparing the paper, as well as several anonymous referees. This work was funded by the DARPA Clean-Slate Design of Resilient, Adaptive, Secure Hosts (CRASH) program, BAA-10-70, under contract #N66001-10-2-4088, and the Department of Defense through the National Defense Science & Engineering Graduate Fellowship (NDSEG) Program.
**References**
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[2] G. Banga, P. Druschel, and J. C. Mogul. Resource containers: a new facility for resource management in server systems. In *Proceedings of the third symposium on Operating systems design and implementation*, OSDI ’99, pages 45–58, Berkeley, CA, USA, 1999. USENIX Association.
[3] G. Czajkowski and T. von Eicken. JRes: a resource accounting interface for Java. In *Proceedings of the 13th ACM SIGPLAN conference on Object-oriented programming, systems, languages, and applications*, OOPSLA ’98, pages 21–35, New York, NY, USA, 1998. ACM. ISBN 1-58113-005-8.
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[5] R. K. Dybvig, D. Eby, and C. Bruggeman. Don’t stop the BIBOP: Flexible and efficient storage management for dynamically-typed languages. Technical report, 1994.
[6] M. Fluet and G. Morrisett. Monadic regions. 16(4-5):485–545, July 2006. ISSN 0956-7968.
[7] M. Gaboardi and R. Péchoux. Upper bounds on stream I/O using semantic interpretations. In *Proceedings of the 23rd CSL international conference and 18th EACSL Annual conference on Computer science logic*, CSL’09/EACSL’09, pages 271–286, Berlin, Heidelberg, 2009. Springer-Verlag.
[8] D. B. Giffin, A. Levy, D. Stefan, D. Teresi, D. Mazieres, J. Mitchell, and A. Russo. Hails: Protecting data privacy in untrusted web applications. In *10th Symposium on Operating Systems Design and Implementation (OSDI)*, pages 47–60. USENIX, 2012.
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[12] S. L. P. Jones. Implementing lazy functional languages on stock hardware: the Spineless Tagless G-machine. *Journal of Functional Programming*, 2:127–202, 1992.
[13] S. Marlow, S. P. Jones, A. Moran, and J. Reppy. Asynchronous exceptions in Haskell. In *Proceedings of the ACM SIGPLAN 2001 conference on Programming language design and implementation*, 2006.
[14] S. Marlow, T. Harris, R. P. James, and S. Peyton Jones. Parallel generational-copying garbage collection with a block-structured heap. In *Proceedings of the 7th international symposium on Memory management*, ISMM ’08, pages 11–20, New York, NY, USA, 2008. ACM. ISBN 978-1-60558-134-7.
[15] G. C. Necula. Proof-carrying code. In *Proceedings of the 24th ACM SIGPLAN-SIGACT symposium on Principles of programming languages*, POPL ’97, pages 106–119, New York, NY, USA, 1997. ACM.
[16] W. Partain. The nofib benchmark suite of Haskell programs. *Proceedings of the 1992 Glasgow Workshop on Functional Programming*, 1992.
[17] D. W. Price, A. Rudys, and D. S. Wallach. Garbage collector memory accounting in language-based systems. In *Proceedings of the 2003 IEEE Symposium on Security and Privacy*, SP ’03, Washington, DC, USA, 2003. IEEE Computer Society.
[18] A. Reid. Putting the spine back in the Spineless Tagless G-Machine: An implementation of resumable black-holes. In *In Proc. IFL’98 (selected papers), volume 1595 of LNCS*, pages 186–199. Springer-Verlag, 1998.
[19] P. M. Sansom and S. L. Peyton Jones. Time and space profiling for non-strict, higher-order functional languages. In *Proceedings of the 22nd ACM SIGPLAN-SIGACT symposium on Principles of programming languages*, POPL ’95, pages 355–366, New York, NY, USA, 1995. ACM.
[20] J. S. Shapiro, J. M. Smith, and D. J. Farber. EROS: a fast capability system. In *In Symposium on Operating Systems Principles*, pages 170–185, 1999.
[21] G. Steele. Data representations in PDP-10 MACLISP. Technical report, MIT, 1977.
[22] D. Stefan, A. Russo, D. Mazières, and J. C. Mitchell. Disjunction category labels. In *16th Nordic Conference on Security IT Systems, NordSec*, volume 7161 of *LNCS*, pages 223–239. Springer, October 2011.
[23] D. Stefan, A. Russo, J. C. Mitchell, and D. Mazières. Flexible dynamic information flow control in Haskell. In *Proc. of the 4th Symposium on Haskell*, pages 95–106, September 2011.
[24] D. Teresi, S. Marlow, S. Peyton Jones, and D. Mazières. Safe Haskell. *SIGPLAN Not.*, 47(12):137–148, Sept. 2012.
[25] G. Wagner, A. Gal, C. Wimmer, B. Eich, and M. Franz. Compartmental memory management in a modern web browser. In *Proceedings of the International Symposium on Memory Management*, ISMM ’11, pages 119–128, New York, NY, USA, 2011. ACM.
[26] A. Wick and M. Flatt. Memory accounting without partitions. In *Proceedings of the 4th international symposium on Memory management*, ISMM ’04, pages 120–130, New York, NY, USA, 2004. ACM.
[27] N. Zeldovich, S. Boyd-Wickizer, E. Kohler, and D. Mazieres. Making information flow explicit in HiStar. In *Proc. of the 7th Symp. on Operating Systems Design and Implementation*, pages 263–278, Seattle, WA, November 2006. |
Brian Boone, Model, Engineer and Music Lover
The second in a series of stories featuring COM Directors by Mary Bristol
Brian Boone, Director of Engineering and Public Works, was born and raised here in Maryville. He is the son of a church pianist and a soft spoken, “behind-the-scenes” kind of man who wanted better for his children. He is a Civil Engineer, a former William Blount Governor band member, and a lover of music who had a killer sound system and a cassette tape collection to die for back in the day. He will adamantly defend the younger version of himself, “for the record, I never wore a mullet. Ever.”
Brian’s mother started playing the piano in their church at the age of 14 so naturally, she wanted her children to follow her lead and insisted on piano lessons. Brian’s grandfather had his own plan though, and baited his grandson with the gift of his first acoustic guitar and lessons to go with it, all expenses paid. Brian was an easy convert however, as he had never really connected with the piano like his mother had hoped. Like most kids, at the age of 14, Brian didn’t realize the enormity of the gift or the life changing path his grandfather was leading him to. He obediently went to his lessons and learned all he could, but to say that he loved playing the guitar during that time would be a stretch.
After high school Brian began his pursuit of a bachelor’s degree at UT. Working part-time at Wal-Mart for the next five years he learned a few life lessons. First and foremost, his job there taught him the value of a good education. Every weekend he was knee deep in the retail trenches and by Monday, he was eager to return to class. Wal-Mart also helped Brian realize that if the engineering thing didn’t work out, he could fall back on a lucrative modeling career. In December of 1992, Brian appeared in the Wal-Mart flyer, (pictured to the right).
Turns out the engineering thing did work out, but after graduation, Brian boldly claimed to a group of friends that he would “NEVER” go to grad school. Shortly after that he began his career at a consulting firm and once again saw the value of a good education. He was the first of his engineering friends to return to UT for his Master’s degree.
For as long as he can remember, Brian’s family and extended family have gathered twice a year in Happy Valley near Abrams Creek on a 5 acre plot of land that once belonged to his grandparents for a weekend “get-together.” Some folks spend a good part of those weekends preparing the food, some ride horses, some stoke the fire, and others play music on a makeshift stage, Brian included. If you get the chance to watch The Heartland Series, Vol. 27, Episode 30, you’ll see the Boone Family in action and hear for yourself the down-home traditional “camp-fire” tunes they offer up, obviously from the bottom of their hearts.
“Improvise. Adapt. Overcome.”
~Brian Boone
(borrowed from Clint Eastwood in the movie Heartbreak Ridge)
Among the Boone reunion goers is a family friend, Robinella. You might have heard of her or even seen her music video, Man Over, on CMT a few years back. Robinella asked Brian to join her in Nashville to record an old Crystal Gayle hit, Ready for the Times to Get Better. Brian refers to himself as a “rhythm player” and explains that he does not read music, although he can, but he plays by “feeling” it. “It’s all about timing.” Brian is also quick to Continued, see Brian on page 3.
Inside the Nut
Getting to Know Brian
You, a Runner?
COM Healthier TN Workplace
People are the Key… Life event news
HR News and Finance: Title VI Requirements and the Employee Portal
Brian’s modeling career begins (no foolin’) in the Wal-Mart sales flyer, December 1992.
April Birthdays
1 Eric Holder, Water & Sewer
Maria Nelson, Dev. Services
3 Greg Cooke, Police
4 Michael Myers, Water & Sewer
9 Mark Taylor, Police
Steve Martin, Electric
Eric Russell, Fire
10 Chris Pereda, Fire
11 Chad Simpson, Police
14 Alan Holmes, Fire
16 Ralph Goodson, Finance
Josh Daniels, Electric
17 Bill Garner, Police
19 Chad Davis, Dev. Services
22 Paul Gilley, Water & Sewer
23 Jay Parrott, Eng. & Pub. Works
27 Randy Cupp, Finance
29 Henry Hill, Water and Sewer
April Anniversaries
Mike Large, Electric 38
Dave Boring, Water & Sewer 38
Barry Webb, Electric 32
Sharon Moore, Police 27
Chris Tuck, Police 24
Henry Bergen, EPW 22
Darrell Pharris, EPW 19
Randell Moore, Fire 17
Jamie Hipps, EPW 15
Clay Cope, EPW 4
Jane Groff, Administration 11
Jeremy Snyder, EPW 4
Caleb Compton, EPWs 4
Shaina Kirkland, Police 4
Cody Burchfield, Water & Sewer 3
Chris Hamrick, Water & Sewer 3
Jacob Wenger, Fire 1
Kyle Anderson, Police 1
Austin Green, Police 1
Kyle Tallent, Water & Sewer 1
Jerry Barnes, Finance 1
Save the Date!
Annual Employee Meetings with Greg are scheduled April 25-27 at 7:30 a.m. in the MOC Auditorium and 2 p.m. in the Gary Hensley Room at MMC each day.
Accolades and Applause
Sharie Gaby
HR Assistant (Promotion)
Matthew Watson
Police Officer (New hire)
Jonathan Ellenburg
Utility Construction Worker II (Water & Sewer) Promotion
Logan Rogers
Sanitation Worker (EPW - Transfer)
Jonathan Wilson
Grounds Maintenance Worker (EPW - Transfer)
Logan Lindsey
Sanitation Worker (EPW - Transfer)
Kind Words
Quality of Emergency Workers Appreciated
The following letter to the Editor appeared in the Daily Times on March 15, 2017.
Dear Editor:
Thank you City of Maryville Fire Department paramedics! I cannot express enough appreciation of our city paramedics. We had an emergency at the United Community Bank Branch on Broadway recently that required immediate attention. The paramedic team was there in less than five minutes. The team worked together very calculated and determined the course of treatment within a couple of minutes. The patient was very scared, for good reason and the team changed the atmosphere very quickly to calm.
Sometimes we take for granted the situations these professionals face each day. We see them running up and down the road in full posture to the next situation, without thought yielding to them so they can get to their destination unaware of what they are facing.
We are fortunate to live in a community that has such caring public servants that genuinely care about the citizens. So the next time you have an opportunity to talk with a fire, police or emergency professional please thank them. I certainly am.
Rick Shepard
United Community Bank President
Hunters Crossing Drive, Alcoa
A Beginner’s Guide to Running for Fitness
If you’ve ever considered re-inventing yourself as a runner, the following advice from Runner’s World magazine is sound advice for a successful start.
**First things first.** Spend at least two weeks walking or using a stationary bike or an elliptical trainer for roughly 30 minutes per day, four or five days per week to prepare.
**Start with run/walks.** You’ll ultimately run longer, feel stronger, and stay injury free if you start by adding short bouts of running to your regular walks.
**Beware of the terrible too’s.** Going too far too fast, before your body is ready, is one of the most common causes of injuries.
**Let your body be the boss.** Some muscle aches and soreness are to be expected any time you are pushing your body harder than it’s accustomed to. Any sharp pains or pains that persist are signals to rest.
**Get the goods.** You don’t need lots of fancy equipment to start running, but a new pair of shoes are non-negotiable. Worn-out shoes are a leading cause of injury.
**Find the right route for you.** The most important thing when you start running is to find a safe route that feels comfortable.
**Train your brain.** You may find it hard to get out the door at first. Listen to good music, pick a convenient time to work out and pick some rewards that will motivate you.
**Relax and run tall.** These adjustments can make running feel more comfortable. Take short strides. Keep your elbows at about 90 degrees, and keep your hands relaxed. Avoid looking down at your feet and run tall.
**Be patient.** Many of the positive changes that are happening when you start exercising won’t be visible in the mirror or on the scale. After a few weeks, you’ll begin to understand the whole idea of an exercise high.
---
**8 Weeks to Running Plan**
| WEEK 1: | run 1 minute, walk 90 seconds | X 8 SETS |
|---------|-------------------------------|----------|
| WEEK 2: | run 2 minutes, walk 1 minute | X 7 SETS |
| WEEK 3: | run 4 minutes, walk 1 minute | X 6 SETS |
| WEEK 4: | run 6 minutes, walk 2 minutes | X 4 SETS |
| WEEK 5: | run 9 minutes, walk 2 minutes | X 3 SETS |
| WEEK 6: | run 12 minutes, walk 1 minute | X 3 SETS |
| WEEK 7: | run 15 minutes, walk 1 minute | X 2 SETS |
| WEEK 8: | run 30 minutes | X 1 SETS |
---
City of Maryville is a Healthier Tennessee Workplace
The City of Maryville has just received recognition as a “Healthier Tennessee Workplace.” Healthier Tennessee is an initiative by the Governor’s office to improve health across the state at all levels . . . personal, workplace, churches, towns, etc. Our Blount County group is called Blount BEneFITs, and is represented by Sharie Gaby for the City.
The Governor’s Foundation for Health and Wellness is dedicated to enabling and encouraging Tennesseans to lead healthier lives. The Foundation’s Healthier Tennessee initiative strives to increase the number of Tennesseans who are physically active for at least 30 minutes five times a week, promote a healthy diet, and reduce the number of people who use tobacco.
If you’d like to make simple healthy lifestyle changes to your own routine, you can find lots of free tools on the Healthier Tennessee website, healthierTN.com.
Requirements of Title VI
It’s the policy of the City of Maryville that all its services and activities be administered in conformance with the requirements of Title VI.
What is Title VI?
“No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.”
What is the purpose of Title VI?
The purpose of Title VI of the Civil Rights Act of 1964 is to prohibit programs and activities which receive federal funds from discriminating against participants or clients on the basis of race, color, or national origin. The intent of the law is to insure that all persons, regardless of their race, color, or national origin are allowed to participate in federally funded programs. To insure that the City of Maryville meets its compliance responsibility, comprehensive monitoring procedures have been established to provide for continual compliance with Title VI.
The Areas Covered by Title VI
Construction, transportation, parks and recreation, community block grants, location of facilities, law enforcement, environmental issues, contracting, distribution of benefits and services, hiring, equipment and building loans, and tax benefits enjoyed by private, fraternal and nonprofit organizations.
Title VI Actions
• Prohibits entities from denying an individual any service, financial aid, or other benefit.
• Prohibits entities from providing services or benefits to some individuals that are different or inferior to those provided to others.
• Prohibits segregation or separate treatment in any manner related to receiving program services or benefits.
• Prohibits entities from requiring different standards or conditions as prerequisites for serving individuals.
• Encourages the participation of minorities as members of planning or advisory bodies for programs and activities receiving federal funds.
• Prohibits discriminatory activity in a facility built in whole or part with Federal funds.
• Requires entities to notify the eligible population about applicable programs.
• Prohibits locating facilities in any way that would limit or impede access to a federally funded service or benefit.
• Requires assurance of nondiscrimination in purchasing of services.
Title VI complaints involving recipients and beneficiaries may be filed with the City of Maryville Title VI Coordinator: Director of Human Resources Teresa Best, Maryville Municipal Center.
City of Maryville Employee Portal Coming April 20
All your information in one, easy to find place.
• Safe and secure (password protected)
• View and/or print your pay statement online
• Check vacation and sick day balances
• Pull up pay statement history
• Easy access in just a few clicks (links on the City of Maryville website for your convenience)
• Never again search endlessly for your financial information in order to secure a loan
• Easy access to W-2 forms (no need to contact the Finance Department for replacement W-2’s)
• Everything you need at your fingertips with just a couple of clicks
Employee Portal Computer Stations will be setup for employee’s that do not work on a computer. Access to the Portal will be available on in-house computers only.
Watch for more information to follow soon!
Your News… If you have news about your department, coworkers, or a personal life event that you would like to share in the Nutshell, please email Mary Bristol at firstname.lastname@example.org. |
FRIENDS DON'T MAKE FRIENDS WAIT IN HOT CARS
KEEP YOUR FURRY FRIENDS SAFE. LEAVE THEM AT HOME.
A recent amendment to the Code of Ordinances makes it unlawful to leave an animal in a vehicle unattended. Any person who violates the ordinance will be deemed guilty of a misdemeanor and will be fined up to $500.
The new ordinance allows a peace officer or animal control officer to remove an animal from an unattended vehicle after attempting to locate the owner. (Continued on page 3)
CITY COUNCIL
Donna Rogers
Mayor
Jennifer Heidt
Council Member Position 1
Andrea Wilson
Mayor Pro Tem
Council Member Position 2
Larry Tosto
Council Member Position 3
Beverly Gaines
Council Member Position 4
Edward Lapeyre
Council Member Position 5
Martin Graves
Council Member Position 6
City Hall Main Number
281.332.1826
EMERGENCY
9-1-1
Fire (Non-emergency)
281.332.2711
Police (Non-Emergency)
281.332.2426
Public Works
281.316.3700
Webster Way Editor
281.316.3764
RECYCLING IN WEBSTER
PAPER PRODUCTS
Newspapers
Envelopes
Magazines
Frozen Food Boxes
Cardboard Boxes
PLASTICS & CANS
Plastic Bottles
Take Out Containers
Aluminum Beverage Cans
Food Cans
Tins and Scrap Metal
NON-RECYCLABLE
Aerosol Cans
Aluminum Foil
Batteries
Clothing
Plastic Bags
Glass Windows
For more information visit the Republic Services website, republicservices.com or call 713.948.7600.
AS SEEN ON FACEBOOK
Fluid Service Technologies helped to stop the spread at the Webster Police Department. The Houston company performed its sanitizing procedures throughout the entire building.
Friends Don’t Make Friends Wait In Hot Cars continued...
They may break a window or lock, or utilize professional services to access the animal. The animal will then be taken for safekeeping, and a notification will be left on the vehicle. Owners will be responsible for any property damage. The owner may claim the animal after payment for care, and impoundment charges are collected.
Webster Animal Control and the Webster Police Department receive about four calls a month concerning animals left in vehicles.
Previously, the only course of action would be to file an animal cruelty charge, which would have to be accepted by the Harris County District Attorney’s Office. To get the charge approved, the conditions would have to have been harsh. The officers would need to provide exact facts, such as outside temperature, inside temperature, and general animal conditions. The process could then take several months to go to court.
Animal Control Officer Amanda Trover explained that the situations typically do not involve owners with malicious intent, but happen more so from a lack of education.
“A felony charge is overkill if we caught the situation early enough,” ACO Trover explained.
Animal Control and the Police Department agree that the fastest route is to find the owner and gain voluntary compliance to prevent future problems.
Remember that every ten minutes, the inside of a car goes up 19 degrees, which can be very dangerous for a dog even if the windows are left open.
We advise the community to leave pets at home, and if you see an animal in danger, walk away from the vehicle before calling for help.
If you see an animal in danger, walk away from the vehicle before calling for help.
About the Cover Photo
Officer Ron Bellnoski rescued the dog pictured in the parking lot of Mint Poker. When Officer Bellnoski arrived, he immediately recognized that the animal was in severe distress and took action to remove it from the vehicle.
During the investigation, he discovered that the internal temperature of the car was a blistering 109 degrees.
Animal Control Officer Amanda Trover was able to seize the animal and permanently remove him from the owner, and he was placed into custody for cruel confinement.
FAMILY OWNED; MOM INSPIRED
It is a challenging time for business owners as they adjust processes to comply with COVID-19 regulations. However, the Mom Alone Mexican Grill owners are determined to continue serving the community in the safest way possible.
Mom Alone Mexican Grill was opened in 2005 by Dinorah and Cesar Davila, who have been in the restaurant business for nearly 40 years.
"In 2005, we finally decided it was time to fulfill our dream of becoming restaurant owners, and what better honor than to dedicate it to mothers," Cesar explained. "The restaurant's slogan is, 'Don't leave your mom at home alone, bring her to eat at Mom Alone.'"
Many of the restaurant's recipes come from the family's Mexican tradition originating in northern Mexico.
"I believe the best and most popular dishes would have to be our tender fajitas, the fabulous Chile Relleno, a Mexican tradition, and our huge cheesy quesadillas," said Cesar. The restaurant is also offering to-go margaritas by the gallon, which Cesar highly recommends.
"The community should give Mom Alone Mexican Grill a try because it is one of the local family-owned restaurants that makes you feel at home while also offering the highest quality along with the best prices," he said. "Also, we give free queso to our dine-in customers. Who doesn't love queso?"
Currently, the family-owned restaurant is offering carryout and dine-in with limited occupancy. The community can call ahead and order at 281.480.3170, or come in to place an order.
"We would like to thank everyone for the continued support over the last 15 years, and throughout these difficult times," Cesar said. "Without our amazing customers, we wouldn't be here. We look forward to serving the area for many years to come."
To suggest a local business to be featured in the next edition of Webster Way Newsletter, send an email to email@example.com
According to the Clear Creek Independent School District’s Safely Reopen plan, the district will hold in-school instruction with safety and COVID-19 prevention measures in place as well as offer families a high-quality, rigorous and engaging online experience through the newly-developed Clear Connections program.
Additionally, the school district has outlined an instructional model that provides a continuation of instruction in the event a classroom or a campus must temporarily move to a School-to-Home instruction model due to COVID-19.
Clear Connections Online Learning Program is an option for families who, even with all the preventative measures in place, do not feel comfortable sending their children to school, especially children who are medically fragile.
Clear Connections is delivered entirely virtually with CCISD teachers providing real-time and self-paced instruction. This option is offered for grades K-12.
The week of August 24, all students will begin instruction in the School-to-Home learning model. The week of August 31, the school district will welcome pre-kindergarten, kindergarten, 6th grade, and 9th-grade students who have selected the Brick and Mortar learning. Then, the week of September 8, all students who have elected for Brick and Mortar learning will return to school with safety measures, including wearing a face mask.
Webster residents and non-residents can take advantage of the City’s after school program at the Webster Recreation Center.
The FREE program gives children from third to fifth grade the opportunity to both learn and play. Students can access computers, have the ability to work on homework or participate in interactive activities. The City also provides a boxed meal for children in the program.
Students are encouraged and lead to success by City staff Monday through Friday from 3 p.m. to 6 p.m.
Parents can register for the program on the first day of school, September 8, during the After School Program hours at the Recreation Center, 311 Pennsylvania Ave.
Congratulations to the June Employee of the Month, Corporal Ryan Sprinkle!
Corporal Sprinkle was nominated by two of his coworkers after arresting a purse snatching suspect on Saturday, June 20.
In this incident, a suspect stole a purse from a female shopper in the parking lot of a retail store located along the IH-45 Freeway.
Officer Michael Foran was staged in the parking lot when the victim ran up to him, advising him that a suspect had stolen her purse and fled in a black truck. Corporal Sprinkle was also in the area and heard the crime broadcast with the vehicle description. Soon after, he observed a black truck driving recklessly while trying to flee the area. Corporal Sprinkle attempted to make a traffic stop, but the truck fled and led him on a short pursuit before driving into an apartment complex where the suspect bailed out on foot.
Corporal Sprinkle, alone and without backup, chased the suspect through the complex and caught him, even after losing one of his shoes during the chase.
Corporal Sprinkle showed high awareness and great determination during this incident and is commended for his courage.
This incident also highlights great teamwork by Officer Foran, who was also recognized with an On-the-Spot Award. Great work gentlemen. The City of Webster is fortunate to have such outstanding officers serving and protecting every day!
Webster Police: In the Right Place at the Right Time
On Tuesday, July 21, Webster Police plainclothes officers conducted surveillance in the parking lot of a retail shopping center along the IH-45 Freeway.
The officers observed as a suspect broke into and stole a truck. Officers stopped the stolen truck and the vehicle that dropped the suspect off and detained two suspects.
The ensuing investigation showed that the suspects had committed multiple vehicle burglaries at locations in League City and Webster. Officers recovered a large amount of stolen property, which included three firearms. Officers were able to locate the rightful owners and return the stolen truck and firearms.
This is an example of excellent police work, but it also serves as a reminder to gun owners to never leave unsecured firearms in vehicles. Theft from vehicles is the most common way for firearms to end up in the hands of criminals.
We all have a responsibility to take, hide, or properly secure valuables in our vehicles. We ask for your help in reducing motor vehicle burglaries.
DENISE THOMASON RETIRES AFTER 28 YEARS OF SERVICE
Denise Thomason has been a Telecommunications Officer for the City of Webster for 28 years, and on July 21, she officially retired.
Her Telecommunications career began 31 years ago at the Seabrook Police Department.
In 1990, while attending the Texas State 9-1-1 Awards ceremony in Austin, Denise met a Webster Telecommunications Officer who encouraged her to apply for a job in Webster when there was an opening. Denise was then hired in January 1992.
During her career, Denise implemented a training program for the Communications Division and coordinated the Citizens Police Academies and supported the Alumni Association.
"In law enforcement, you tend to deal with the 'not so nice' individuals," Denise explained. "Working with the Citizen Police Academy was just the opposite. You meet the very best of your citizens who truly appreciate law enforcement and want to support their officers. I thoroughly enjoyed working with this group of people."
"It goes without saying that the thing I will miss most about this job is the people I work with," Denise continued. "But I am very much looking forward to catching up with friends and family."
We thank Denise for her many years of service to the Webster community, and we wish her the best in retirement!
BE A GOOD NEIGHBOR
KEEP YOUR PROPERTY NEAT AND TIDY
Mow grass and weeds regularly. Keep grass shorter than 12 inches.
Sidewalks and right-of-ways should be clear of objects and plant overgrowth.
"Keep it in the house"
Appliances and furniture should be stored indoors.
Call 281.316.4106 for more information.
AUGUST 2020
MEETINGS AND EVENTS
4 City Council Meeting
6 p.m. in Council Chambers*
7 Movie in the Park CANCELED
The previously scheduled Movie in the Park has been canceled due to COVID-19
11 Webster Economic Development Corporation Meeting
6 p.m. in Council Chambers*
18 City Council Meeting
6 p.m. in Council Chambers*
First Day of School
Register for the Webster After School Program
*Meetings may be held via teleconference. Check the City website for more information. Special meetings may be added, and meetings may be canceled if there are no agenda items. Check the City website at cityofwebster.com for meeting information.
LABOR DAY HOURS
City offices will be closed on Monday, September 7 for Labor Day. Offices reopen on Tuesday, September 8.
MYTHS ABOUT MASKS
• Mask usage will not deprive body tissues of oxygen. Wearing a mask for short periods of time in public settings is not enough to reduce oxygen. Studies have shown most healthcare workers and other industry workers can wear N95 masks for extended periods (hours) with minimal side effects. (Source: Hartfordhealthcare.org)
• Mask usage will not increase your blood pressure. Several factors and habits can play a role in increasing blood pressure such as smoking, genetics, age, alcohol consumption, diet etc. (Source: WebMD.com) |
Taxonomy and Distribution of the Argentine Ant, *Linepithema humile* (Hymenoptera: Formicidae)
ALEXANDER L. WILD
Department of Entomology, University of California at Davis, Davis, CA 95616
Ann. Entomol. Soc. Am. 97(6): 1204–1215 (2004)
**ABSTRACT** The taxonomy of an invasive pest species, the Argentine ant, is reviewed. *Linepithema humile* (Mayr) 1868 is confirmed as the valid name for the Argentine ant. Morphological variation and species boundaries of *L. humile* are examined, with emphasis on populations from the ant’s native range in southern South America. Diagnoses and illustrations are provided for male, queen, and worker castes. Collection records of *L. humile* in South America support the idea of a native distribution closely associated with major waterways in lowland areas of the Paraná River drainage, with recent introductions into parts of Argentina, Brazil, Chile, Colombia, Ecuador, and Peru.
**KEY WORDS** Argentine ant, *Linepithema humile*, taxonomy, invasive species
The Argentine ant, *Linepithema humile* (Mayr) 1868, is among the world’s most successful invasive species. This native South American insect has become a cosmopolitan pest, particularly in the Mediterranean climates of North America, Chile, South Africa, Australia, and southern Europe (Suarez et al. 2001). Argentine ants have been implicated in the decline of native arthropod (Cole et al. 1992) and vertebrate faunas (Suarez and Case 2002) and in the alteration of plant community structure (Christian 2001), and they are also agricultural (Haney et al. 1987) and house pests (Gordon et al. 2001).
Several recent studies have been directed at the causes of the Argentine ant’s invasive success (Human and Gordon 1996, Orr and Seike 1998, Tsutsui et al. 2000, Giraud et al. 2002). Several of these hypotheses, particularly those of Orr and Seike (1998), Tsutsui et al. (2000), and Giraud et al. (2002) invoke a contrast between some aspect of Argentine ant biology in its native range and Argentine ant biology in its introduced range. Such native/non-native comparisons require sufficient knowledge of the ant in both ranges. Unfortunately, the Argentine ant in its native range is little understood compared with a wealth of knowledge accumulated from introduced populations.
Inadequate taxonomy for *L. humile* is at least partly responsible for hindering our understanding of the Argentine ant in South America. Researchers have displayed an unfortunate tendency to misdiagnose other *Linepithema* species as *L. humile*, probably owing to a combination of the high visibility of *L. humile* in the literature and a perplexing similarity in the worker caste between *Linepithema* species. Examination of major entomological collections reveals worker specimens of multiple *Linepithema* species stored under the *humile* label (personal observations; in LACM, MCSN, MCZC, MHNG, MZSP, NHMB, NHMW, and USNM; see below for explanation of abbreviations).
Taxonomic confusion over *L. humile* extends beyond museum collections. At least one important study, seeking to explain Argentine ant population regulation in the native range through phorid parasitism (Orr and Seike 1998), initially targeted the wrong *Linepithema* species (Orr et al. 2001). Erroneous conclusions from that study were later perpetuated in the invasion biology literature (e.g., Chapin et al. 2000, Feener 2000).
The genus *Linepithema* itself is a well-defined monophyletic group supported by several morphological synapomorphies (Shattuck 1992). Identification of specimens to genus can be accomplished with the keys of Shattuck (1992) and Bolton (1994). However, species limits within *Linepithema* are poorly known, and the only species-level identification key (Santschi 1929) is out of date and unusable. Since Mayr first described *Linepithema fuscum* in 1866, 28 species-level names have been assigned to *Linepithema* (Bolton 1995). There has been no effort to synthesize these isolated descriptions into a coherent taxonomy, and it remains a challenge to identify any *Linepithema* species, including *L. humile*.
The native distribution of the Argentine ant is somewhat better understood. Several lines of evidence point to the Paraná River basin in subtropical South America as being the region of origin. First, Argentine ants from this area have high levels of genetic diversity compared with populations elsewhere, and the genetic diversity of introduced populations seems to be a subset of the Paraná drainage diversity (Tsutsui et al. 2000, Tsutsui and Case 2001). Second, Argentine ants are often found in relatively pristine natural areas within the Paraná drainage coexisting with other ant
species (Holway and Suarez 2004; personal observation), even though they also inhabit areas of human disturbance. Finally, subtropical South America holds the highest diversity of *Linepithema* species (Shattuck 1992) and seems to be a region of radiation for this group.
Despite the evidence favoring a native Paraná drainage distribution, reliable records of Argentine ants from this region are sparse. The genetic work of Tsutsui et al. (2000) focused on the southern Paraná drainage, and beyond their collections few museum or literature records have been verified by genetic study or by trained morphologists. Details about the distribution of this ant within the region are not well known, particularly in the northern Paraná drainage, whereas literature records based on dubious identifications of *L. humile* from outside the Paraná drainage cloud our understanding of the true limits of the native distribution.
Here, I clarify the taxonomy and the native distribution of the Argentine ant. Specifically, this study examines the status of the scientific name *L. humile* (Mayr) 1868 as it applies to the Argentine ant, defines the morphological limits of the species, creates a reliable morphological diagnosis, and compiles verified collection records into the most complete data set yet of this species’ South American distribution. The goal of this study is to provide researchers with an unambiguous method for identifying Argentine ants and a baseline of knowledge about their native range distribution.
**Materials and Methods**
**Specimens.** I examined 6,540 worker, 249 queen, and 366 male *Linepithema* specimens collected across the global distribution of the genus. Particular attention was paid to ants collected in South America, including specimens from the Orr and Seike (1998) study that reported phorid fly parasitism of *L. humile* in Brazil. Specimens were examined during visits to several entomological museums and through institutional and personal loans. Additionally, I observed and collected *Linepithema* in the field in Argentina, Paraguay, Ecuador, Guatemala, the Dominican Republic, Jamaica, Puerto Rico, South Africa, and the western United States on several occasions from 1996 to 2002, in expeditions ranging in length from a few days to several months. These collections consisted mainly of extensive visual searches targeting *Linepithema* nests and foraging ants, sometimes augmented with honey baits, Berlese funnels, malaise traps, and blacklights. Entomological collections cited in this study are abbreviated as follows: ALWC, Alexander L. Wild personal collection, Davis, CA; AVSC, Andrew V. Suarez personal collection, Urbana, IL; BMNH, British Museum of Natural History, London, United Kingdom; IFML, Instituto Fundación Miguel Lillo, Tucumán Argentina; INBP, Museo Nacional de la Historia Natural del Paraguay, San Lorenzo, Paraguay; LACM, Natural History Museum of Los Angeles County, Los Angeles, CA; MACN, Museo Argentina de Ciencias Naturales, Buenos Aires, Argentina; MCSN, Museo Civico de Historia Natural ‘Giacomo Doria’, Genoa, Italy; MCZC, Museum of Comparative Zoology, Cambridge, MA; MHNG, Muséum d’Histoire Naturelle, Geneva, Switzerland; MZSP, Museu de Zoologia da Universidade de São Paulo, São Paulo, Brazil; NHMB, Naturhistorisches Museum, Basel, Switzerland; NHMW, Naturhistorisches Museum Wien, Vienna, Austria; PSWC, Philip S. Ward personal collection, Davis, CA; QCAZ, Museo de Zoología de la Pontificia Universidad Católica del Ecuador, Quito, Ecuador; UCDC, R. M. Bohart Museum of Entomology, Davis, CA; USNM, National Museum of Natural History, Washington, DC; and WPMC, William P. Mackay personal collection, El Paso, TX.
**Morphological Analysis.** Most observations were made at 50× on a Wild stereomicroscope. I conducted morphometric measurements on a subset of male (*n* = 75), queen (*n* = 43), and worker specimens (*n* = 364). A majority of measurements were taken using a dual-axis Nikon stage micrometer with a precision of 0.001 mm, but measurements at IFML and MZSP used an ocular micrometer with a precision of 0.01 mm. I report measurements here to 0.01 mm. I repeated measurements on several specimens by using both optical and stage micrometers to confirm that measurements were consistent between systems.
I used a number of standard morphometric characters. Head measurements are given with the head in full-face view, with the anterior clypeal margin and the posterior border of the head in the same focal plane. I consider ant heads to be prognathous, such that the clypeus is anterior and the frontal area is dorsal.
*Head Length* (HL). In full-face view, the midline distance from the level of the maximum posterior projection of the posterior margin of the head to the level of the most anterior projection of the anterior clypeal margin. In males, I consider the posterior margin of the head as the vertex between, and not including, the ocelli.
*Head Width* (HW). In full-face view, the maximum width of the head posterior to the compound eyes.
*Minimum Frontal Carinal Width* (MFC). In full-face view, the minimum distance between the frontal carinae.
*Antennal Scape Length* (SL). Measured from the apex of the first antennal segment to the base, exclusive of the radicle.
*Profemur Length* (FL). In posterior view, measured along the longitudinal axis from the apex to the junction with the trochanter.
*Metatibial Length* (LHT). In dorsal view, measured along the longitudinal axis from the apex to the level of the lateral condyles, excluding the medial proximal condyle.
*Pronotal Width* (PW). In dorsal view, the maximum width of the pronotum measured from the lateral margins.
*Wing Length* (WGL). In males and queens only, the maximum distance between the base of the
sclerotized wing veins to the distal margin of the wing.
*Weber’s Length* (WL). In lateral view, the distance between the anterior margin of the pronotum to the posterior margin of the metapleural bulla. For this study, Weber’s length was measured only in queens, because in workers the flexible articulation of the pronotum and mesonotum introduces error as an artifact of specimen preservation.
*Maximum Mesosomal Length* (MML). In males, the distance from the maximum anterior projection of the mesosoma to the maximum posterior projection of the propodeum, with the specimen oriented such that the measurement line of Weber’s length (see WL) is held horizontal. In male ants with minimal mesosomal development, MML is equivalent to Weber’s length. In male ants with a well developed mesosoma the anterior projection of the mesosoma is often formed by a swollen mesoscutum, and the posterior projection is formed by a rearward projection of the propodeal dorsum above the petiole.
*Maximum Mesoscutal Width* (MMW). In dorsal view, the maximum transverse width of the mesoscutum.
*Eye Length* (EL). In full face view, the length of the compound eye along the longitudinal axis.
*Eye Width* (EW). With eye held in focal plane facing the viewer, the maximum transverse width of the compound eye.
*Eye Size* (ES). 100*EL*EW.
*Scape Index* (SI). 100*SL/HL.
*Cephalic Index* (CI). 100*HW/HL.
In addition to morphometrics, I examined a suite of morphological characters commonly used in ant systematics. These characters include pilosity, pubescence, body color, wing venation, shape of the head, shape of the mesosoma and associated sclerites, shape of the petiole, male genital morphology, and maxillary palp morphology.
**Species Delimitation.** I follow the view that species are aggregates of interbreeding or potentially interbreeding populations (Mayr 1942). Although resources were not available in the current study to directly examine gene flow, species boundaries can be inferred indirectly through morphological and geographical data. Specifically, character states within biological species are likely to be continuous, while character states may be expected to diverge in the absence of gene flow, leaving a distinct gap. Thus, I delimited the Argentine ant as a biological species through identifying gaps in character states that are concordant between several characters over multiple specimens. Special attention was paid to areas of sympatry and to characters that are potentially related to reproduction (e.g., male morphology).
**Geographic Analysis.** Maps were drawn in the shareware program Versamap (www.versamap.com) on a Windows PC computer platform by using coordinates provided on specimen labels or inferred from maps and gazetteers for specimens without coordinate data. A number of older specimens did not have sufficiently detailed labels to infer exact coordinates (e.g., “Argentina”) and were excluded from the map.
To obtain an estimate of the extent to which *L. humile* records reflect sampling effort versus actual presence/absence, and to more accurately determine the limits of *L. humile* distribution, I mapped sampling points in subtropical South America where *L. humile* was not recorded, in addition to positive records of *L. humile*. These negative sampling points are a combination of museum records of other *Linepithema* species and of sites where I conducted targeted ant collecting on several occasions between 1995 and 2002 without finding *humile*.
In the current study, any collection of *L. humile* in the greater Paraná River drainage was deemed native unless there was an historical record of introduction (e.g., the population at Amingá, Argentina). South American collections were deemed introduced if there was an historical record of introduction, or if they were collected in urban areas outside of the Paraná drainage. A few records were considered ambiguous if they occurred at the periphery of the Paraná watershed strongly disjunct from confirmed native records. These criteria provide a conservative estimate for the designation of introduced populations, as native status may have been inadvertently assigned to some cryptic local introductions within the Paraná drainage. Human commerce undoubtedly moves Argentine ants about within the native range, and it is worth noting that many records of Argentine ants in Argentina and Paraguay are from urban areas.
**Nomenclature.** To confirm that *L. humile* is the valid species epithet for the pestiferous Argentine ant, I obtained the holotype worker through a loan from NHMW. I also examined syntype males from MCZC and NHMW of *L. fuscum* Mayr 1866, the only species-level taxon in the genus older than *L. humile* and consequently a potential senior synonym. Additionally, I examined type specimens for most of the more recently described species-level taxa in *Linepithema*, including *riograndense* (Borgmeier) 1928, *humile angulatum* (Emery) 1894, *leucomelas* (Emery) 1894, *dispertitum* (Forel) 1885, *dispertitum micans* (Forel) 1908, *humile platense* (Forel) 1912, *iniquum bicolor* (Forel) 1912, *iniquum succinuum* (Forel) 1908, *keiteli* (Forel) 1907, *aspidocoptum* (Kempf) 1969, *iniquum* (Mayr) 1870, *piliferum* (Mayr) 1870, *humile breviscapum* (Santschi) 1929, *humile scotti* (Santschi) 1919, *oblongum* (Santschi) 1929, *mellum* (Wheeler) 1908, *melleum dominicense* (Wheeler) 1913, *keiteli subfasciatum* (Wheeler & Mann) 1914, and *keiteli flavescens* (Wheeler & Mann) 1914. Where possible, type specimens were measured and compared with the species boundaries inferred for the Argentine ant. I associated names with the Argentine ant if they fell within the observed range of variation for that species, and I determined the valid name from the associated names using rules of priority (International Commission on Zoological Nomenclature 1999).
Taxonomy
*Linepithema humile* (Mayr)
(Worker, Figs. 1 and 5; queen, Figs. 8, 9, and 10; male, Figs. 11, 12, and 13)
*Hypoclinea humilis* Mayr 1868: 164. Worker description.
*Iridomyrmex humilis* (Mayr); Emery 1888: 386–388. First combination in *Iridomyrmex*.
*Iridomyrmex humilis* (Mayr); Wheeler 1913: 27–29. Male and queen description, worker redescription.
*Iridomyrmex humilis* (Mayr); Newell and Barber 1913: 38–39 (egg), 40–41 (larva), 42–45 (worker, male, queen pupae).
*Iridomyrmex humilis* variety *arrogans* Chopard 1921: 241–245. Syn. Nov. Junior synonym of *I. humilis* by Bernard 1967: 251. Restored to subspecies of *L. humile* by Shattuck 1992: 16.
*Iridomyrmex riograndensis* Borgmeier 1928: 64. Syn. Nov.
*Iridomyrmex humilis* (Mayr); Wheeler and Wheeler 1951: 186–189. Summary of larval biology.
*Linepithema riograndense* (Borgmeier); Shattuck 1992: 16.
*Linepithema humile* (Mayr); Shattuck 1992: 16. First combination in *Linepithema*.
Type Material Examined
*Hypoclinea humilis* Mayr 1868. one worker HOLOTYPE. Argentina, Buenos Aires (1866, Stroebel coll.) [NHMW].
*Iridomyrmex riograndensis* Borgmeier 1928. Eight worker SYNTYPES. Brazil, Rio Grande do Sul, s.loc. (19.I.1918) [MZSP].
Additional Material Examined
South American material examined given in Table 1. Specimens collected outside of South America are listed below. Given the large quantity of Argentine ants collected in California, I only list here a representative subsample of California specimens that were given a relatively thorough examination under the microscope (e.g., setal counts and measurements).
AUSTRALIA. Sydney [MZSP]; Victoria (s. loc.) [BMNH]. BELGIUM. Bruxelles Capitale: Brussels [BMNH, NHMB], Brussels Botanical Garden [MHNG]. BERMUDA. Bermuda (s. loc.) [BMNH]. CAMEROON. Centre-Sud: Nkoemvom [BMNH]. FRANCE. Provence-Alpes-Côte d’Azur: Cannes [MCZC, NHMB], Castellane [BMNH], Hyeres [BMNH], Ste. Maxime [NHMB]; Midi-Pyrénées: Toulouse [IFML]. GERMANY. Berlin: Botanical Garden [MHNG]. ITALY. Campania: nr. Naples [BMNH]; Liguria: San Remo [NHMB]; Sicilia: Palermo [BMNH]; Toscana: Monte Argentario Giannella [BMNH], Orbetello [BMNH]; Varazze (Savona) [MZSP]. LESOTHO. Maseru: Maseru [BMNH]. MOROCCO. Tanger, Tangier [USNM]. MEXICO. Baja California: Ensenada, Cortera FR [AVSC]; Baja California Sur: Guerrero Negro [AVSC]; Distrito Federal: Mexico City [BMNH], Distrito Federal (s. loc.) [WPMC]. NAMIBIA. Erongo: Swakopmund [BMNH], POLAND. Dolnoslaskie: Breslau [NMHB]. PORTUGAL. Faro: Algarve. Luz nr. Lagos [BMNH]; Lisboa: Cascais [USNM], Estoril [USNM], Lisboa [MCZC, NHMB], Mafra [USNM], Praia das Macas [USNM]; Madeira: Funchal [MCZC, NHMB], Porto Moniz [BMNH], Ribeira Brava [BMNH], Ilheu Chão [BMNH], Porto Santo [BMNH], São Vicente [BMNH], Vale de Paraiso [BMNH], Praia Formosa [BMNH], Porto da Cruz [BMNH], Feiteiras [BMNH], Caramujo [BMNH], Lower Levada [BMNH], Madeira Is. (s. loc.) [BMNH, MHNG, NHMB]; Porto: Leça [BMNH], Oporto [BMNH]. SOUTH AFRICA. Eastern Cape: Queenstown [BMNH], Somerset East [BMNH]; Mpumalanga: Nelspruit [BMNH]; Northern Cape: Colesberg [ALWC]; Western Cape: Capetown [BMNH], Table Mt. [BMNH], nr. George [BMNH]. SPAIN. Andalucia: Malaga [USNM]; Canarias: Arenara [BMNH], Cruz de Tejeda [BMNH], Gran Canaria, Las Palmas, Telde [BMNH, MCZC, USNM], Orotava [BMNH], Santa Brigida [BMNH], Tenerife, Agua Mansa [NHMB], Tenerife, Ladera de Guimar [BMNH], Tenerife, Volcan de Guimar [NHMB], Tenerife (s. loc.) [BMNH]; Cataluña: Playa de Aro [NHMB]; Galicia: Mte. Ferro b. Bayona [BMNH]; Islas Baleares: Minorca, Cala Forcat [BMNH]. UNITED KINGDOM. Edinburgh: Edinburgh [BMNH]; Sussex: Lewes [BMNH]; Eastborne [BMNH]; Exeter [BMNH]; Windsor [BMNH]; Glasgow [BMNH]; W. Maidstone, Kent [BMNH]; Chillingham [BMNH]; Farnham House Lab, Imperial Bureau of Entomology [BMNH]. UNITED STATES. Alabama: Lowndes Co., Ft. Deposit [USNM]; California: Alameda Co., Berkeley [UCDC, USNM]; Humboldt Co., Redway [ALWC]; Los Angeles Co., Pasadena [MZSP, USNM], Monterrey Co., Big Sur [ALWC]; Orange Co., Bolsa Chica Marsh [MZSP]; Riverside Co., Lake Skinner Camp [AVSC]; Sacramento Co., Sacramento [UCDC]; San Diego Co., UC Elliot Reserve [AVSC]; San Diego Co., San Diego [UCDC]; San Diego Co., E. San Diego [UCDC]; San Diego Co., Pacific Beach [UCDC]; San Diego Co., Mission Hills [UCDC]; San Diego Co., Kate Sessions Park [UCDC]; San Diego Co., Balboa Park [UCDC]; San Diego Co., Point Loma [UCDC]; San Joachin Co., Caswell State Park [PSWC]; San Luis Obispo Co., Oso Flaco Lake [LACM]; San Mateo Co., Colma [USNM]; San Mateo Co., San Bruno Mt. [PSWC]; Santa Clara Co., South Coyote [PSWC]; Sonoma Co., Russian R. 6k E. Healdsburg [UCDC]; Yolo Co., 6kW Capay [PSWC]; Yolo Co., Davis [PSWC, UCDC]; Yolo Co., Grasslands Regional Park, 8k Sw Davis [PSWC, UCDC]; Florida: Escambia Co., Gonzalez [MCZC]; Louisiana: Plaquemines Co., Happy Jack [BMNH], Orleans Co., New Orleans [BMNH], Louisiana (s. loc.) [BMNH]; Mississippi: Coahoma Co., Clarkesdale [USNM], Copiah Co., Hazelhurst [MCZC], Okibibbeha Co., Starkville [BMNH]; South Carolina: York Co., York [BMNH].
Figs. 1–7. Linepithema workers. 1. L. humile, lateral view. Specimen from Neembucú, Paraguay. 2. Undescribed Linepithema species, mesosoma, lateral view. Specimen from Parque Nacional El Palmar, Entre Ríos, Argentina. 3. L. iniquum, mesosoma, lateral view. Specimen from the Reserva Natural del Bosque Mbaracayú, Paraguay. 4. Undescribed Linepithema species, mesosoma, lateral view. Specimen from the Reserva Natural del Bosque Mbaracayú, Canindeyú, Paraguay. 5. L. humile, head, full face view, same specimen as 1. 6. L. oblongum, head, full face view. Specimen from Infiernillos, Tucumán, Argentina. 7. Undescribed Linepithema species, head, full face view. Same specimen as in Fig. 2.
Worker Measurements. HOLOTYPE: HL 0.74, HW 0.66, MFC 0.16, SL 0.76, FL 0.65, LHT 0.68, PW 0.45, ES 2.93, SI 115, CI 89.
Others (n = 81): HL 0.62–0.78, HW 0.53–0.72, MFC 0.14–0.18, SL 0.62–0.80, FL 0.52–0.68, LHT 0.57–0.76, PW 0.35–0.47, ES 1.98–3.82, SI 108–126, CI 84–93.
Worker Diagnosis. A large (HL ≥ 0.62 mm) slender Linepithema. Head in full-face view longer than broad (CI 84–93), narrowed anteriorly and reaching its widest point just posterior to the compound eyes. Lateral margins broadly convex, grading smoothly into posterior margin. Posterior margin of head straight in smaller workers to weakly concave in larger workers. Compound eyes large (ES 1.98–3.82), comprising 82–110 ommatidia (normally around 100). Antennal scapes long (SI 108–126), as long or slightly longer than HL and easily surpassing posterior margin of the head in full-face view. Maxillary palpi relatively short, segments 4 and 5 both noticeably shorter than segment 2.
Pronotum and mesonotum forming a continuous convexity in lateral view, mesonotal dorsum nearly straight, not angular or strongly impressed, although sometimes with a slight impression in the anterior half. Metanotal groove moderately impressed. Propodeum in lateral view inclined anteriad. In lateral view, dorsal propodeal face meeting declivity in a distinct though obtuse angle, from which the declivity descends in a straight line to the level of the propodeal spiracle.
Dorsum of head, mesosoma, petiole, and abdominal tergites 3 and 4 (=gastric tergites 1 and 2) devoid of erect setae (very rarely with a pair of small setae on abdominal tergite 4). Clypeus bearing a pair of long, forward-projecting setae. Abdominal tergites 5 and 6 each bearing a pair of long, erect setae. Ventrum of
Figs. 8–10. L. humile, queen. Specimen from Victoria, Entre Ríos, Argentina. 8. Lateral view. 9. Right forewing, dorsal view. 10. Head, full face view.
Figs. 11–14. Linepithema males. 11. L. humile, head, full face view. 12. L. humile right forewing, dorsal view. 13. L. humile, lateral view. 11–13. Single specimen from Victoria, Entre Ríos, Argentina. 14. Undescribed Linepithema species in the humile-group, male, lateral view. Specimen from Tafí del Valle, Tucumán, Argentina.
Table 1. Collection records of *L. humile* in South America
| Country | Admin. | Locality | Status | Latitude | Longitude | Collection |
|------------------|--------------|---------------------------|--------|----------|-----------|------------|
| Argentina | Buenos Aires | Boca | | 34° 38' | S 58° 21' | W ALWC |
| Argentina | Buenos Aires | Buenos Aires | | 34° 36' | S 58° 28' | W BMNH, MHNG, NHMB, NHMW, UCDC |
| Argentina | Buenos Aires | Campana | | 34° 12' | S 58° 56' | W ALWC |
| Argentina | Buenos Aires | Reserva Costanera Sur | | 34° 07' | S 58° 21' | W AVSC |
| Argentina | Buenos Aires | Isla Martin Garcia | | 34° 21' | S 58° 16' | W MACN, NHMB |
| Argentina | Buenos Aires | La Plata | | 34° 56' | S 57° 57' | W NHMB |
| Argentina | Buenos Aires | Lima-Zareté | | 34° 03' | S 59° 12' | W IFML |
| Argentina | Buenos Aires | Olivos | | 34° 31' | S 58° 30' | W MACN |
| Argentina | Buenos Aires | Reserva Otamendi | | 34° 14' | S 58° 54' | W ALWC, AVSC, IFML |
| Argentina | Buenos Aires | Reserva F.C.Sud | | 35° 52' | S 58° 30' | W MACN |
| Argentina | Buenos Aires | Santa Coloma | | 34° 36' | S 59° 02' | W ALWC |
| Argentina | Chubut | Rawson | | 43° 18' | S 65° 06' | W PSWC |
| Argentina | Corrientes | Ayo, Cuay Grande | | 28° 47' | S 56° 17' | W ALWC |
| Argentina | Corrientes | Corrientes | | 27° 28' | S 58° 50' | W MACN |
| Argentina | Corrientes | Ita Ibate | | 27° 25' | S 57° 10' | W AVSC |
| Argentina | Corrientes | Port Alvear | | 29° 07' | S 56° 33' | W AVSC |
| Argentina | Corrientes | Sto. Tomé | | 28° 33' | S 56° 03' | W IFML |
| Argentina | Entre Ríos | 10k S Medanos | | 33° 29' | S 58° 52' | W ALWC |
| Argentina | Entre Ríos | Colon | | 32° 15' | S 58° 07' | W AVSC |
| Argentina | Entre Ríos | Diamante | | 32° 01' | S 60° 39' | W ALWC |
| Argentina | Entre Ríos | Est. Sosa | | 31° 44' | S 59° 55' | W MACN, MHNG, NHMB |
| Argentina | Entre Ríos | Parque Nacional El Palmar | | 31° 53' | S 58° 13' | W AVSC |
| Argentina | Entre Ríos | Parque Nacional Pre Delta | | 32° 7' | S 60° 38' | W AVSC |
| Argentina | Entre Ríos | Port Ibicuy | | 33° 48' | S 59° 10' | W MACN |
| Argentina | Entre Ríos | Victoria | | 32° 38' | S 60° 10' | W ALWC |
| Argentina | Entre Ríos | Uruguay | | 31° 5' | S 57° 10' | W NHMB |
| Argentina | Formosa | Clorinda | | 25° 17' | S 57° 43' | W IFML |
| Argentina | Formosa | Formosa | | 26° 11' | S 58° 11' | W MACN, NHMB |
| Argentina | Formosa | Mojon de Fierro | | 26° 03' | S 58° 03' | W IFML |
| Argentina | La Rioja | Amingá | | 28° 50' | S 66° 54' | W ALWC, IFML |
| Argentina | La Rioja | Chuquis | | 28° 54' | S 66° 58' | W ALWC |
| Argentina | Misiones | Parque Nacional Iguazú | | 25° 42' | S 54° 26' | W IFML |
| Argentina | Misiones | Posadas | | 27° 23' | S 55° 53' | W MZSP |
| Argentina | Santa Fe | 10k E Santa Fe, Ruta 168 | | 31° 41' | S 60° 34' | W ALWC |
| Argentina | Santa Fe | Fives Lille | | 30° 09' | S 60° 21' | W NHMB |
| Argentina | Santa Fe | Port Ocampo | | 28° 30' | S 59° 16' | W AVSC |
| Argentina | Santa Fe | Rosario | | 32° 57' | S 60° 40' | W MACN |
| Argentina | Tucumán | Tichuco | ? | 26° 31' | S 65° 15' | W ALWC |
| Brazil | Amazonas | Manaus | | 03° 02' | S 60° 02' | W MZSP |
| Brazil | Goiás | Anapolis | | 16° 20' | S 48° 58' | W MZSP |
| Brazil | Mato Grosso do Sul | Cornubim, Faz. Sta. Blanca | | 19° 01' | S 47° 39' | W MZSP |
| Brazil | Mato Grosso do Sul | Corumbiá, Pto. Esperança | | 19° 37' | S 57° 19' | W MZSP |
| Brazil | Mato Grosso do Sul | Pato do Lontra | | 19° 34' | S 57° 01' | W PSWC, UCDC |
| Brazil | Mato Grosso do Sul | Pto. Martinho | | 21° 42' | S 57° 52' | W MZSP |
| Brazil | Rio de Janeiro | Rio de Janeiro | | 22° 54' | S 43° 14' | W MCSN, MCZC, MHNG |
| Brazil | Rio Grande do Sul | N. Württemberg | | 28° 18' | S 53° 30' | W MZSP |
| Brazil | Rio Grande do Sul | Pelotas | | 31° 46' | S 52° 20' | W BMNH |
| Chile | La Araucania | Temuco | | 38° 44' | S 72° 36' | W MZSP |
| Chile | Santiago | Santiago, Metropolitan area | | 33° 27' | S 70° 40' | W AVSC |
| Chile | Valparaíso | 10k E Viña del Mar | | 33° 00' | S 71° 31' | W AVSC |
| Colombia | Quindío | Armenia | | 4° 30' | S 75° 42' | W WPMC |
| Ecuador | Pichincha | Carapungo | | 0° 05' | S 78° 30' | W ALWC |
| Ecuador | Pichincha | Mitad del Mundo | | 0° 00' | S 78° 27' | W ALWC |
| Ecuador | Pichincha | Quito | | 0° 11' | S 78° 30' | W QCAZ |
| Paraguay | Alto Paraguay | Pto. 14 de Mayo | | 20° 23' | S 38° 08' | W MCSN |
| Paraguay | Asunción | Asunción | | 25° 16' | S 57° 40' | W IFML, MACN, NHMB, USNM |
| Paraguay | Boquerón | P.N. Defensores del Chaco, Cerro Leon | | 20° 28' | S 57° 20' | W ALWC |
| Paraguay | Central | San Lorenzo | | 25° 30' | S 57° 10' | W ALWC |
| Paraguay | Cordillera | San Bernadino | | 25° 16' | S 57° 19' | W MHNG |
| Paraguay | Neembucú | Pilar | | 26° 52' | S 58° 18' | W ALWC |
| Paraguay | Neembucú | | | 26° 52' | S 57° 47' | W ALWC |
| Paraguay | Pte. Hayes | Benjamin Aceval | | 24° 58' | S 57° 34' | W USNM |
| Paraguay | Pte. Hayes | Rio Confuso, Ruta Trans-Chaco | | 25° 06' | S 57° 33' | W ALWC, IBNP |
| Paraguay | Pte. Hayes | Villa Hayes | | 25° 06' | S 57° 34' | W ALWC, IBNP |
| Paraguay | Pte. Hayes | 5k SE Pozo Colorado | | 23° 33' | S 58° 46' | W ALWC |
| Paraguay | Pte. Hayes | Rt. 5 3k SE Concepción | | 23° 27' | S 57° 27' | W ALWC |
| Paraguay | San Pedro | Pto. Rosario | | 24° 30' | S 57° 00' | W ALWC |
| Peru | Lima | Los Condores | | 12° 03' | S 77° 03' | W MZSP |
| Uruguay | Colonia | Carmelo | | 33° 59' | S 58° 17' | W MACN, NHMB |
| Uruguay | Colonia | Colonia de Sacramento | | 34° 28' | S 57° 51' | W AVSC |
| Uruguay | Montevideo | Montevideo | | 34° 51' | S 56° 10' | W MACN, NHMB, NHMW |
Unplaceable records: Argentina, “Mercedes” [MACN]; Argentina, “á de Julio, Orc. Orbeal” [MACN]; Argentina, “Est. Gilbert” [MACN]; Argentina, Entre Ríos (s.loc) [MACN]; Argentina, Buenos Aires (s.loc) [MACN]; Argentina, Santa Fe (s.loc) [NHMB], Argentina (s.loc) [NHMW]; Brazil, Rio Grande do Sul (s.loc) [MZSP]; Paraguay, “Chaco” [NHMW]; Paraguay, “Paraná R.” [MCZC]; Uruguay (s.loc) [MHNG].
*, introduced population; ?, population origin ambiguous; possibly introduced.
metasoma with scattered erect setae. Gula with a pair of short setae. Body and appendages, including gula, the entire mesopleuron, and abdominal tergites, covered in dense pubescence.
Body and appendages concolorous, most commonly a medium reddish or yellowish brown but ranging in some populations from testaceous to dark brown, never yellow or piceous. Integument shagreened and lightly shining.
**Worker Geographic Variation.** Specimens from introduced populations outside of South America tend to fall toward the upper range of size variation in nearly all measurements, although there is considerable variation both in the native and the introduced ranges. The holotype worker from Buenos Aires is among the largest ants from either range. Some Paraguayan populations, particularly those farther than 10 km from the Paraguay River, have a slightly smaller eye size (<95 ommatidia) and tend to be smaller than ants in the southern Paraná drainage and along the major riverways. In general, Paraguayan specimens vary more in color than specimens from elsewhere, from testaceous to dark brown. The diagnostically sparse pilosity is generally consistent across all specimens, but several workers from Campana, Buenos Aires, have small erect setae on abdominal tergite 4 (=gastric tergite 2). These Campana workers otherwise fall within the range of variation for *L. humile*, and males from the same series clearly belong to *L. humile*.
**Queen Measurements.** (*n* = 13) HL 0.83–0.92, HW 0.83–0.93, SL 0.81–0.89, WGL 4.42–4.51, WL 1.67–2.09, FL 0.78–0.90, LHT 0.88–0.97, ES 7.3–9.4, SI 96–102, CI 93–101.
**Queen Diagnosis.** A robust species, difficult to distinguish from queens of related *Linepithema*, with long antennal scapes and large eyes. Head in full face view normally somewhat longer than broad (CI 93–101), lateral margins convex and broadly curved into the posterior margin. Posterior margin of head straight to slightly concave, never deeply or conspicuously concave. Eyes large (ES 7.3–9.4). Antennal scapes long (SI 96–102) and nearly equal to head length.
Entire body covered in a dense pubescence, a bit thicker and longer than that of the worker. Pilosity is also more developed than in the worker, with 2–11 (mean = 6) erect setae on the mesoscutum, 1–7 (mean = 4) erect setae on the scutellum, and 1–10 (mean = 3) erect setae on abdominal tergite 3, including the posterior row. Color as for the worker.
**Queen Geographic Variation.** Alate queens are much more common in collections from the native range than in collections from outside of South America. This observation is unlikely to be a sampling artifact given how heavily the introduced populations are represented in collections.
**Male Measurements.** (*n* = 25) HL 0.56–0.71, HW 0.56–0.74, SL 0.13–0.16, MML 1.40–1.96, MMW 0.76–1.12, WGL 2.55–3.26, FL 0.60–0.77, LHT 0.51–0.66, SI 12.8–15.4, CI 98.2–106.0.
**Male Diagnosis.** A robust ant, larger than the worker, with an exceptionally well-developed mesosoma. Head about as broad as long in full face view (CI 98.2–106.0) and somewhat dorso-ventrally compressed in lateral view. Eyes large, occupying much of antero-lateral surface of head and forming the anterior margin of the head lateral to the clypeus and the lateral margin of the head anterior to midpoint. Ocelli large and in full frontal view set above the adjoining postero-lateral margins. Anterior clypeal margin straight to broadly convex. Mandibles small, having a single apical tooth and four to eight denticles along the masticatory margin and rounding into the inner margin. Masticatory margin relatively short, about the same length as the inner margin. Inner margin roughly parallel to, or even converging distally with, the exterior lateral margin.
Mesosoma well-developed, considerably wider than head width, and larger in bulk and in length than metasoma. Mesoscutum greatly enlarged, projecting forward in a convexity overhanging the pronotum. Scutellum large, convex, nearly as tall as mesoscutum and projecting well above the level of the propodeum. Propodeum overhanging petiolar node, and declivitous face strongly concave.
Wings short relative to mesosomal length (Fig. 17) and bearing a single submarginal cell. Wing color whitish or yellowish, with dark brown veins and stigma. Petiolar scale with a broad crest and taller than the length of the node. Ventral process well developed. Gaster oval in dorsal view, nearly twice as long as broad. Parameres terminating as rounded pilose lobes. Digitus short, with a sharp, downturned terminal filament.
Dorsal surfaces of body largely devoid of erect setae, occasionally with a few fine, short setae scattered on mesoscutum, scutellum, and posterior abdominal tergites. Venter of gaster with scattered setae. Pubescence dense on body and appendages, becoming sparse only on the medial propodeal dorsum. Color as for the worker.
**Male Geographic Variation.** As in workers, specimens from introduced populations outside of South America tend to fall in the upper range of size variation.
**Discussion**
**Taxonomy.** These taxonomic results support current nomenclatural use. The holotype worker of Mayr’s *Hypoclinea humilis* falls neatly within the range of variation present in the Argentine ant both in South America and in locations around the world where the ant is invasive (Figs. 15 and 16). The only older species-level name in the genus, *Linepithema fuscum* Mayr 1866, pertains to a male ant whose slender build, elongate genitalia, and distinct queen-like wing venation indicate only a distant relation to *L. humile*. Borgmeier’s species *riograndense*, described from Rio Grande do Sul, Brazil, is clearly conspecific with *L. humile* and is synonymized here. Borgmeier’s specimen identifications in MZSP reveal that he considered the name *humile* to apply to a common, probably undescribed southern Brazilian *Linepithema* with
short antennal scapes and more extensive pilosity. The aptly named subspecies *L. humile arrogans* Chopard, described from introduced *L. humile* populations in southern France, was probably inadvertently resurrected by Shattuck (1992) from an earlier synonymy. Here, I return *arrogans* to synonymy because there is no reason to view introduced Argentine ant populations as being heterospecific.
**Diagnosis.** *L. humile* diagnosis is straightforward in the male caste. The distinctive bulky males of *humile* are not easily confused with males of any other species. Males of closely related forms share structural similarities with *L. humile* (e.g., the undescribed species in Fig. 14) but are considerably smaller (Fig. 17) with a much less developed mesosoma. The lack of known intergrades strongly supports the specific status of *L. humile*. The only other congeneric males that share the size of *humile* are montane Andean and Caribbean forms associated with *L. fuscum*, but these are unlikely to be confused with *L. humile*. *Linepithema fuscum*-group males are structurally divergent (Shattuck 1992), with an unusually elongate habitus, a propodeum with a convex posterior face in lateral view, two submarginal cells in the forewing, and considerably longer wings relative to maximum mesosomal length (Fig. 17).
Diagnosis is somewhat more problematic in workers, as no single character serves to separate *L. humile* from congeneric species. Table 2 provides a summary of the minimum combination of three character states that can diagnose nearly all *L. humile* worker specimens over the full geographic distribution of *Linepithema*. Figure 15 shows a consistent though not absolutely diagnostic difference in eye size versus head length between the large-eyed *L. humile* and all other non-*humile* specimens. Figure 16 plots antennal scape length versus head length in *L. humile* versus several other species, excluding the distinct long-scaped species *L. oblongum*, *L. leucomelas*, and ants of the *L. iniquum*-complex. These species are readily recognizable with other characters. Specifically, *iniquum*-complex ants have a strongly impressed mesonotal dorsum (Fig. 3), pronotal setae, and smaller eyes (ES < 2.0). *L. leucomelas* has a distinct white/brown bicoloration reminiscent of the ant *Tapinoma melanocephalum* (F.) 1793, standing setae on gastric tergites 1 and 2, and smaller eyes (ES < 2.0).
*L. oblongum* (Fig. 6) is the species most similar to *L. humile*. This poorly known ant seems to be confined to the high Andes in northern Argentina and Bolivia. Workers share the sparse pilosity and a similar mesosomal profile with *L. humile*, but they are somewhat more elongate (CI 81–88, mean = 84 in *L. oblongum*; CI 84–93, mean = 90 in *L. humile*) and have relatively smaller eyes (Fig. 18). *Linepithema oblongum* workers also have a noticeably smoother and shinier integument on the gastric dorsum than *L. humile*, and most workers have only sparse pubescence on gastric tergites 2 and 3, although some of the larger specimens...
Table 2. Minimally diagnostic characters for *L. humile* workers
| Character | *L. humile* | Other *Linepithema* species |
|----------------------------|------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|
| Pilosity | Dorsum of head, mesosoma, and first two segments of the gaster devoid of erect setae (second gastric tergite very rarely with small setae) | Variable, usually with pronotal setae. In the lowland Paraná River drainage, nearly all non-*humile* specimens have erect setae on the pronotum and all gastric tergites. Elsewhere, specimens that lack erect setae on the pronotum and first two tergites have a smaller eye size and/or a shorter relative scape length than in *L. humile*. |
| Length of first antennal segment | Relatively long (SL > 0.60, SI > 108) | Variable, SI usually < 106. Specimens with long first antennal segments either have a very strongly impressed mesonotal profile (*L. iniquum*-complex), are bicolored (*L. leucomelas*), or have smaller relative eye size and a more sparse pubescence (*L. oblongum*). |
| Eye size | Relatively large (ES > 2.0) | Variable, but ES usually smaller than 2.0 |
No other *Linepithema* species possess these character states in this combination, although a few species may show one or rarely two of them together.
within a series may retain a dense pubescence. Males of *L. oblongum* are much smaller than those of *L. humile* (MML < 1.1), and they lack the extraordinary mesosomal development of *L. humile* males. This species may be the sister taxon of the Argentine ant, a possibility that is currently being pursued with molecular genetic data (unpublished data).
The problem of *L. humile* worker diagnosis is simplified within the native range. No other lowland *Linepithema* in the Paraná River drainage lacks erect setae on the mesosoma and first two gastric tergites. Care should be taken when considering setal characters in damaged or roughened specimens, because setae are often lost.
This setal character was noted by Orr et al. (2001) in separating ants that were attacked by parasitic *Pseudacteon* flies (Diptera: Phoridae) from those that were not attacked. In examining Orr’s specimens I confirmed that the relatively hairless forms that Orr et al. (2001) found not to be attacked by *Pseudacteon* are *L. humile*. Conversely, the more setose ants attacked by *Pseudacteon* were several other *Linepithema* species. We remain without positive evidence then that Argentine ants are attacked by phorid parasitoids.
**Distribution.** The Argentine ant’s native distribution seems to be limited to the Paraná River drainage (Fig. 19), confirming the conclusion of Tsutsui et al. (2001). South American records of *L. humile* outside the Paraná drainage are invariably from urban areas, an observation that strongly supports the notion of recent introduction by human commerce. Paraná drainage records are also more abundant than non-Paraná records (49 versus 8). Furthermore, most records fall within a few kilometers of the largest rivers: the Paraná, the Paraguay, and the Uruguay. This is unlikely to be a sampling artifact, as evidenced from numerous records of other, non-*humile* species distant from major rivers (Fig. 20).
Records of *L. humile* in South America show the following pattern: patchy local abundance in low areas of the Paraná River drainage; common along major rivers (perhaps aided through frequent natural dispersal along the river); and very recent dispersal out of the Paraná drainage with human activity. Interestingly, some of the more morphologically divergent *L. humile*, including those with color variations and smaller compound eyes, are found >10 kilometers away from large rivers in the northern part of the native range. It is unlikely that this variation reflects the existence of cryptic species, given that much of the variation is allopatric and that *L. humile* males show remarkable consistency in diagnostic traits across populations. Specimens from the southern native range tend to look more like the common pest *L. humile*, although there is still a fair amount of variation. Overall this pattern raises the hypothesis of a northern origin for the species with later dispersal along the rivers. This hypothesis could be tested with genetic data in a phylogeographic framework (Avice 2000).
The history and biology of the Argentine ant in its native range is liable to be complex. Argentine ants likely move along river channels during periods of natural disturbance, and some of the native range
records probably correspond to recent local introductions through human commerce. It bears noting that *L. humile* is present in many urban areas along the Paraná and Paraguay rivers. The preponderance of Argentine ant records from flat, expansive flood plains suggests that records from fast-running, deeply channelized stretches of the Upper Paraná such as Argentina’s Foz do Iguacu also may not represent native populations.
The morphological diversity in native-range *L. humile* raises the issue of intraspecific diversity in other aspects of Argentine ant biology. Tsutsui and Case (2001) note variation in colony structure in the native range, and there also may be variation in mating systems and in colony life history. Studies that make use of contrasts between Argentine ant biology between native and introduced ranges would do well not to treat native range *L. humile* as a monolithic entity. Rather, care should be taken to chose *L. humile* populations that are most likely to be close relatives of the introduced populations under study. Genetic work of Tsutsui et al. (2001) indicates that a southern Paraná population represents the source population for California *L. humile*. It also remains a possibility that some biological changes that contribute to the Argentine ants’ invasive success occurred within the native range before introduction. Detailed studies of Argentine ant biology mapped onto a population-level phylogeny over the whole of the native range could determine if this were the case, as well as shed light on the sequence of evolutionary events leading to invasiveness in Argentine ants.
**Acknowledgments**
I thank Bolivar R. Garcete-Barrett, Rosalia Fariña, Antonio Dacak, the U.S. Peace Corps, and the Fundación Moises Bertoni for help in Paraguay. Fabiana Cuezzo (IFML), Roberto Brandão (MZSP), Giovanni Onore (QCAZ), Stefan Schoedl (NHMW), Roberto Poggi (MCSN), Bernhard Merz (MHNG), Daniel Burkhardt (NHMB), and Barry Bolton (BMNH) made possible visits to the respective museums. Nicole Heller assisted in the field in Argentina. Stefan Cover, Jack Longino, Bill Mackay, Jes Pedersen, Andy Suarez, Ted Schultz, and Roy Snelling provided useful material. Phil Ward, Penny Gullan, Andy Suarez, Brian O’Meara, and two anonymous reviewers made helpful comments on the manuscript. This work was made possible by financial support from the United States National Science Foundation grant #0234691, by a National Science Foundation Graduate Research Fellowship, and by grants from the University of California at Davis: Jastro Shields, Center for Population Biology, and Center for Biosystematics.
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Received 9 November 2003; accepted 6 August 2004. |
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Maize cell wall degradability, from whole plant to tissue level: different scales of complexity
Mary S-J Wong Quai Lam\textsuperscript{1}, Yves Martinez\textsuperscript{2}, Odile Barbier\textsuperscript{1}, Alain Jauneau\textsuperscript{2}, Magalie Pichon\textsuperscript{1*}
\textsuperscript{1}CNRS - Université Paul Sabatier, UMR 5546, LRSV, 24 Chemin de Borde Rouge, 31326 Castanet Tolosan, France
\textsuperscript{2}Plateforme de microscopie – FR AIB (Agrobiosciences, Interactions, Biodiversity) FR 3450 CNRS, 24 chemin de Borde Rouge, 31326 Castanet Tolosan, France
*Corresponding author: E-mail: email@example.com
*current address: INRA, Laboratoire des Interactions Plantes Micro-organismes (LIPM), 24, chemin de Borde Rouge, Auzerville, CS52627, 31326 Castanet Tolosan, France
Abstract
Today, maize stover can be considered as a model for investigating secondary cell wall formation in grasses with major applications in cattle feeding (forage maize) and green energy production (bioethanol, biogas, etc). Up until now, cell wall formation and cell wall degradability have been considered at the whole plant scale. However, a detailed examination of leaves and internodes has underlined a large diversity of lignified cell types (xylem vessels, parenchyma, sub-epidermal and perivascular sclerenchyma) and significant variations in the organization and/or the composition of these different cell types. In this review, we highlighted several aspects of this complexity and their consequences on valorization processes both in agriculture or industries.
Keywords: Zea mays, cell wall digestibility, anatomy, sclerenchyma, parenchyma
Introduction
Recent economical and environmental contexts have greatly strengthened the necessity of producing in sustainable ways substitutes to fossil fuels. An important “tank” for biofuel in future is yet based on the use of lignocellulose products. Maize (Zea mays L.) is one of the most widely grown crops in the world to produce grain and silage. In maize dedicated to grain production, the use of mature stalks as resources for second generation biofuels appears to be a good compromise allowing energy production without competition with food availability. Moreover, due to its great facilities for plant selfing and crossing, its large genetic resources, and the considerable genetic backgrounds and genomic tools, maize is the most efficient model plant for the improvement of all C4 grasses (sorghum, switchgrass, sugarcane, miscanthus, etc) considered for industrial biomass production.
Although plant biomass is often considered as having a uniform composition, there is in fact a substantial diversity linked to different factors. First, different species of plants have significant differences in the proportions of cellulose, hemicelluloses, and lignins found in their biomass and secondly, the types of hemicelluloses and/or the ratios of monomers in lignins vary greatly \cite{Burton et al., 2012}. In addition to these species-specific differences, the average composition of a single species can vary regarding the organ considered. For example, in maize root, the monomeric composition of lignins are particularly S unit rich whereas leaves contain high proportion G unit \cite{Guillaumie et al., 2007}. At a lower scale, every plant consists of many different cell types, each with a unique cell wall that contains qualitative and local structural differences in their components \cite{Kieran et al., 2011}. For all these reasons, we need to consider this compositional complexity of plant feedstock when evaluating and assessing the robustness of technical processes designed for a given application.
Most knowledge of cell wall polymers is derived from the physicochemical analysis of fractionated walls and isolated polymers with the correlative loss of most spatial and developmental information. However, tools at cellular scale are now available to determine chemical signature or physical properties of cell wall cells. Indeed, wall constituents such as pectins, proteins, aromatic phenolics, cellulose, and hemicelluloses have characteristic spectral features that can be used to identify and/or fingerprint these polymers without, in most cases, the need for any physical separation. Fourier-transform infrared (FT-IR) microspectroscopy, is widely used to provide an overview of all the major chemical components in a cell wall \cite{McCann et al., 1992; Séne et al., 1994; McCann et al., 2007}. Raman spectroscopies, that have greater capacity for the spatial resolution of chemical signatures than FT-IR, are also used in cell wall studies, and have the potential to indicate differences in the orientation of cellulose microfibrils \cite{McCann et al., 1992}. Synchrotron radiation microspectroscopy (SR-IMS) and Atomic Force Microscopy (AFM) provided cellulose topography of maize cell walls \cite{Dokken et al., 2007; Ding and Himmel, 2006}. Immuno-histoical technique is currently one of the best methods to precisely locate polymers within complex tissues using different antibodies (Knox, 2008). Since a decade now, Laser Capture Microdissection (LCM) has become an ideal tool to isolate specific tissue in an organ (Kerk et al., 2003).
Regarding the nutritive value of forage crops, the botanical characteristics of the plant material are recognized as a factor determining the cell wall degradability as well as the maturation stage of plants (Walters, 1971). In the same time, it was considered that the pattern of lignin distribution, rather than the total amount of lignins, accounted for much of the variation in digestibility between forage types (McManus and Bigham, 1973). Further work confirmed the importance of anatomical features in attempting to predict the nutritive value of forages (Wilkins, 1972; Akin and Burdick, 1975). In maize, several investigations (Boon et al, 2005, 2008; Méchin et al, 2005) devoted to internode quality reported that the differences in the percentage of lignified area in the internodes between the plants was associated with differences in their in vitro dry matter degradability. Akin and Burdick (1975) have examined cool- and warm-season grasses and demonstrated differences in cell-wall structure (especially extent of lignification) between specific tissue cells and their response to rumen digestion. Schertz and Rosenow (1977) reported distinct anatomical variations between sorghum [Sorghum bicolor (L.) Moench] cultivars, considering number and thickness of lignified epidermis, sclerenchyma, and vascular bundle cells. Thus, combining cytological observations with digestibility properties could allow designing an anatomical ideotype well adapted to both silage use or biofuel production.
Materials and Methods
Histological stains
Sections of 130 µm thick of fixed material (ethanol 70%) were made with a vibratome (LEICA VT 1000S) on internode sections of maize plants at flowering stage. Bright field and fluorescence images were realized using an inverted microscope (Leica DM IRBE, LEICA, Germany) equipped with aTri-CCD Colour Camera (Color Cool View, Photonic Science, Milham, Germany). From embedded material (LRWhite Resin), thin sections of 1µm were performed with an ultramicrotome equipped with a diamond knife (UltraCutE, Leica, Germany). Several colorations were considered:
- Phloroglucinol-hydrochloric solution (VWR/26337.180) reveals lignins which were stained in reddish color in bright field microscopy.
- Mirande’s reactiv (Jeulin/fr, 10514584) allows the visualization under fluorescence of the lignin in blue and pectocellulosic components in red-pink color.
- Lugol solution (mix of I₂ and KI at 1% of iodure) was used to detect starch (blue dark color)
- Toluidine blue 0.5% in an aqueous solution 2.5% of sodium carbonate, pH 11, is a polychromatic dye of plant cell wall components.
Immunolocalization
Experiments, including samples fixation, embedding and labeling, were performed according the article of Philippe et al (2006). Briefly, ferulate components were detected using a primary antibody (anti-5-O-Fer-Ara) diluted at 1/2,000 and revealed by a suitable secondary antibody Alexa 633 labelled. Visualization of the labeling was done with a spectral confocal microscope (Laser Scanning Confocal Microscope SP2, Leica, Germany).
Enzymatic degradation assay
Enzymatic hydrolysis was carried out using the cellulase from Trichoderma reesei [ATCC 26921, Sigma-Aldrich, C2730, activity of 1.5l Cellulast 700 EGU/g (endo-glucanase units per gram)] at a dilution of 1/100. The enzyme was prepared in 500 mM sodium acetate buffer at pH 5.0. The hydrolysis was performed on 100 µm thick cross-sections from the internode under ear harvested at flowering stage. The cross-sections were placed in wells containing 1 ml of the enzymatic solution and were placed in an incubator at 37°C. At designated time points 4 h, 24 h, 48 h and 72 h, samples were removed from the incubator for observation.
Laser Capture Microdissection
70 µm thick sections were laid down on a slide and cover by a PEN framed membrane. Microdissection of epidermal/sub epidermal sclerenchyma, vascular bundles including perivascular sclerenchyma and parenchyma was made, and isolated on different caps by using an Arcturus XT microdissector with UV and IR laser beam.
Scanning electron microcopy
Samples were fixed in 2.5% of glutaraldehyde in 50 mM sodium cacodylate buffer (24 h at 4°C). They were then dehydrated in a series of aqueous solutions of increasing ethanol concentrations. They were then critical-point dried with CO₂ as a transitional fluid, sputter-coated with gold palladium (JEOL, JFC 1100) 50 nm, and then observed with an Hitachi (C450 SEM) which permit to have a resolution max of 6 nm and a magnification from 20 to 200,000 with an accelerated voltage of 20 KV.
FTIR
Sections of 14 µm thick were realized from paraffin-embedded internode at flowering stage. Infrared spectra were collected in the transmission mode, between 800 and 1,800 cm⁻¹ at 8 cm⁻¹ intervals, using a Magna-IR 550 spectrometer (Nicolet, Trappes, France) equipped with an IR-plan Advantage microscope (Spectra-Tech, Shelton, CT, 15 Reflachromat lens). The spectrometer was fitted with a high-sensitivity MCT detector. Ten spectra for each cell type were registered. Data treatment was realized according to Philippe et al (2006).
**Results and Discussion**
**Internode development: a succession of spatial and temporal events**
At the whole plant level, stems of Gramineae elongate in an acropetal mode, with two or more internodes usually elongating simultaneously or in slightly staggered succession (Morrison et al., 1994). So, the internode located at the base of the stem completes its development first (the ‘oldest’ internode), followed by younger internodes higher up. As a consequence there is a gradient of physiological cell wall age from the base to the top of the stem (Figure 1A).
When considering one internode, it passes through different successive development stages including cell division, cell elongation and cell differentiation. During cell division, new cells are produced by the meristem at the base of the internode. This intercalary meristematic zone remains active until the final stage of internode elongation is reached (Morrison et al, 1998). Each internode, therefore, provides a spatial resolution of the temporal events associated with secondary wall formation (Figure 1B, C, D). In the basal portion of the internode, xylem and one or two layers of sclerenchyma around vascular bundles (VB) located in the pith are heavily stained with phloroglucinol reagent (Figure 1D). In the older portion of the internode, many different cell types including epidermis, sub epidermal and perivascular sclerenchyma, and parenchyma between VB, are lignifying (Figure 1C). A closer examination of sclerenchyma surrounding VB allows observing a transversal gradient of lignification (Figure 1E). Sclerenchyma cells near the xylem are heavily stained whereas the far ones are yet pink. At cell wall level, lignification is thought to begin when secondary cell wall material starts being deposited; it serves to stiffen the cell wall, thereby fixing cell size once the cell itself is fully elongated. Deposition of lignins starts in the primary cell wall, and is then slowly extended in the direction of the cell lumen, following cellulose deposition (Figure 1F).
**Internode tissue organization: a patchwork of different tissues and cell types.**
Monocot stems do not have a vascular cambium, thus, they did not exhibited secondary growth. The vascular system of monocotyledons usually consists of bundles that are scattered throughout the ground tissues of the stem (Figure 2A). Different types of vascular bundles (structure and morphology) were observed in a same section. Numerous vascular bundles surrounded by sclerenchyma, were located in the ring (Figure 2B) whereas larger vascular bundles were observed in the pith (Figure 2C). Moreover, a shift in the position of the sclerenchyma surrounding the vascular bundles was observed from the top to the base of the internodes (Figure 1C, D, respectively). At the top of the stem, the sclerenchyma was roughly equally positioned on the abaxial and adaxial sides of the vascular bundles (Figure 1C). More towards the base...
of the stem, sclerenchyma was predominant on the adaxial side of the vascular bundles (Figure 1D).
At the end of internode elongation, all cell types had become lignified. In epidermis, Casparian strip is deposited on radial and transverse section of the wall (Figure 2D). Immediately adjacent to epidermis, two or three layers of sclerenchyma developed thick secondary cell wall. Similarly, sclerenchyma surrounding some rind-region vascular bundles had thickened and lignified walls (Figure 2F). When considering parenchyma, different cell wall compositions were observed. In the rind region between VB, small-diameter parenchyma cells developed lignified thin cell wall as post elongation development proceeded. On contrary, the parenchyma below the subepidermal sclerenchyma never lignified (Figure 2B).
At a higher scale of observation, an electron micrography of sieve-conducing xylem (mineral nutrient) allowed to visualize different types of cell wall ornamentation. In protoxylem, secondary cell wall deposition occurred by forming different ring leading to annular and spiral morphology (see arrow in...
Figure 3 - *In situ* cell wall analysis (scale bars H, I 50 µm).
A-C) FTIR mean spectra of sub epidermal sclerenchyma (A), perivascular sclerenchyma (B), and parenchyma (C). In the IR region 1,200 to 900 cm\(^{-1}\), pectins have a profile similar to that of polygalacturonic acids, and can easily be distinguished from non-pectic polysaccharides. The most diagnostic peak in the IR spectra of cell wall material is the peak centred at about 1,745 cm\(^{-1}\), arising from the ester carbonyl stretching associated with pectin. The 1,605 to 1,635 cm\(^{-1}\) doublet peak can be used to confirm the presence of phenolic material (Séné et al., 1994). Carbohydrates have been reported to absorb between 1,200 and 900 cm\(^{-1}\). Atalia and Agarwal (1985) have reported that the peak at about 1,630 cm\(^{-1}\) in the spectra of ferulic acid appears to be associated with the α-β double bond on the propanoid side group in lignin-like structures. D-G) from a whole section (D), collection by laser capture microdissection of the epidermis and sub epidermal sclerenchyma (E), vascular bundles surrounded by sclerenchyma (F), and parenchyma (G). H, I) Localization of ferulate by indirect immunofluorescence in the lower (H) and upper (I) parts of maize ear internode.
In metaxylem, both reticulated and perforated xylem was observed (Figure 2I, J).
**A variety of specific cell type composition**
Different technologies have been used for studies of cell wall chemistry at cellular level. FTIR spectroscopy allows detecting the relative amounts of functional groups, including carboxyl esters, phenolic esters, amides and carboxylic acids (Séné et al., 1994). A carbohydrate fingerprint region, with absorbances at specific wave numbers, serves as diagnostic of cellulose, cross-linking glycans, and pectins in maize and other grasses (McCann et al., 1992). Fourier transform infrared (FTIR) microspectroscopy was used to get a fingerprint of wall phenotypes of different cell types in maize internodes (sub epidermal and perivascular sclerenchyma, and parenchyma) (Figure 3A-C). The surface of all peaks between 1740 cm\(^{-1}\) and 1,604 cm\(^{-1}\), which cover the lignin absorbance, were significantly higher in sclerenchyma cell walls under epidermis and surrounding vascular bundles than in parenchyma (Figure 3A-C). On contrary, parenchyma is enriched in carbohydrates, mainly in xylans (wave number 1,045 cm\(^{-1}\)) (Figure 3C).
To go further in identifying cell wall components, cell types were separated and harvested by laser capture microdissection (LCM). LCM has been applied with success to separate lignified cells in maize coleoptile (Nakazono et al., 2003), in alfalfa (Nakashima et al., 2008), and in Arabidopsis (Ruel et al., 2009). In maize, tissues were dissected in the following steps: epidermis, vascular bundles and parenchyma (Figure 3D-G). Significant differences in lignin composition between different tissues were observed. In agreement with phloroglucinol staining (more red coloration within tissue rich in G unit), epidermis of both lines is particularly rich in G units (about 80%). Sclerenchyma around vascular bundles exhibited a S/G ratio varying between 0.56 and 0.75, according the maize line (Wong et al., in progress). As observed by Joseleau and Ruel (1997), H units were undetectable in parenchyma cells walls, and the S/G ratio was around 1.
Immuno-histochemical technique is also an interesting tool for the studies of cell wall microstructures and to locate polymers precisely *in situ* (Knox, 2008). Distribution of lignins in primary and secondary cell walls has been performed using immunological probes in maize coleoptiles (Müsel et al., 1997) and in internodes (Joseleau and Ruel, 1997; Tamasloukht et al., 2011). In relation with digestibility, the dynamic of ferulic acid deposition in the cell wall of maize internode was studied using a polyclonal antibody raised against ferulic acid ester linked to arabinoxylans (pAb anti-5-O-Fer-Ara) (Philippe et al., 2006). Indeed, grass cell walls are atypical because their xylans are acylated with ferulate and lignins are acylated with p-coumarate. Ferulic acid derived from phenylpropanoid metabolism, is found in both primary and secondary grass cell walls (Harris and Hartley, 1976). The formation of ferulate dimers occurred in vegetative organs, contributing to network formation in the cell walls of vegetative organs and thus having a potential influence on forage digestibility (Dobberstein and Bunzel, 2010). Immunolabelling of transverse sections coming from the lower and upper parts of the ear internode with a 5-O-Fer-Ara epitope (Philippe et al., 2006) showed a spatio-temporal deposition of ferulate (Figure 3H, I). In the lower unlignified part of the internode,
the labeling was mainly detected in the epidermis, the subepidermal and perivascular sclerenchyma (Figure 3H). As we move along the internode towards lignified tissues, in the middle part, a faint labeling of the parenchyma cells between the vascular bundles was observed (data not shown). Labeling intensity was the most abundant in the upper part of the internode especially the perivascular sclerenchyma and parenchyma cell wall (Figure 3I). Labeling was never observed in the xylem.
**Bundle sheat layers are the first target of degradation enzymes**
Internode degradability has already been evaluated in maize in different manner, in tissues sections (Jung and Casler, 2006), or fragmentized sections (Morrison et al, 1996). Thus, Jung and Casler (2006) observed stem section of an internode at maturity after in vitro degradation by rumen microbes for 24 or 96 h. They observed that pith parenchyma immediately interior to the rind region of the stem was almost completely degraded within 24 h whereas the parenchyma located in the more central pith region was less degraded, but parenchyma surrounding vascular bundles were also completely degraded. To go further in understanding the degradability of cell wall components in maize internode during stalk development, Morrison et al (1996) evaluated by liquid chromatography the neutral sugar residues before and after fermentation of separated pith and outer rind. Degradability of wall polysaccharides declined markedly from the youngest internode and then leveled off or declined more slowly through the remaining internodes, especially in the pith tissue. During both fermentation times, pith of the younger internodes degraded more quickly and extensively than rind.
In attempt to define mechanisms that dictate digestibility at cellular level, we performed a section digestion assay (Figure 4A). These assays were an adapted version of classic in vitro digest assay (Aufrère and Michalet-Doreau, 1983). For that, we examine the action of enzymes (Celluclast) on internode sections after 24 h of incubation. After 24 h, the pith parenchyma tissue was separated from the peripheral ring region of the internode and some vascular bundles located in the pith parenchyma were detached (Figure 4A). The cell layer around VB which were firstly degraded corresponds to bundle sheath layer, as shown by lugol staining. Starch was subsequently released in the medium (Figure 4B-C).
**Conclusions**
Cell wall degradability is a complex trait which has been largely explored in the past at whole plant level, and many data concerning biochemistry are described in the literature. This review pointed the diversity of maize cell walls, which should be taken in consideration for agro-industrial applications. In that way, for breeding genotypes fitting better for biofuel production, new areas of investigations need to be developed in order to discover the molecular programs associated with each lignified cell type and to research regulatory genes which control the patterning of lignifying tissue.
**Acknowledgements**
Thanks to Valérie Méchin and Brigitte Pollet for thioacidolysis analyses, and to Fabienne Guillon and Paul Robert for FTIR investigations.
**References**
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Content Math Journal Prompts For First Grade
A growth mindset journal for students grades 4th-8th.
The digital age provides ample opportunities for enhanced learning experiences for students; however, it can also present challenges for educators who must adapt to and implement new technologies in the classroom. The Handbook
of Research on Transforming Mathematics Teacher Education in the Digital Age is a critical reference source featuring the latest research on the development of educators’ knowledge for the integration of technologies to improve classroom instruction. Investigating emerging pedagogies for preservice and in-service teachers, this publication is ideal for professionals, researchers, and
educational designers interested in the implementation of technology in the mathematics classroom. This action research project was carried out to determine if implementing journaling activities into a geometry classroom increased students' mathematical reasoning, mathematical terminology, and mathematical communication skills. For eight weeks, students responded to
weekly journal prompts corresponding to the content being taught in class. Using a 12-point rubric, I graded each student's journal and provided feedback to help improve their writing. After grading each set of student journals, I documented my observations and preliminary interpretations in a teacher journal. During the study I added writing portions to my unit tests. After the study was completed, I
interviewed several students to gain their perspectives of journaling in math. Paired t-tests of dependent samples showed statistically significant improvement in students' mathematical reasoning, terminology, and communication scores on the student journal scores. After analyzing student responses to interview questions, I determined students thought journaling in math class improved.
their confidence in writing mathematically as well as deepen their understanding of the material.
Presents a collection of nonfiction writing prompts for social studies, implementation ideas, and scoring guides.
Strategies for Remote Teaching & Learning
Fewer Things, Better: The Courage to Focus on What Matters Most
Learning Journals in the K-8 Classroom
Unshakeable
A 6-Point Action Plan for Fostering Perseverance
The Daily 5 Nonfiction Writing Prompts for Geometry
This newly updated resource will teach the teacher how to differentiate their lessons through content, process, and product in order to effectively accommodate all learning levels and styles of learning. All of the strategies are anchored in extensive research on the importance of differentiation and addressing a variety of learning styles. Includes a CD.
2nd Edition includes additional formative assessment tools and a strategy toolbox for students! If you are looking for a way to help your
students master the Common Core State Standards for Mathematics, this is it! Best of all, JUMP will complement ANY textbook or curriculum. JUMP: Journal for Understanding Mathematical Principles is a series of student math journals designed specifically to address the Common Core State Standards for Mathematics. The teacher-authors have analyzed and interpreted each Common Core State Standard for Mathematics to provide journal prompts that reflect what students need to know and be able to do at each grade level. Each edition also includes prompts for content vocabulary terms that are essential to understanding mathematical concepts at each grade level. JUMP deepens students' understanding of
mathematical concepts while reinforcing critical processes and proficiencies outlined in the CCSS Standards for Mathematical Practice. JUMP asks students to make sense of problems and persevere in solving them, reason abstractly and quantitatively, construct arguments and critique their work and the work of others, model with mathematics, and use mathematical tools. JUMP can be used in a variety of settings including whole group instruction, small group instruction, peer learning teams, partners, or individual learning. JUMP can be used for a variety of purposes including pre-assessment, formative assessment, summative assessment, guided practice, independent practice, homework,
enrichment, intervention, evidence for parent/teacher conferences, or evidence for portfolios. JUMP can be used by a variety of educators including general education teachers, special education teachers, teachers of English language learners, math resource teachers, summer school teachers, intervention teachers, or tutors. And, again, JUMP will complement ANY textbook or curriculum. Develop writing skills in all content areas with this complimentary standards aligned writing resource. Grades K-2 is where all foundational skills are taught and learned, even in writing. Successful writers and readers go hand in hand. Supplement your writing instruction with the perfect guide that supports all writers in all
content areas. Content Area Writing Prompts for Early Writers offers content-aligned writing prompts in the areas of math, science, and social studies. This writing prompt resource includes: 12 Writing Prompts - There are four writing prompts for each content area. Every prompt is aligned to topics/concepts taught in early grades. Pre-Writing Graphic Organizers - Pre-writing graphic organizers are included to help aid students with organizing their thoughts before the writing stage. Embedded Scaffolds - Let's make learning equitable for all writers! Every writing prompt includes an embedded scaffold so that writing can be differentiated and supported for all students. Ensure that writing is taught everyday, across all
content areas with this book. Students will develop skills necessary to build critical thinking skills while at the same time demonstrating mastery of learning.
The professional development for online teaching and learning that you've been asking for An unprecedented pandemic may take the teacher out of the classroom, but it doesn't take the classroom out of the teacher! Now that you're making the shift to online teaching, it's time to answer your biggest questions about remote, digitally based instruction: How do I build and nurture relationships with students and their at-home adults from afar? How do I adapt my best teaching to an online setting? How do I keep a focus on students and their needs when they aren't in front
of me? Jennifer Serravallo's Connecting with Students Online gives you concise, doable answers based on her own experiences and those of the teachers, administrators, and coaches she has communicated with during the pandemic. Focusing on the vital importance of the teacher-student connection, Jen guides you to: effectively prioritize what matters most during remote, online instruction schedule your day and your students' to maximize teaching and learning (and avoid burnout) streamline curricular units and roll them out digitally record highly engaging short lessons that students will enjoy and learn from confer, working with small groups, and drive learning through independent practice partner with
the adults in a student's home to support your work with their child. Featuring simplified, commonsense suggestions, 55 step-by-step teaching strategies, and video examples of Jen conferring and working with small groups, Connecting with Students Online helps new teachers, teachers new to technology, or anyone who wants to better understand the essence of effective online instruction. Along the way Jen addresses crucial topics including assessment and progress monitoring, student engagement and accountability, using anchor charts and visuals, getting books into students' hands, teaching subject-area content, and avoiding teacher burnout. During this pandemic crisis turn to one of
education's most trusted teaching voices to help you restart or maintain students' progress. Jennifer Serravallo's *Connecting with Students Online* is of-the-moment, grounded in important research, informed by experience, and designed to get you teaching well-and confidently-as quickly as possible. Jen will be donating a portion of the proceeds from *Connecting with Students Online* to organizations that help children directly impacted by COVID-19.
**Strategies that Work, K-12**
**Transdisciplinarity in Mathematics Education**
**Blurring Disciplinary Boundaries**
**How Families Can Learn Math Together—and Enjoy It**
**Nonfiction Writing Prompts for Lower Elementary Math**
Teaching Writing in the Content Areas
An Overview
This easy-to-read summary is an excellent tool for introducing others to the messages contained in Principles and Standards.
In today's classrooms, the instructional needs and developmental levels of our students are highly varied, and the conventional math whole-group model has its downsides. In contrast to the rigid, one-size-fits-all approach of conventional whole-group instruction, guided math allows us to structure our math block to support student
learning in risk-free, small-group instruction. Guided math goes beyond just reorganizing your math block; it also gives you an opportunity to approach math instruction with a renewed sense of perspective and purpose.
Drawing on two decades of experience, Reagan Tunstall offers step-by-step best practices to help educators revolutionize their math blocks with a student-centered approach. Whether you're a new teacher who's curious about guided math or a veteran educator looking to hone your methodology, *Guided Math AMPED* will transform your math block into an exciting and
engaging encounter that encourages your students to see themselves as genuine mathematicians. "Most educators have come to realize that the magic happens at the teacher table or during small-group instruction. If that's the case, Guided Math AMPED is the spell book." -JENNIFER SALYARDS, M.Ed., principal, Chamberlin Elementary, Stephenville ISD
"Guided Math AMPED provides educators with a practical framework for enhancing math instruction in a way that provides research-based practices, differentiated instruction, and fun, all while strengthening
relationships with students and developing math mindsets. No matter your experience or tenure in education, Guided Math AMPED will give you tips and tricks to implement in your classroom." -MATT BERES, district administrator, Wooster, OH "Guided math is one of the best things you can implement in your classroom, and Reagan Tunstall is the best to learn from, thanks to her perfect framework and step-by-step instructions. She has thought through every potential roadblock and offers concise solutions because she's experienced it all in her own classroom." -HALEE SIKORSKI,
educator, A Latte Learning "Don't you dare let another teacher borrow this book . . . you may never get it back! From the rst page to the end, this book is lled with practical ideas and guidelines guaranteed to take your guided math block to the next level." -LORI MCDONALD, M.Ed., retired educator
Suggests writing prompts to encourage students in grades 2-4 to write about their math thinking.
"Seldom has a book been as timely or as necessary as Productive Math Struggle is today. . . One of the remarkable accomplishments of
SanGiovanni, Katt, and Dykema’s work lies in how they seamlessly connect the research on high-quality tasks, high expectations, identity, and equity to productive math struggle. This is perhaps their greatest contribution. The authors see productive math struggle as a critical feature of mathematics classrooms that support access, equity, and empowerment, specifically arguing that every student is “worthy of struggle.”
From the Foreword by Matt Larson, Ph.D. Past President (2016-2018), National Council of Teachers of Mathematics Associate Superintendent for
Instruction, Lincoln Public Schools, Nebraska Struggle is hard. Productive struggle is power. All students face struggle, and they should—it is how they learn and grow. The teacher’s job is not to remove struggle, but rather to value and harness it, helping students develop good habits of productive struggle. But what’s missing for many educators is an action plan for how to achieve this, especially when it comes to math.
Persevering through difficult challenges to reach new learning is the core of Productive Math Struggle. When left unsupported, struggle can become
unproductive and demoralizing, negatively influencing students' mathematical identities. The authors guide teachers through six specific actions—valuing, fostering, building, planning, supporting, and reflecting on struggle—to create a game plan for overcoming obstacles by sharing actionable steps, activities, and tools for implementation. Instructional tasks and vignettes representative of each grade level. Real-world examples showcasing classroom photos and student work samples. Revolving around the idea that math is a way of thinking and...
understanding, and not just the pursuit of answers and procedures, this book empowers students to embrace productive struggle to build essential skills for learning and living—both inside and outside the classroom.
Math Curse
Five Steps to Your Best Math Block
Using Journaling Activities to Increase Mathematical Communication Skills in Geometry
101 Writing Prompts for Math
Integrating Literacy and Math Principles and Standards for School Mathematics
JUMP 1 Student Edition
This book proceeds to provide a method for selecting teacher leaders, identification of a realistic set of performance expectations and a means for comprehensively and systematically evaluating job performance.
Tap into the Power of Child-Led Math Teaching and Learning
Everything a child does has mathematical value--these words are at the heart of this completely revised and updated third edition of The Young Child and Mathematics. Grounded in current research, this classic book focuses on how teachers working with children ages 3 to 6 can find and build on the math inherent in children's ideas in ways that are playful and intentional. This
resource - Illustrates through detailed vignettes how math concepts can be explored in planned learning experiences as well as informal spaces - Highlights in-the-moment instructional decision-making and child-teacher interactions that meaningfully and dynamically support children in making math connections - Provides an overview of what children know about counting and operations, spatial relations, measurement and data, and patterns and algebra - Offers examples of informal documentation and assessment approaches that are embedded within classroom practice Deepen your understanding of how math is an integral part of your classroom all
day, every day. Includes online video!
The book explores various facets of transdisciplinarity in mathematics education and its importance for research and practice. The book comprehensively outlines the ways that mathematics interacts with different disciplines, world views, and contexts; these topics include: mathematics and the humanities, the complex nature of mathematics education, mathematics education and social contexts, and more. It is an invaluable resource for mathematics education students, researchers, and practitioners seeking to incorporate transdisciplinarity into their own practice.
Many K-6 teachers--and students--still think of mathematics as a totally separate subject from literacy. Yet incorporating math content into the language arts block helps students gain skills for reading many kinds of texts. And bringing reading, writing, and talking into the math classroom supports the development of conceptual knowledge and problem solving, in addition to computational skills. This invaluable book thoroughly explains integrated instruction and gives teachers the tools to make it a reality. Grounded in current best practices for both language arts and math, the book includes planning advice, learning activities, assessment strategies,
reproducibles, and resources, plus a wealth of examples from actual classrooms.
The "Write" Way Mathematics Journal Prompts & More, Gr.1-2 Games, Number Play, Writing Activities, Problem Solving, and Creative Math for All Ages
Nonfiction Writing Prompts for Lower Elementary Social Studies
Academic Language in Diverse Classrooms: Mathematics, Grades 6-8
Let's Play Math
The Effects of Math Journaling in an Elementary Classroom
Handbook of Research on Transforming Mathematics Teacher Education in the Digital Age
Make every student fluent in the language of learning. The
Common Core and ELD standards provide pathways to academic success through academic language. Using an integrated Curricular Framework, districts, schools and professional learning communities can:
- Design and implement thematic units for learning
- Draw from content and language standards to set targets for all students
- Examine standards-centered materials for academic language
- Collaborate in planning instruction and assessment within and across lessons
- Consider linguistic and cultural resources of the students
- Create differentiated content and language objectives
- Delve deeply into instructional strategies involving academic language
- Reflect on teaching and learning practices
- Evaluate student work and progress
- Plan for future instruction and assessment
- Continue to develop and refine the framework
learning
To help students communicate their mathematical thinking, many teachers have created classrooms where math talk has become a successful and joyful instructional practice. Building on that success, the ideas in *Why Write in Math Class?* help students construct, explore, represent, refine, connect, and reflect on mathematical ideas. Writing also provides teachers with a window into each student's thinking and informs instructional decisions. Focusing on five types of writing in math (exploratory, explanatory, argumentative, creative, and reflective), *Why Write in Math Class?* offers a variety of ways to integrate writing into the math
class. The ideas in this book will help you make connections to what you already know about the teaching of writing within literacy instruction and build on what you've learned about the development of classroom communities that support math talk. The authors offer practical advice about how to support writing in math, as well as many specific examples of writing prompts and tasks that require high-cognitive demand.
Extensive stories and samples of student work from K-5 classrooms give a vision of how writing in math class can successfully unfold.
The new emphasis in the Singapore mathematics education is on Big Ideas.
This book contains more than 15 chapters from various experts on mathematics education that describe various aspects of Big Ideas from theory to practice. It contains chapters that discuss the historical development of mathematical concepts, specific mathematical concepts in relation to Big Ideas in mathematics, the spirit of Big Ideas in mathematics and its enactment in the mathematics classroom. This book presents a wide spectrum of issues related to Big Ideas in mathematics education. On the one end, we have topics that are mathematics content related, those that discuss the underlying principles of Big Ideas, and others that...
deepen the readers' knowledge in this area, and on the other hand there are practice oriented papers in preparing practitioners to have a clearer picture of classroom enactment related to an emphasis on Big Ideas.
Describes the philosophy of the Daily 5 teaching structure and includes a collection of literacy tasks for students to complete daily.
Writing is Thinking
Exploring Ideas and information in the Content Areas
Strategies for K-6 Teachers
200+ Quick Prompts, Affirmations, and Reflections to Cultivate Gratitude, Growth Mindset, and a Love of Math
Connecting with Students Online K-5
Big Ideas In Mathematics: Yearbook 2019, Association Of Mathematics Educators
Presents a collection of nonfiction writing prompts for math, implementation ideas, and scoring guides.
ABSTRACT: This qualitative research study documents the observed and reported experiences of fourth grade math students and their teacher when math journals are implemented in their curriculum to increase student understanding and motivation to write in math class. In this study, the teacher explored the process of designing journal prompts, establishing a routine in the classroom where these journal
prompts were completed, and fostering motivation within the students to adapt to this new classroom routine. The author designed the study so that the students saw a purpose for each prompt, engaged the students in writing and sharing, and provided opportunities for students to work collaboratively using their journal entries. In order to maintain complete journal prompts, the author established a routine for writing, a connection to content being taught with journal prompts, and assistance when students needed prompting for their entries. The teacher engaged in dialogue with the students through the journals as well as feedback.
during group observations. The author discovered many of these implementations to be successful for the students in the classroom. Since the classroom contained a variety of diverse learners with different learning styles and needs, the author found that some students had different strategies that enabled them to be successful with their writing.
Key topics in the theory of real analytic functions are covered in this text, and are rather difficult to pry out of the mathematics literature.; This expanded and updated 2nd ed. will be published out of Boston in Birkhäuser Adavaned Texts series.; Many historical remarks, examples,
references and an excellent index should encourage the reader study this valuable and exciting theory.; Superior advanced textbook or monograph for a graduate course or seminars on real analytic functions.; New to the second edition a revised and comprehensive treatment of the Faá de Bruno formula, topologies on the space of real analytic functions, alternative characterizations of real analytic functions, surjectivity of partial differential operators, And the Weierstrass preparation theorem. Writing about math helps students clarify their own thinking while reinforcing what they have learned. Write Starts features a
variety of prompts encouraging students to log their thoughts, activities, and understanding of math. Categories include: -- Attitudes and Stereotypes -- Learning and Succeeding in the Mathematics Classroom -- Evaluation of the Learning Environment -- Problem Solving Logs allow easy monitoring of students' math comprehension and let teachers address issues that otherwise would be uncommunicated in the classroom. Blackline masters.
Applying Differentiation Strategies
Strategies for All Content Areas
A Primer of Real Analytic Functions
Love Math Journal
The "Write" Way Mathematics
The positive effect of writing is counterintuitive to what many educators believe to be true. However, when shown the data, teachers and administrators who start using nonfiction writing are quickly convinced of its value.
Discusses how writing can improve student's reasoning skills.
Are you looking for new ways to help your children learn math? In a math journal, children explore their own ideas about numbers, shapes, and patterns through drawing or writing in response to a question. Journaling encourages students to develop a rich mathematical mindset. They begin to see connections and make
sense of math concepts. They grow confident in their ability to think through new ideas. All they need is a piece of paper, a pencil, and a good prompt to launch their mathematical journey.
312 Things To Do with a Math Journal includes number play prompts, games, math art, story problems, mini-essays, geometry investigations, brainteasers, number patterns, research projects, and much more. These activities work at any grade level, and most can be enjoyed more than once. It doesn’t matter whether your students are homeschooled or in a classroom, distance-learning, or in person. Everyone can enjoy the experience of playing around with math.
Early Reviews from My Journaling Beta-Testers:
• "We really enjoyed these!"
• "I remember doing pages and pages of dull equations with no creativity or puzzle-thinking, but now as a homeschool mom,
I'm actually enjoying math for the first time! My daughter's math skills have skyrocketed and she always asks to start homeschool with math." • "Thank you for a great intro to Playful Math!" • "All of the kids were excited about their journals. My oldest kept going without prompting and did several more pages on his own." • "We had a lot of fun doing your math prompts. We had never done any math journaling before, but we will certainly integrate this into our weekly routine from now on." Pick up a copy of 312 Things To Do with a Math Journal and begin your family’s math journaling adventure today.
Learning Journals in the K-8 Classroom is the first comprehensive presentation of how to use academic journals effectively for elementary-level instruction. The text outlines the theoretical foundations for using learning journals and provides step-by-step suggestions for implementing them.
in every content area and at all levels of elementary instruction. Learning journals provide resources and support for reading aloud, independent reading, mini-lessons, cooperative study, individual research, workshops, and the portfolio system. The type of interactive writing students do in learning journals helps them explore complex ideas in the content areas, using their own strengths of analysis and response; the journals then become resources for future learning, group discussions, individual conferences, learning assessment, reports, and progress. Four introductory chapters show teachers how to create their own journals, introduce journals to students, integrate them with cooperative study, and use them for assessment. Additional chapters focus on the individual curriculum areas of literature, writing, mathematics, science, and social studies.
The text includes sample entries from student journals at all grade levels and in every content area, and appendices of annotated resources to support journaling and interviews with teachers who use journals in their classrooms.
Marvelous Math Writing Prompts
Writing to Learn Mathematics
Increasing Student Achievement Through High-performance Teacher Leadership
Write to Know: Nonfiction Writing
Prompts for Upper Elementary Math
Content Area Writing Prompts for Early Writers
Guided Math AMPED
What is Mathematics?
When the teacher tells her class that they can think of almost everything as a math problem, one student acquires a math anxiety which becomes a real curse.
You can't do it all ... and you don't have to try.
2nd Edition includes additional formative assessment tools and strategy toolbox for students. If you are looking for a way to help your students master the Common Core State Standards for Mathematics, this is it! Best of all, JUMP will complement ANY textbook or curriculum. JUMP: Journal for Understanding Mathematical Principles is a series of student math journals designed specifically to address the Common Core State Standards for Mathematics. The teacher-authors have analyzed and interpreted each Common Core State Standard for Mathematics to provide journal prompts that reflect what students need to know and be able to do at each grade level. Each edition also includes prompts for content vocabulary terms that are essential to understanding mathematical concepts at each grade level. JUMP deepens students' understanding of mathematical concepts while reinforcing
critical processes and proficiencies outlined in the CCSS Standards for Mathematical Practice. JUMP asks students to make sense of problems and persevere in solving them, reason abstractly and quantitatively, construct arguments and critique their work and the work of others, model with mathematics, and use mathematical tools. JUMP can be used in a variety of settings including whole group instruction, small group instruction, peer learning teams, partners, or individual learning. JUMP can be used for a variety of purposes including pre-assessment, formative assessment, summative assessment, guided practice, independent practice, homework, enrichment, intervention, evidence for parent/teacher conferences, or evidence for portfolios. JUMP can be used by a variety of educators including general education teachers, special education
teachers, teachers of English language learners, math resource teachers, summer school teachers, intervention teachers, or tutors. And, again, JUMP will complement ANY textbook or curriculum. The JUMP Student Editions are scaffolded from primary to upper grades. In Grades 1-3, Signal Words are written in color in the prompt to alert students that a task must be performed. These words also are included in corresponding color-coded response boxes. In Grades 4-5, Signal Words(tm) are written in color in the prompt and there are color-coded response boxes, but at these grade levels the Signal Words(tm) are not included in the boxes. The JUMP Teacher's Guides for each grade level are sold separately. The Teacher's Guide contains tips and general directions for using the journals. Also included are full copies of the student journal pages and helpful scoring guides. To assist teachers
with lesson planning, the specific Domain, Cluster, and Standard being addressed are also provided for each prompt. The authors of JUMP are veteran teachers who collectively have more than 60 years of teaching experience. They bring their knowledge of curriculum and instruction along with their compassion for children and have created a product that will have your students understanding and talking and writing about mathematics.
A discussion of fundamental mathematical principles from algebra to elementary calculus designed to promote constructive mathematical reasoning.
Five to Thrive [series]
Journal for Understanding Mathematical Principles
Why Write in Math Class?
312 Things To Do with a Math Journal
Teacher's Handbook for Grades 3-5
The Pencil Scholars Series:
Passion cannot be faked.
Students can tell when we're just going through the motions. But how can you summon the energy to teach with passion when there are so many distractions pulling you from what really matters? And if you barely have time for taking care of yourself, how can you have anything left to give your students? Don't wait for teaching to become fun again: plan for it! Your enthusiasm will become unshakeable as you learn how to: -Create curriculum "bright spots" that you can't wait to teach -Gain energy from kids
instead of letting them drain you - Uncover real meaning and purpose for every single lesson - Incorporate playfulness and make strong connections with kids - Stop letting test scores and evaluations define your success - Construct a self-running classroom that frees you to teach - Say "no" without guilt and make your "yes" really count - Establish healthy, balanced habits for bringing work home - Determine what matters most and let go of the rest - Innovate and adapt to make teaching an adventure
Unshakeable is a collection of inspiring mindset shifts and
practical, teacher-tested ideas for getting more satisfaction from your job. It's an approach that guides you to find your inner drive and intrinsic motivation which no one can take away. Unshakeable will help you incorporate a love of life into your teaching, and a love of teaching into your life. Learn how to tap into what makes your work inherently rewarding and enjoy teaching every day...no matter what.
"Writing is Thinking examines the role writing plays in the transition from learning to write to writing to learn"--Offers strategies and practical tools to integrate writing
assignments into math, science, art, and social studies.
The "Write" Way Mathematics Journal Prompts & More, Gr.1-2CRDG
The Effects of Math Journaling in an Elementary Classroom
Productive Math Struggle
Write Starts
An Elementary Approach to Ideas and Methods
Fostering Literacy Independence in the Elementary Grades
JUMP 1 Teacher's Edition
The Young Child and Mathematics, Third Edition
Your guide to grow and learn as a math teacher! Let’s face it, teaching
elementary math can be hard. So much about how we teach math today may look and feel different from how we learned it. Today, we recognize placing the student at the center of their learning increases engagement, motivation, and academic achievement soars. Teaching math in a student-centered way changes the role of the teacher from one who traditionally "delivers knowledge" to one who fosters thinking. Most importantly, we must ensure our practice gives each and every student the opportunity to learn, grow, and achieve at high levels, while providing opportunities to develop their agency and authority in the classroom which results in a positive math identity. Whether you are a brand new teacher or a veteran, if
you find teaching math to be quite the challenge, this is the guide you want by your side. Designed for just-in-time learning and support, this practical resource gives you brief, actionable answers to your most pressing questions about teaching elementary math. Written by four experienced math educators representing diverse experiences, these authors offer the practical advice they wish they received years ago, from lessons they’ve learned over decades of practice, research, coaching, and through collaborating with teams, teachers and colleagues—especially new teachers—every day. Questions and answers are organized into five areas of effort that will help you most thrive in your elementary math classroom: 1.
How do I build a positive math community? 2. How do I structure, organize, and manage my math class? 3. How do I engage my students in math? 4. How do I help my students talk about math? 5. How do I know what my students know and move them forward? Woven throughout, you’ll find helpful sidebar notes on fostering identity and agency; access and equity; teaching in different settings; and invaluable resources for deeper learning. The final question—Where do I go from here?—offers guidance for growing your practice over time. Strive to become the best math educator you can be; your students are counting on it! What will be your first step on the journey? |
President’s Ponderings
As I pondered what I wanted to share for this article, I was reminded of our purpose. I have thought back on 2022 on how I lived this purpose.
As a citizen in the United States, I have no restrictions on my ability to know God and to experience freedom. However not all women have this luxury even in the United States. Therefore, the United Women in Faith remind of injustices happening around us so we can learn to develop creative and supportive fellowship. This might be a smile in the store or assistance with electronic media.
We have been encouraged by our national leaders to be vocal. United Women in Faith has been a way for me to have conversation with women who I do not go to church with. Women outside my social circle. I have learned we have a great deal in common and if we come together in the Lord’s name great things will happen. The Sybil Smith Family Village in Mobile embodies the purpose and mission of the United Women in Faith by helping women, children and youth find their way toward a better life.
So for 2023, we must continue to grow as women and support the mission with our time and our money. Our pledge for 2022 is going to be short which will affect our ability to make a change. As you, a local unit or circle of women are planning for 2023, let’s get creative in fund raising. Also look at the women you see at each meeting and pray for them to answer the call to lead or serve on a committee. Reach out to the young members of the church with a card mailed with a personal invitation to participate. We must be creative and supportive, listening to suggestions and giving new ideas a try.
Again Jesus said, “Peace be with you! As the Father has sent me, I am sending you” – John 20:21
Lets close out 2022 with this scripture in our minds and on our hearts,
Michele Smith
President, 2021-22
South West District United Women in Faith
Secretary’s Scribbles
Wrapping it Up
We’re nearing the end of the year, and this may mean the end of your term as Secretary. Regardless of whether you are returning or not, you did it!
Hopefully you learned a lot throughout your position as UMW Secretary. Now you get to pass on the knowledge or plan for the next year. This is a good time to gather up your meeting notes for the year and discuss with your President anything she may want filed or archived. Use this time to prepare a basic ‘Flow Chart’ for the incoming Secretary – or for yourself as a helpful tool for another term.
Thank you for your part in supporting as a leader in United Women in Faith. Your time, minutes, and organization are greatly appreciated. You are now worthy of a much-deserved holiday break!
Marcie McNeal
Secretary, 2021-22
South West District United Women in Faith
firstname.lastname@example.org
251-509-6062
I know you all are thinking about the wonder and busy-ness of the fourth quarter of the year! We enjoy fall temperatures (mostly), Thanksgiving, Christmas and winding down our UWF meetings and fundraisers.
PLEASE NOTE THAT I HAVE AN ADDRESS CHANGE:
Sally Pehler
PO BOX 1435
Point Clear, AL 36564
email@example.com 251490-4717
I have received several checks at our previous address. The new owners of our house are lovely and will hold our mail, sometimes for several weeks before calling me; so if I do not deposit your check quickly, that is the reason why.
Please know that when you read this article, you will probably only have around two weeks to get your final money and reports turned in.
With the end of the year quickly approaching, it is time to dig deep in our units so that we can end the year strong. At the present moment, we have 53% of our goal - $13,245.60 of our $24,575.00 goal thanks to only 8 of 18 units that have given this year. We have 10 units that have not given this year. If you know someone at these churches, please let Michele or me know if there is anything that we can do for them to help.
Dauphin Way Grove Hill New Hope Pine Grove Springhill Avenue
St John St Mark St Mary’s Theodore 1st Wesley Chapel
We have a month to meet our $24,575 goal and we have a little less than $11,000 to go. Please discuss with your units their plans for reaching the goals of the 5 Channels of Mission Giving. We have four (4) churches that have met these goals. If you want to know what areas are needed for you to meet these goals, please do not hesitate to contact me.
Lastly, please get your names/money to me for special recognition pins. They have been shipping quickly, but I know that the end of year rush will slow them down. Let's have a fourth quarter push and finish strong.
Sally Pehler
Treasurer, 2021-22
South West District United Methodist Women
2023-24 Officers Elected & Installed
The following Officers were elected and installed for the 2023-24 biennium:
- President – Michele Smith
- Secretary – Marcie McNeal
- Mission Coordinator for Social Action – Ginger Sorenson (in absentia)
- Communications Coordinator – Susan McRae
Currently in our district we also have openings for Vice President as well as Mission Coordinator for Education and Interpretation, and 2 positions on the Nominating Committee. A Talent Bank form is available at https://www.awf-umw.org/forms.
Education and Interpretation
Mission Giving: This report highlights your mission dollars at work in Ukraine. United Women in Faith continues to assist our partners in Ukraine with emergency food, hygiene items, blankets, psychological support, facilitation of self-help groups, and more. The October 25th Voices From The Field was the latest update from Women’s Peace Dialogue Platform members as they continue to work tirelessly and report from Ukraine and other neighboring countries.
What began as an effort by United Methodist Women in 2015 to bring Ukrainian and Russian women together to talk peace, has evolved into a permanent regional forum called the Women’s Peace Dialogue Platform. The members spoke about the situation, support, and actions of this unique forum at our Voices on Ukraine event in March 2022.
These courageous women spoke again on how your Mission Giving helps the people of Ukraine persevere under continuous bombardment and shelling. You may listen to the recorded event at https://uwfaith.org/resources/podcasts/, to learn first-hand information about what is happening on the ground, how the Women’s Peace Dialogue Platform members are helping in a real war situation, and why women’s inclusion in all peace processes is more critical than ever.
Our Purpose
United Women in Faith shall be a community of women whose purpose is to know God and to experience freedom as whole persons through Jesus Christ; to develop a creative, supportive fellowship; and to expand the concepts of mission through participation in the global ministries of the church.
Your Reading Program and Mission Today Unit reports are due to your unit president by November 15 to include on the unit president’s consolidated report.
The 2023 Reading Program Catalogue is available at https://www.umwmissionresources.org/downloads/. All program books from the 2018-2023 lists will be eligible for 2023 if you haven’t previously reported them.
Please contact me for clarification or assistance with reports.
Joyce Genz
Education and Interpretation
AWF-UMW Conference Coordinator, 2021-22
Membership Nurture and Outreach
Have you ever kept a prayer journal? It’s a wonderful way to express yourself graphically rather than mentally. Write your prayer requests and date them; then days, weeks or months later go back and reread them. See how many requests have been answered and how they were answered. Though it may be a challenge to sustain this daily practice, it is so therapeutic! Just try it!
Creating is another method of self-expression – a poem, a painting, handwork, a floral arrangement, or even a delightful and delicious food item – all representations of creativity contribute to contemplation.
Participation in Christian women’s retreats – like the recent Spiritual Enrichment gathering at Blue Lake or those involving local churchwomen – opens the door to changes in heart and mind by exposing vulnerabilities to others who are seeking a closer relationship with Jesus.
In Ezekiel 36:26, God says, “I will give you a new heart and put a new spirit in you.” That, too, is what United Women in Faith is trying to exude. As Christian women, we all believe in the power of our Lord, in self-expression and in revealing our strengths and weaknesses to help others. But how far and wide do we really “Do It”?
As Membership Nurture and Outreach Mission Coordinator for our District, I witness and am constantly amazed at the wonderful results that are manifested by the activities of the District and the units, and I am motivated to help spread that enthusiasm further. Reaching out to those in need, nurturing others and ourselves in a variety of ways are goals that we all need to work towards. Let’s go forth with a newly expressive heart and renew our spirits! And let’s go BOLDLY!
Stephanie Bromley
Membership Nurture and Outreach Coordinator 2022-23
South West District United Women in Faith
Social Action
From UMC.org Paragraph 124 of the Discipline
A reminder of what we stand for as a church.
As servants of Christ we are sent into the world to engage in the struggle of justice and reconciliation. We seek the love of God for men, women and children of all ethnic, racial, cultural, and national backgrounds and to demonstrate the healing power of the Gospel with those who suffer.
From Uwfaith.org
We are driven by God’s love and united in sisterhood, we work to improve the lives of women, children and youth. Every day we show up. We take action.
As stated by our discipline we work to improve the lives of children of all ethnic, racial, cultural, and national backgrounds.
Ginger Sorenson
Social Action Coordinator, 2022
South West District United Women of Faith
Spiritual Enrichment
We had a lovely Spiritual Enrichment Retreat for the South West District, on October 29, 2022, at Pine Hill United Methodist Church with 23 members present. I want to thank each person who made the trip to Pine Hill.
After an opening devotional and prayer by Pastor Randall Jackson of the Pine Hill UMC Charge, we followed up with our business meeting, installation of Officers, and an extremely important and informative presentation by our guest speaker.
Mrs. Renae Carpenter of Camille Place in Monroe County, shared shocking and unimaginable facts about human trafficking in our state and even within our area. Although this may normally fall under Social Action, I felt it was important to keep these victims and social workers in our prayers continually.
God gives us each a special gift. Through Him we can move mountains! Let us not forget that human trafficking of all kinds is still a multibillion-dollar industry in the US and worldwide. And our thoughts and prayers to fight against this evil will never be unheard by our Savior.
Our scripture for the retreat was John 20:21. Again he said, “Peace be with you. As the Father has sent me, so I am sending you.” Let us continue to lean on our faith and through each other to see where and how God will lead us. The beautiful thing about being a member of United Women in Faith is that our sisterhood is strong, but our faith is stronger! I pray you never feel like you are facing any battle alone. We are all here for you and we are always in prayer for each one of you, your local units, and our district. We are in this together as they say, and I can’t wait to see where God leads this organization next.
We ended the day with a wonderful time of fellowship over a “simply salad” lunch, with different types of salads, and desserts which were all simply scrumptious, thanks to the ladies of the Pine Hill Charge UWFaith!
I hope to see more of you at next year’s South West District Spiritual Enrichment event!
Anne Capps
Spiritual Enrichment Coordinator, 2022-23
South West District United Women in Faith
Subscribe to response Magazine in digital or print format at https://www.umwmissionresources.org/shopping_product_detail.asp?pid=53525
To download information about the Reading Program use https://www.umwmissionresources.org/downloads/ReadingProgramCatalog2021.pdf
SOUTH WEST DISTRICT UNITED WOMEN IN FAITH
ALABAMA-WEST FLORIDA CONFERENCE
2022 DISTRICT AND CONFERENCE CALENDAR
JAN 15 AWF-UWFaith Conference Executive Mission Team Meeting Virtual
XTeam Officers & District Presidents
JAN 29 Mobile District Mission Team Meeting Citronelle UMC
FEB 19 AWF-UMW Conference Annual Day Marianna First UMC
MAR 19 District Annual Day Grove Hill UMC
MAY 20-22 ASSEMBLY 2022 Turn it UP! Orlando Convention Center
JUNE 11 District Mission Team Meeting (2022 Budget Meeting) St. John UMC
JULY 16 AWF-UMW Conference Executive Mission Team Meeting Enterprise FUMC
JULY 23-24 Cooperative Mission u Aldersgate UMC
AUG 27 District Mission Study Theodore UMC
OCT 7-8 AWF-UMW Spiritual Enrichment Retreat Blue Lake Assembly Grounds
OCT 29 District Spiritual Enrichment Day Pine Hill UMC
NOV 5 Training for District Presidents and Treasurers via ZOOM
NOV 16 District Mission Team Meeting via ZOOM
Podcasts are an excellent source of informative, thoughtful interactions that are easy listening and have added benefits. Get podcasts at – https://uwfaith.org/resources/podcasts/
Faith Talks
A United Women in Faith Podcast
Hear some of response Magazine’s best stories at Responsively Yours
Voices from the Field
Our Giving at Work in the World
Where do our mission dollars go?
Find out at Voices from the Field. |
Bridging the Digital Divide with Aviation in the Stratosphere
HAPS Flight Test Results Show Path to Unlock Stratospheric Communications
Introduction
In 2019 and 2020, HAPSMobile Inc. (“HAPSMobile”), a HAPS Alliance member, conducted test flights and communication trials using “Sunglider,” an unmanned aircraft that is planned to be used as a stratospheric communications platform. The tests carried out were very helpful in determining the potential of a High-Altitude Platform Station (HAPS) and the benefits related thereto.
This White Paper is a compilation of the test details, presented with the intention of actualizing the practical application of HAPS. The main body consists of seven chapters. The first chapter is an introductory section describing an overview of HAPS and Sunglider. The second and third chapters discuss the details and results of the Sunglider test flights. Chapters 4, 5 and 6 are devoted to providing the details and results of the communications tests conducted using communications equipment mounted on Sunglider. Chapter 7 gives examples of similar undertakings carried out by other members of the HAPS Alliance, an association of cross-industry players working to enable a HAPS ecosystem and Chapter 8 offers concluding remarks.
In 2020, Loon LLC (“Loon”), a HAPS Alliance member, published a report\(^1\) on its own HAPS project. The companies involved in HAPS projects have been proactively disseminating information, including this White Paper, with the intention of helping the stakeholders better understand the possibilities for HAPS and further increase interest in achieving practical application. At the same time, we are advocating for the support of international organizations and national governments for the improvement of underlying aerospace/telecommunications frameworks for HAPS.
\(^1\) Loon LLC（2020）THE STRATOSPHERE HIGH ALTITUDE, HIGHER AMBITIONS
(https://kstatic.googleusercontent.com/files/700fe7484ef075b986715faaa846f183be7e952c65e49bf75256c287cd1721451b2762b327a50f58a3b1589e37e52324767c67796a4b8d9f6139017233c4987)
# Table of Contents
**Chapter 1. Introduction**
- Section 1. About HAPS ................................................................. 4
- Section 2. SoftBank’s HAPS Project ............................................. 5
- Section 3. History of Sunglider .................................................... 6
- Section 4. Sunglider Overview ...................................................... 8
**Chapter 2. Sunglider Test Flights**
- Section 1. Executing Low-altitude Test Flights .......................... 9
- Section 2. Preparations for High-altitude Test Flight ................... 9
- Section 3. Tests Prior to High-altitude Test Flight ....................... 10
- Section 4. Successful High-altitude Test Flight .......................... 10
- Section 5. Review of Test Results ............................................... 11
**Chapter 3. HAPS Project Flight Challenges and Measures Moving Forward** ........................................ 12
**Chapter 4. Preparations Prior to Communications Tests**
- Section 1. Payload Development .................................................. 13
- Section 2. Network Structure at Spaceport America ................... 15
- Section 3. Terrestrial Gateway Construction ............................... 15
- Section 4. Experimental License (Frequency) Acquisition ........... 16
**Chapter 5. Details and Results of Communications Tests**
- Section 1. Details of Main Communications Tests ...................... 16
- Section 2. Communications Speed Results ................................. 18
- Section 3. Ping Test Results ......................................................... 18
- Section 4. Making a Video Call ..................................................... 19
- Section 5. Review of Test Results ............................................... 19
**Chapter 6. HAPS Project Communication Challenges and Measures Moving Forward** .................. 20
**Chapter 7. Similar Initiatives by Other HAPS Alliance Members**
- Section 1. Raven Aerostar ......................................................... 20
- Section 2. Airbus Zephyr ......................................................... 22
- Section 3. Sceye ................................................................. 22
- Section 4. Loon ................................................................. 23
**Chapter 8. Conclusion** ................................................................. 25
Chapter 1. Introduction
Section 1. About HAPS
HAPS is an acronym for High-Altitude Platform Station, which is a system that utilizes an unmanned vehicle, such as an aircraft, flying in the stratosphere as a communications base station. In doing so, the system is capable of providing communications services over an extensive area. The stratosphere is a layer of the atmosphere far above the clouds. Because of this, it is not affected by rain or snow and air currents have little influence. These characteristics enable the flight of a stratospheric platform to be more stable as compared to flight in other layers of the atmosphere.
HAPS can provide a wide array of services which include connectivity, earth, atmosphere and climate monitoring, disaster response, mapping and humanitarian missions, search and rescue, infrastructure inspection, and more. HAPS can either be stationary (or quasi-stationary), or be mobile across large regions (e.g. for survey missions).
In the field of telecommunications, HAPS is classified as a non-terrestrial network, equivalent to that of geostationary and low-earth-orbit satellites. This new network system is capable of covering a wider area more efficiently when compared to traditional ground base stations. It is also unaffected by damage caused by disasters such as earthquakes and tsunamis.
HAPS can be divided in two categories: Lighter-than-Air platforms (LTA) use buoyancy to sustain flight, and Heavier-than-Air platforms (HTA) (e.g. fixed wing aircraft) which use aerodynamic lift forces to remain airborne.
HTA has the strength of high operability during flight. In particular, small- to medium-sized platforms are easy to operate, and hence, currently there are number of companies developing platforms of this scale. On the other hand, larger platforms are more difficult to meet the level of safety. While being more difficult to develop, larger aircrafts are capable of reaching their destinations faster than their smaller counterparts, as well as providing ample electricity to power the communications devices and sensors mounted on the aircraft; this is because the relatively large area of solar panels attached to their wings can generate more power.
Lighter-than-Air-Platforms can generate very large amounts of lift, enabling to carry heavy payloads. Their designs scale-up relatively easily to carry larger payloads, as their buoyancy is proportional to the cube of their dimension, while sustaining level flight does not require
any energy (making them inherently safe) LTA platforms have typically higher drag profiles than their HTA counterparts. For this reason, many LTA platforms are wind-driven: they navigate using altitude changes to leverage adequate wind currents, assisted by Assistive Impulse Devices (AID) which can be turned on to provide motion relative to the air.
It is no exaggeration to say that the advancement of HAPS depends on improving the performance of battery cells and solar panels. In recent years, substantial improvements in battery capacity and solar panel power-generation efficiency have enabled aircraft to rise to the stratosphere and fly there longer. Going forward, battery capacity and solar panel power-generation efficiency are expected to continue to improve. In line with these trends, it is anticipated that HAPS systems, too, will make further progress. It is safe to say that the HAPS is guaranteed to become vital infrastructure for humankind.
Section 2. SoftBank’s HAPS Project
SoftBank Corp. (“SoftBank”) aims to bridge the global information gap by utilizing state-of-the-art technologies under the corporate philosophy of “Information Revolution – Happiness for everyone.” The company believes that the Internet of Things (IoT), big data, and artificial intelligence (AI) will be key factors in realizing the Information Revolution.
In order to advance these key technologies, significant improvement in telecommunications network connectivity is required. Furthermore, when electric vertical take-off and landing (eVTOL) vehicles, often referred to as “flying cars,” and drones enter practical use, the enhancement of non-terrestrial networks will be needed so that radio waves can be emitted into the air more efficiently than traditional ground base stations are capable of doing. In light of these prospects, SoftBank is promoting HAPS.
It is said that approximately 3.7 billion people have no access to the Internet today\(^2\), and SoftBank aims to eliminate this kind of digital divide and expand the Information Revolution to every corner of the globe.
In 2017, SoftBank entered into a joint venture with AeroVironment, Inc. (AeroVironment) and established HAPSMobile Inc. HAPSMobile is currently proceeding with the ongoing development and commercialization of Sunglider, a large fixed-wing HAPS.
The aim of the SoftBank HAPS project is to accelerate effort towards commercialization, with the target of beginning the mass-production of aircraft in 2027. The objective is to provide communications network services from the stratospheric HAPS to extensive areas, including sparsely districts, around the world. From the stratosphere, the last frontier for humanity, HAPS is designed to provide communications network services using solar power only. This project can be considered an extremely ambitious undertaking, which happens to also be in line with the Sustainable Development Goals (SDGs) advocated by the United Nations.
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\(^2\) Source: Statista “Number of Internet Users Worldwide from 2005 to 2018”
Section 3. History of Sunglider
The history of Sunglider that HAPSMobile is developing goes back as far as the 1970s. Dr. Paul B. MacCready, Jr., known as the father of human-powered flight, founded AeroVironment in 1971. His aim was to develop human-powered aircraft capable of highly efficient flight by increasing wingspan and the sincere pursuit of lighter airframes. Since its founding, AeroVironment has become a global leader in intelligent, multi-domain robotic systems and serves a variety of defense, government and commercial customers.
Dr. MacCready successfully developed the “Gossamer Condor,” the first human-powered aircraft capable of being controlled and maintaining flight for a significant period of time. This aircraft successfully performed a figure-eight flight in 1977 and was awarded the Kremer Prize, which honors innovative human-powered aircraft. Then in 1979, the “Gossamer Albatross” was developed and successfully achieved human-powered flight across the English Channel winning the second Kremer prize. It was the Gossamer Albatross that became the benchmark for the basic structure of the airframe.
The Gossamer Albatross further evolved into the “Gossamer Penguin,” a solar-powered aircraft. It was eventually succeeded by a full-scale model, the “Solar Challenger,” which flew across the English Channel in 1981. The basic technologies utilized were passed on, resulting in the development of the “Pathfinder” and “Helios” HAPS aircrafts, flying wings without a tail section, and eventually, the development of Sunglider.
Gossamer Condor
Gossamer Albatross
Gossamer Penguin
Solar Challenger
Pathfinder
Helios
Provided by AeroVironment Inc./Mr. Don Monroe
Section 4. Sunglider Overview
Sunglider is a world-class HAPS unmanned aircraft developed by HAPSMobile. Its major feature is that it has no tail section, like Pathfinder and Helios, which minimizes induced resistance at the wingtips, thus enabling efficient flight.
Additionally, meticulous planning ensued in order to reduce the weight of the airframe. As a result, despite its large size, Sunglider is capable of flight over an extended period of time.
The future use of Sunglider is illustrated below. A ground crew will control it visually when taking off from an airport. It will then gradually climb to the stratosphere while circling over the airport. Once it has reached the stratosphere, operation will be supervised remotely via a satellite command and control link. After reaching the destination, it will remain there circling at a fixed point in the sky. At this point in time, it will begin providing service as a network for terrestrial communications.
Sunglider is powered by solar energy. During the daytime, it generates electricity using the solar panels attached on the top of its wing. Using this solar energy, its propellers turn and communication devices mounted on the airframe are powered. At the same time, any surplus energy is stored in battery cells mounted in the airframe. As the stratosphere is located above the clouds, stable power generation is ensured during the daytime. At night, the propellers are kept turning by consuming the energy stored during the daytime. This is how it is planned to maintain continuous flight in the stratosphere for approximately six months.
Sunglider operation example
Provided by HAPSMobile Inc.
Chapter 2. Sunglider Test Flights
Section 1. Executing Low-altitude Test Flights
On September 11, 2019, after passing strict airworthiness assessments stipulated by the National Aeronautics and Space Administration (NASA), HAPSMobile successfully conducted test flights at the Armstrong Flight Research Center (AFRC) in California, USA, doing so without experiencing difficulties.
During the low-altitude flights, everything proved to work as calculated. Both take-off and landing were also stable, demonstrating that Sunglider experiences no problems during the flight. Later, another low-altitude test flight was carried out. The flight data was later used for various tuning aspects, helping to achieve enhanced stability in later flights.
Section 2. Preparations for High-altitude Test Flight
Following the successful low-altitude test flights that verified basic safety, HAPSMobile took the next steps required to prepare for high-altitude test flights. Spaceport America (SpA), located in New Mexico, USA, was chosen as the venue. Ahead of transporting the aircraft, the airport’s facilities were reserved and prepared for exclusive use. As a stratospheric flight tends to be a long-hours mission, various facilities were also prepared for the crew, making certain that appropriate measures had been taken and everything was in place.
In particular, the training of the crew was important. Detailed procedures for the entire mission were written down. Flight simulators were used, and all crew members participated in repeated training sessions. Additionally, in the event of an unforeseen situation occurring during the mission, various emergency procedures were formulated, followed by a series of training sessions. A crash-landing site in the case of an emergency was also setup, ensuring everyone was prepared to deal with any problem swiftly.
An attempt was made to be aware of the lower- and upper-air conditions around the airport. Ahead of the flight, a weather balloon and various meteorological observation equipment were used to gain a clear understanding of the unique weather patterns in the region. For example, an attempt was made to learn how strong the jet streams are and where the upper-air temperature is extremely low. We then tried to predict them so that we would be able to cope with such demanding conditions during the forthcoming stratospheric flight.
Additionally, in the wake of the COVID-19 pandemic, we practiced physical distancing inside the Ground Control Station to ensure the safety of the crew, even procuring an additional trailer in order to practice social distancing among operation systems.
Section 3. Tests Prior to High-altitude Test Flight
In May 2020, HAPSMobile assembled Sunglider that had been transported to SpA for the test flight. After arrival, all ground-based testing of the airframe was successfully carried out, including functional testing, and apron and runway tests. As part of the last series of tests, Sunglider was subjected to an airworthiness assessment conducted by the Airworthiness Review Board (ARB), which it passed.
Prior to the high-altitude flight, another low-altitude test flight was conducted on July 23, 2020. During this flight, in addition to the tests performed previously, basic flight performance and functions for a stratospheric flight were checked and data was recorded throughout the flight. The low-altitude test flight was completed successfully, confirming that Sunglider was an airplane capable of achieving stratospheric flight without a problem.
Section 4. Successful High-altitude Test Flight
In mid-September 2020, after studying forecasts for near-ground weather and jet streams and atmospheric conditions above, HAPSMobile decided to conduct the first stratospheric flight on September 21. Finishing touches on the aircraft were completed and the crew was prepared for the big day.
On September 21, the weather was exemplary, with no meteorological issues as expected. Accordingly, HAPSMobile proceeded with the planned stratospheric flight. Expecting the aircraft to return on the next day, weather balloons were launched on a periodic basis in an effort to monitor weather conditions continuously and ensure flight safety at all times. Sunglider took off at 5:16 a.m., before beginning the planned test flight system check. As it climbed, the system was checked as it reached every predetermined altitude. At 1:57 p.m. on the same day, Sunglider finished passing through the troposphere and entered the
stratosphere. It continued its ascent, reaching a maximum altitude of 62,500ft (approximately 19km). It also achieved the world’s first delivery of LTE connectivity while flying a constant pattern in the stratosphere. During the high-altitude test flight, it also completed a mission consisting of approximately 200 requirements, such as a sharp turn, changing speed, and auto-pilot control. Subsequently, it descended out of the stratosphere at 7:35 p.m. and began preparing to land. Throughout the flight, Sunglider was subjected to various demanding conditions, including wind speeds up to 58 knots (30m/s) and temperatures as low as -73°C. Nevertheless, it maintained its course within the planned flight zone and completed the flight safely.
At 1:32 a.m. on September 22, Sunglider landed safely. The total flight time was 20h 16min, and its stay in the stratosphere lasted 5h 38min.
*Time and date are US Mountain Standard Time
Section 5. Review of Test Results
This test flight confirmed that the airframe is a robust, has sufficient safety margin for unexpected situations.
Additionally, stratospheric flights cannot be made without passing through a very low temperature zone during ascent and decent. During this test flight as well, the aircraft travelled through a zone where the temperature fell to as low as -73°C. Despite the extreme temperatures seen, the design of the aircraft and equipment allowed for the mission to be accomplished and for a subsequent safe return of the aircraft. There were also concerns that strong winds, including the jet stream, may force the aircraft off course. Despite the fear however, in addition to Sunglider’s superb flight performance, appropriate steps taken by the operating crew and ongoing computation ensured that the mission was executed within the planned area at all times. Moreover, LTE connectivity was successfully delivered by perfectly maintaining the originally planned flight course.
As reported above, the stratospheric flight was successful and significant results were obtained. Due to the COVID-19 pandemic in 2020, extra time was required for preparations in order to prevent infection. In particular, careful anti-infection measures had to be implemented as a number of people often had to be close to each other during the operation and maintenance of the aircraft. However, the entire mission was accomplished without a single case of infection owing to appropriate anti-coronavirus measures. This is also one of the significant results taken away from the test flight. In the future, when the commercialization phase of Sunglider gathers momentum, these anti-infection measures will be helpful for constructing a flight system that can function properly, even at times of emergencies.
Going forward, we will continue to pursue improvements to the airframe concept for Sunglider. At the same time, we will demonstrate a longer-period flight in the stratosphere, with the aim of contributing to the advancement of technologies required for HAPS, such as those for solar panels and battery systems.
Chapter 3. HAPS Project Flight Challenges and Measures Moving Forward
While HAPS operators have obtained approval for test flights, there are currently no established, internationally recognized, regulatory pathways for HAPS to operate in the stratosphere. In order to achieve the commercial use of HAPS systems in the near future, it is imperative that a regulatory framework, suitable for HAPS operations, be developed. To this end, the HAPS Alliance and its members are partnering with regulators across the world and the International Civil Aviation Organization (ICAO) to develop the multiple elements necessary for HAPS operations at scale:
• An internationally consistent Collaborative Traffic Management concept for Higher Airspace operations.
• A risk-based and performance-based safety framework for HAPS and pathway to operation approval
• A route towards Attended Autonomous Fleet operations
It is also important to analyze and clarify meteorological phenomena in the troposphere and stratosphere as a means of contributing to the safe flight of HAPS aircraft. In our recent high-altitude test flight, almost all of the atmospheric data collected was as we had expected, based on the pre-flight forecasts and additional in-flight data that were obtained. However, in order to better understand the air conditions during decent, it was necessary for us to periodically launch weather balloons after the aircraft had taken off. There is currently a shortage of global meteorological data, as the number of locations that deploy weather balloons on a regular basis is sparse. We recognize that sharing meteorological information is one of the industry-wide issues for those involved in HAPS projects, as well as being required for improving the meteorological observation framework.
In order to address these issues, we are proposing that the analysis and clarification of stratospheric weather conditions be carried out by the HAPS Alliance as a whole. In cooperation with meteorological authorities in respective countries, a global platform should be established for obtaining meteorological data in the troposphere and stratosphere.
Chapter 4. Preparations Prior to Communications Tests
Section 1. Payload Development
Here “payload” collectively means the equipment mounted on an unmanned aircraft, including communications devices, cameras and measuring instruments. In this section, it specifically refers to communications equipment used for a cellular phone network base station.
Payloads must be developed based on the assumption of being able to function in all environments from the ground to the stratosphere, the point from which services are delivered. Among all of the requirements, resistance to significant changes in temperature and air pressure is paramount. In addition, as the payload is to be mounted on a lightweight unmanned aircraft powered by solar energy, power consumption and weight need to be minimized. Payloads also need to be resistant to the vibration unique to lightweight unmanned aircrafts in order to provide a reliable signal.
To collect the data used in the development payloads capable of providing commercial services while functioning under various circumstances, HAPSMobile first conducted a variety of different tests on the ground using a prototype payload. (Images below are examples of ground-based tests.)
Vibration Test (Follow-up Test)
Heat Resistance Test (Cooling Test)
EMI/EMC Test
Mounting Test
Provided by Loon LLC/HAPSMobile Inc.
Section 2. Network Structure at Spaceport America
For the test flight at Spaceport America, the payload transmitted service link (LTE) radio waves earthward to be received by smartphones. HAPSMobile secured two frequency bands to be used as the feeder link for transmitting data from the smartphones to terrestrial Internet lines, enabling the feeder link to operate with main and sub-channels and thereby having structure redundancy. Two more frequency bands were allocated exclusively for controlling the payload and data collection.
Section 3. Terrestrial Gateway Construction
A ground gateway serves as the hub that connects a ground base station and a HAPS. For the test flight at Spaceport America, a shipping container was temporarily transformed into a ground gateway (shown below). Feeder link antennas were installed on the roof of the container to conduct the communications test.
Section 4. Experimental License (Frequency) Acquisition
In preparing for the payload testing to be conducted during the test flight at Spaceport America, New Mexico, HAPSMobile obtained an experimental license for the service link from the US government (i.e., Federal Communications Commission, FCC). With Spaceport America being located adjacent to the White Sands Missile Range ("WSMR"), a US military installation, all of the frequencies to be used during the test were reported to WSMR authorities, and permission to use them received prior to beginning the test. The frequency bands used are listed below.
• Service Link (Band28 (700MHz band))
After conducting research on mobile network operators (MNOs) who were using Band28 at the time, as well as vacancies in other frequency bands, this bandwidth was chosen after receiving the consent of the MNOs and prior to applying for permission of the FCC. In order to obtain FCC permission, proof of receiving the prior consent of the MNOs, the possible impacts of frequency interference, and the specifications of the wireless equipment to be used had to be provided. Spaceport America is located approximately 200km from the US-Mexican border as the crow flies. The FCC was concerned about causing interference in the neighboring country; but following an explanation from a technological perspective proving that there would be no problem, negotiations concluded and a license was granted.
• Feeder Link (70-80GHz band)
This frequency band, which had already been licensed by the FCC to Loon, was utilized.
• Feeder Link (5.8GHz band)
A license-free Wi-Fi frequency band was used.
• Payload Control & Data Collection Channel (902-928MHz)
An ISM band was used.
• Payload Control & Data Collection Channel (1200-1700MHz)
Iridium Certus was used.
Chapter 5. Details and Results of Communications Tests
Section 1. Details of Main Communications Tests
HAPSMobile conducted a wide variety of communications tests at Spaceport America in addition to the Sunglider test flight. In this White Paper, a focus is placed on communications speed tests, ping tests, and a video call. For the communications speed tests, the presence of any fading effect was checked by comparing the difference between estimated signal received and that actually measured. The effectiveness multiple-input multiple-output (MIMO) in the HAPS environment was also verified. For the ping tests, messages were sent from a host computer to another computer. Round-trip time (RTT), which is the amount of time it takes for the host computer to receive a reply, was estimated, as well as the amount of delay in commercial use.
The testing environment for communications speed and ping tests is illustrated below. User equipment (UE) was controlled using personal computer connected via USB cable. Communications speed and pinging were measured using Iperf and a test server on the Internet.
The distances between each UE and Sunglider during communications testing are shown in the following illustration.
Partly due to the effects of COVID-19 and other restrictions, communications tests were conducted within a restricted range. Each UE was measured multiple times on separate occasions. After reaching the stratosphere (approximately 19km in altitude), Sunglider circled above Spaceport America. As a result, the distance between Sunglider and the same UE may have varied each time, depending on when the measurement was taken. However, direct distances between UEs and Sunglider were generally kept within a range of 23-25km.
UE data is provided in the table below.
UEs were located in four places. The locations of SpA_AV and SpA_Remote1 were in open space, while that of SpA_NextBldg was outdoors adjoining a building and that of SpA_InBldg was inside a building. When measurements were being taken for one UE, the other UEs were disconnected from the HAPS base station.
| Item | Value |
|-----------------------------|----------------------------------------------------------------------|
| UE Model No. | Pixel 3aXL(G020B) |
| Number of UEs | 10 |
| Test Location (Position Name: UE No.) | SpA_AV: UE1～UE4 (Outdoor)
SpA_NextBldg: UE5, UE6 (Outdoor NB)
SpA_InBldg: UE7, UE8 (Indoor)
SpA_Remote1: UE9, UE10 (Outdoor) |
| Test Application | Speed Test1: Iperf + QXDM(Logging)
Video call: Zoom |
**Section 2. Communications Speed Results**
HAPSMobile conducted the tests using one UE connected at a time, disconnecting the UE tested before testing the next.
The results confirmed successful connectivity to all of the UEs, including the one located indoors.
Additionally, fluctuation in signal reception was predicted, which would result in fading due to the HAPS being in motion. However, an analysis of the time variation in down-link (DL) reference signal received power (RSRP) obtained during the tests revealed that there was no fading effect.
The analysis of communications speed also indicated that there were many cases in which the Rank Indicator values sent from UEs maintained a value of 2, which means MIMO is possible. There had been concern regarding MIMO capabilities due to the open-air nature of the HAPS environment; however, the data revealed that MIMO is feasible.
**Section 3. Ping Test Results**
The right-hand side of the illustration shows from which node to which node verification was carried out during the ping test. The test was performed from a UE to the test server, as well as from the gateway to the test server, from the gateway to the Evolved Packet Core (EPC), and from Sunglider to the EPC. Using the values obtained, the RTTs for the Feeder Link (FL) and Service Link (SL) could be determined.
The FL RTT value turned out to be very small. Even if the transmission distance is farther than used in the test at SpA, HAPS systems can achieve RTT values significantly lower than 1ms. On the other hand, for the SL, partly because of the LTE protocols used, the scheduling request transmission cycle and grant allocation negatively affected the amount of delay. In order to expand the application of HAPS, it is imperative to lower the latency. HAPSMobile is also considering the utilization of 5G networks as a solution to reduce latency.
Section 4. Making a Video Call
Using a communications payload resistant to the demanding stratospheric conditions and smartphones equipped with the Zoom video-conferencing application, members of Loon and the AeroVironment team at Spaceport America successfully completed a video call with members of HAPSMobile in Tokyo, Japan.
Vint Cerf, recognized as one of the “Fathers of the Internet” and VP and Chief Internet Evangelist, Google, and Jun Murai, known as the “Father of the Internet in Japan,” Faculty of Environment and Information Studies Professor at Keio University, and also HAPSMobile External Director, also joined the video call and discussed HAPS’ significance for the future of the Internet.
Section 5. Review of Test Results
These communications tests, including the video call, confirmed that communications can be properly established from the stratosphere to the ground. They also prove that high-quality mobile communications services can be provided using Sunglider. We are confident that the communications tests provided significant results.
Moving forward, in order to further ensure that communications services can be achieved from high altitudes, we will be working to reduce the weight of the communications payload and demonstrate stratospheric flights having longer durations.
Chapter 6. HAPS Project Communication Challenges and Measures Moving Forward
As discussed previously in the section regarding preparations prior to test flights, considerations regarding neighboring countries may become one of major issues for Telecom regulatory considerations in the future. Since HAPS will provide coverage over extensive areas from the stratosphere, measures will need to be taken for radio-wave interference in the proximity of neighboring nations’ borders. Coordination with neighboring countries may take a long time and negatively impact the project such as delaying the rollout of the HAPS operations. Furthermore, if interference occurs during operation, the continuation of service will depend on negotiations and arrangements made at that time, which could lead to an increase in operating costs.
In order to conduct communications tests and provide smooth, stable services using HAPS at the global level, rules need to be established so that negotiations and arrangements with neighboring countries are conducted under cordial circumstances.
To this end, we hope that HAPS Alliance members and the relevant authorities in respective countries will build good relationships that contribute to the active exchange of views. The public and private sectors should work together to establish rules that resolve the problems in each country.
The establishment of rules will ensure that barriers to HAPS operations are removed prior practical application and facilitate a swift expansion of services and information-sharing in the event of radio-wave interference.
Additionally, for high-altitude communications, it will be necessary to reduce the weight of communications payloads and resolve the issue inherent to moving platforms (i.e., variation in the quality of communications). HAPSMobile is committed to continuing independent research for measures to overcome these challenges.
Chapter 7. Similar Initiatives by Other HAPS Alliance Members
Section 1. Raven Aerostar
Raven Aerostar has been flying balloons in the stratosphere for 65 years and have amassed nearly 50,000 flight days in the stratosphere since 2013 in support of persistent communications platform development and operations. Aerostar’s Thunderhead Balloon Systems® are in a high state of technical readiness with a well-developed balloon manufacturing capability and experienced flight operations crews. In the late Summer of 2021, an Aerostar balloon carried a multispectral instrument on a two-month mission over the Western United States. The mission demonstrated the utility of free-flying balloons in the stratosphere in support of firefighting efforts.
Caption1: Thunderhead balloon systems are designed to be launched by a small crew in a variety of conditions. The balloon shown here was flown from Aerostar’s Flight Operations Center in South Dakota to persistence waypoints in Eastern Oklahoma and West Texas where it performed station seeking maneuvers to maintain a useful radius from points of interest.
Caption2: This ground track shows the path of a two-month mission in which an Aerostar Thunderhead Balloon System® was flown over wildfires in the Western United States. The mission demonstrated the utility of stratospheric balloons in support of firefighting operations. The station seeking maneuvers were executed almost entirely by Aerostar’s proprietary station seeking algorithms. The algorithms fuse weather model data with balloon flight movements to determine the best path to keep the balloon in a useful range of the target area. After covering a specific area, the system was redirected to other areas of interest. The use of automated navigation and station seeking capabilities has almost eliminated the need for manual piloting of the balloons during persistent coverage missions.
Section 2. Airbus Zephyr
The current Zephyr variant is the 8th generation of a system under continuous evolution and development. Zephyr utilises batteries to drive propellers and solar cells to charge the batteries during daylight hours.
Zephyr utilises an ultra-lightweight airframe and BVLOS command and control utilising a Sat-Com datalink to provide world-wide coverage and extreme endurance targeting up to one-year flights.
Zephyr has demonstrated extreme endurance (world record of 26 days), maintaining a dawn altitude of FL600 and a world altitude record at FL760.
Section 3. Sceye
Sceye uses a wind-driven lighter-than-air HAPS platform to provide connectivity, earth observation and humanitarian services from the stratosphere. In particular, Sceye recently entered into a partnership with the US Environment Protection Agency (EPA) to study pollution sources and their impacts on climate and air quality.
The Sceye platform is capable of carrying payloads over 150kg into the stratosphere. It is equipped with assistive impulse devices capable of delivering 10-15 meters per second of true air speed capability.
In a recent connectivity test, Sceye demonstrated the ability to connect with LTE devices up to 120km horizontal distance, demonstrating the large potential that HAPS can offer over terrestrial infrastructures.
Section 4. Loon
Using wind-driven Lighter-than-Air HAPS, some of which were equipped with assistive impulse devices, Loon provided connectivity to hundreds of thousands of users across Kenya, Peru and Puerto Rico - flying over 1.9 million flight hours and over 70 million kilometers across the globe, and reaching flight durations of 323 days aloft. While Loon’s journey ended after over 10 years, the details of its achievements and technological progress can be found here: https://x.company/projects/loon/the-loon-collection/
Caption 1 - Historical Loon Flight Tracks (2018 – 2020)
Caption 2 - Mesh network over Peru, Bolivia, Brazil and Ecuador
Caption 3 - A mesh network of 25 Loon platforms providing connectivity over Kenya
Chapter 8. Conclusion
In this White Paper, details of the HAPS test flights and communications tests conducted by HAPSMobile in the USA from 2019 to 2020 have been reported. The major objectives of these tests were to achieve stable flight for Sunglider in the stratosphere and execute adequate communications from Sunglider to a fixed terrestrial point during flight. The tests conducted were successful and the desired outcomes have been achieved. Meanwhile, regarding the durability of Sunglider’s airframe and communications payload during long-duration flights and other issues, the plan is to address these issues by conducting ongoing tests in the future.
An internationally recognized aviation regulatory pathway for the development and commercialization of HAPS is needed. The HAPS Alliance and its members are partnering with international regulators, resulting in the publication of the first concept of operations published by the Federal Aviation Administration (FAA). An international framework for coordinating negotiations/arrangement of schemes with neighboring nations regarding radio-wave interference also needs to be established. Furthermore, the necessity of a global platform for collecting and sharing meteorological data on the troposphere and stratosphere has been pointed out.
In Chapter 7, similar initiatives implemented by HAPS Alliance members are reported. As indicated in that chapter, there are companies other than HAPSMobile conducting HAPS test flights and communications tests. This fact underlines the increasing industry needs for the commercialization of HAPS. The development of a striving HAPS ecosystem will involve cooperation across industry partners, governments and regulatory agencies across the world.
To that end, the HAPS Alliance is enhancing the cooperation between members, and this coalition will function as a platform. It is vital for the realization of HAPS that the HAPS Alliance acts as the industry’s window to collaborate with international organizations and national governments.
As for HAPSMobile, the company will continue to maximize its contribution to the HAPS Alliance as much as possible. |
The dual theory of reduplication*
SHARON INKELAS
Abstract
This article argues that the fundamental typological distinction pertaining to reduplication is that between phonological duplication and morphological doubling (the Dual Theory of reduplication). Phonological duplication, which occurs for a phonological purpose such as providing an onset or nucleus for a syllable or filling in the featural content of an otherwise unspecified timing unit in the representation, is formally related to phonological assimilation, modeled here via the mechanism of string-internal correspondence. It obeys phonological locality conditions, targets phonologically defined constituents, and is sensitive to phonological markedness considerations. Morphological doubling, which occurs for a morphological purpose such as marking a change in meaning or creating a new stem type, is the result of the doubling of a morphological category such as root, stem, or affix. Morphological doubling, modeled via the “double insertion” mechanism of Morphological Doubling Theory (Inkelas and Zoll 2005), is not derived by phonological correspondence and therefore is not subject to any of the phonological properties characteristic of phonological duplication; the two copies, related morphosemantically, are phonologically independent.
1. Introduction
This article argues for the Dual Theory, which provides two sources of word-internal reduplication: morphological doubling and phonological duplication. These two methods are formally distinct and produce very different types of reduplication. Taken together, they improve on Base Reduplicant Correspondence Theory (BRCT; McCarthy and Prince 1995) as an overall approach to reduplication, although there are many formal similarities between BRCT and phonological duplication. Throughout this article, the term “reduplication” will be used to refer...
generally to the phenomenon of duplication of any kind; morphological doubling and phonological duplication are its formally disjoint subtypes whose difference is the subject of this study.
Morphological doubling is a morphologically driven, morphologically mandated doubling that is at work in cases like total reduplication in Dyirbal, illustrated in (1). The nominal pluralization construction calls for two instances of the singular stem. Following Inkelas and Zoll (2005), we assume here that morphological reduplication results from the double insertion of a morphological constituent. In the case illustrated below, the morphological constituent in question is the entire word, but in other cases it might be a subconstituent: stem, root, or even affix.
(1) Total reduplication: Dyirbal nominals reduplicate fully to mark plurality (Dixon 1972)
midi-midi ‘lots of little ones’
gulgiri-gulgiri ‘lots of prettily painted men’
Phonological duplication, called “compensatory reduplication” by Yu (2005a, 2007), is not an input mandate of the morphology. Rather, it is driven by purely phonological output requirements, e.g., the requirement of assimilation, or the need to supply features to an otherwise featureally underspecified epenthetic or templatic timing unit. Phonological duplication satisfies purely phonological constraints, making the output more phonologically harmonic than an output without the duplication would be. The alternative to phonological duplication is typically epenthesis of a default segment to serve the same structural phonological role. Phonological duplication is clearly at work in cases like Spokane, illustrated in (2), in which the /e/ repetitive marker is infixed to bases beginning with weak roots, i.e., roots lacking a full vowel underlyingly (2a), but prefixed to bases which are CV-initial (2b) (Black 1996: 210 ff., Bates and Carlson 1998: 655; also cited in Inkelas and Zoll 2005, Yu 2005a: 21, 2007).¹ In the latter cases, an epenthetic copy consonant appears to provide an onset to the syllable headed by /e/. The consonant in question duplicates the consonant immediately following /e/. In the first example in (2b), repetitive -e- surfaces as [a] due to a regular process of Retraction (Black 1996: 211, fn. 39):
(2) Phonological duplication in Spokane (Interior Salish)
a. Repetitive -e- infixes into initial consonant cluster
/-e-, šl’-n’-t-an’/ → š-e-l’n’tén’
REP, chop-Ctr-Tr-1SGTrS ‘I cut it up repeatedly’
(Black 1996: 210)
/-e-, lč’-n’-t-an’/ → l’-e-č’n’tén’
REP, tie-Ctr-Tr-1SGTrS ‘I tied it over and over’
(Black 1996: 210)
b. Repetitive -e- prefixes to CV-initial bases, and is preceded by a copy consonant:
\[-e-, l'aq'-n'-t-ən'/ \rightarrow l'-a-l'áqn\]
REP-bury-CTr-TR-1sGTrS ‘I just covered things as I went along’ (Black 1996: 212)
\[-e-, nič'-n'-t-əxʷ/ \rightarrow n'-e-nič'n'txʷ\]
REP, cut-CTR-TR-2sGTrS ‘you kept cutting’
(Black 1996: 210)
Phonological duplication involves the extension to another segmental position of phonological features which would independently be present in the output. It is formally in a class with phonological assimilation (whether local or, as in harmony, long-distance) and is handled in the same way. Building on recent work in Optimality Theory (OT), we propose that the mechanism in question is string-internal phonological correspondence, developed originally for consonant harmony (Walker 2000a, 2000c; Hansson 2001; Rose and Walker 2004; Hansson 2007; Walker and Mpiranya 2006) but applicable generally to local and long-distance interactions alike.
Phonological correspondence plays no role in morphological doubling; reduplicative morphemes (like the “red” of Base-Reduplicant Correspondence Theory; McCarthy and Prince 1995) play no role in phonological correspondence. The two types are fully formally distinct, and make very different predictions about locality, markedness, and form of the duplicated material.
The properties distinguishing the two types of reduplication are contrasted in Table 1.
Sections 2 and 3 introduce morphological doubling and phonological duplication in more detail. Section 4 compares the two duplication mechanisms along the dimensions in Table 1. Section 5 discusses the potential for ambiguity in the analysis of CV reduplication, and Sections 6 and 7 discuss how the Dual Theory relates to Generalized Template Theory (GTT) and to Base-Reduplicant Correspondence Theory (BRCT), respectively. Section 8 concludes the article.
2. Morphological doubling
Developed in Inkelas and Zoll (2005), building on earlier proposals by Singh (1982), Saperstein (1997), Sherrard (2001), and others, Morphological Doubling Theory (MDT) is an approach to reduplication in which morphological constructions can call for two instances of the same morphological constituent, where “same” is defined at the level of meaning,
Table 1. Comparison between phonological doubling and morphological doubling
| Motivation | Phonological doubling | Morphological doubling |
|---------------------|--------------------------------------------------------------------------------------|-------------------------------------------------------------|
| | epenthesis and assimilation required by phonological output wellformedness (e.g., providing obligatory syllable structure without recourse to epenthesis) | compounding and affixation required in input by morphological construction |
| Identity Target | phonological constituent (feature, segment, mora, syllable rime, syllable, foot) | morphosemantic morphological constituent (affix, root, stem, word, phrase) |
| Size | small; typically single segment or syllable rime | large; typically bimoraic or larger |
| Linear relationship to rest of output | essentially unrestricted | juxtaposition |
| Locality effects | duplicates closest constituent of same type | no locality restrictions |
| Markedness | copy may show phonological unmarkedness effects | no phonological unmarkedness expected in copy |
not phonology. Morphological doubling can target a whole word, a stem, a root, or even an affix. It is not phonological in nature, in the sense of increasing the phonological harmony of the output; rather, morphological doubling is an input mandate on the part of the morphology. Consequently, identity in morphological doubling is computed in terms of morphosemantic content but not phonological identity.
Example (3a) shows a general morphological doubling schema. Example (3b) shows the specific schematic construction that accomplishes pluralizing total nominal reduplication in Dyirbal from (1), and (3c) represents the actual Dyirbal form in (1a):
(3) a. \[ \begin{array}{l}
\text{category} = Y \\
\text{meaning} = f(F)
\end{array} \]
\[ \begin{array}{ll}
\text{category} = X & \text{category} = X \\
\text{meaning} = F & \text{meaning} = F
\end{array} \]
b. \[ \begin{array}{l}
\text{category} = N \\
\text{meaning} = \text{plural}(F)
\end{array} \]
\[ \begin{array}{ll}
\text{category} = N & \text{category} = N \\
\text{meaning} = F & \text{meaning} = F
\end{array} \]
c.
\[
\begin{align*}
\text{category} &= \text{N} \\
\text{meaning} &= \text{‘lots of little ones’} \\
\text{midi-midi}
\end{align*}
\]
Just as a construction might call for one vs. two instances of the same morphosemantic stem, it can also call for three, as in cases of triplication which, while not common, are robust in some languages, typically marking verbal aspect of some kind (see e.g., Blust 2001; Singh and Wee 2002; Wee 2005).
(4) Emai: verbs triplicate to form adverbs (Schaefer 2001, cited in Wee 2005)
| verb | gloss |
|------|-------|
| pu-pu-pu | ‘to flap’ |
| kpi-kpi-kpi | ‘to flutter’ |
| kpa-kpa-kpa | ‘to tremble’ |
| kpe-kpe-kpe | ‘to shiver’ |
In making morphosemantic identity the defining feature, morphological doubling in MDT formally resembles synonym compounding, illustrated in (5) by data from Khmer (Ourn and Haiman 2000: 485):
(5) Synonym compounding in Khmer
a. peel-weelia ‘time’ < peel ‘time (< Sanskrit) + weelia ‘time’ (< Pali)
b. camnaj-?ahaa(r) ‘food’ < ‘food’ + ‘food’
Cases like these, while not as well-known as other types of reduplication, clearly show the role of morphosemantic identity and the lack of a role of phonological identity in morphological doubling constructions.
2.1. Functions of morphological doubling
The morphological functions of morphological doubling vary greatly, ranging from the familiar case of doubling associated with an iconic meaning (as in Dyirbal pluralization (1)) to doubling associated with a more idiomatic meaning (as, perhaps, in Emai (4)) to doubling that is not itself semantically contentful but is a concomitant of other semantically contentful constructions, such as affixation. In a discussion of the
latter possibility, which he calls “automatic reduplication”, Rubino (2001, 2005a, 2005b) cites cases from Ilocano and Nez Perce, in which particular affixes require their bases to be reduplicated even though the unaffixed reduplicated base either does not occur independently or does not occur with a meaning that is part of the affixed reduplicated construction (e.g., Ilocano ángot ‘smelly’; naka-ang-ángot ‘stinking very much’; see Rubino 2001 and (7), below). Rubino characterizes this sort of reduplication as being an obligatory in the context of the affix but not carrying any meaning of its own that would motivate its occurrence. Such patterns have been documented in a number of Austronesian languages, including Tagalog (Schachter and Otanes 1972), and in Nancowry (Radhakrishnan 1981), as well as in Nuuchahnulth [Nootka] (Sapir 1921, Stonham 1994), in which a variety of affixes with no necessary semantic commonality select for formally reduplicated bases. Inkelas and Zoll (2005) analyze semantically empty stem reduplication as a stem-forming construction (see e.g., Aronoff 1994) which exists on a par with other stem-forming constructions, such as ablaut or truncation or theme vowel suffixation, forming stem types which other morphological constructions call for.\(^2\)
To sum up, while there is no necessary uniformity in the types of semantic function associated with the outcome of morphological doubling, there is uniformity in inputs: the two (or three) inputs to a morphological doubling construction must be morphosemantically identical.
### 2.2. Phonological concomitants of morphological doubling
In MDT, there is no phonological correspondence between the two copies of the relevant morphological constituent. Double morphological insertion, not the phonological grammar, is the mechanism producing duplication. Phonology is, nonetheless, crucially involved in many morphological doubling constructions. As is well known, morphological reduplication is often accompanied by the phonological modification of one or both copies. MDT draws heavily on the observations of Steriade (1988) and McCarthy and Prince (1999) to the effect that the kinds of phonological effects observed in reduplicants are parallel to those observed outside of reduplication.
Phonological effects that are specific to a particular morphological doubling construction are implemented in MDT via the association of a cophonology with the construction as a whole, and potentially with each of its daughters as well. Cophonologies are phonological subgrammars consisting of fully general phonological constraints, potentially ranked
differently in different cophonologies (Orgun 1996; Inkelas et al. 1997; Yu 2000; Anttila 2002; Inkelas and Zoll 2005, 2007). A common phonological modification of this type is truncation, the source of partial reduplication in MDT. Partial reduplication arises when one of the daughters in a morphological doubling construction is associated with a truncation cophonology. In Ilokano, for example, the intensifying adjectival prefix *naka-* selects for a reduplicated base whose first member is truncated to a maximal syllable, or perhaps minimal foot (CVC):
(6) Ilokano adjective intensifying prefix selects for a doubled stem (Rubino 2001)
a. na-ángot ‘smelly’ naka-ang-ángot ‘stinking very much’
b. na-sakít ‘sore’ naka-sak-sakít ‘very sore’
c. katáwa ‘laughter’ naka-kat-katáwa ‘funny’
It is an important prediction of MDT that the ways in which a partial reduplicant can be formed via truncation are the same ways in which a nonreduplicated constituent can be truncated. The empirical underpinnings of this claim are well known (see e.g., McCarthy and Prince 1986, Steriade 1988, Nelson 2003), and in MDT the correlation follows from the fact that cophonologies perform truncation in the same way regardless of whether it is associated with reduplication. The “Generalized Phonology Prediction” of Inkelas and Zoll (2005) states that reduplicative and nonreduplicative constructions alike draw from the same range of cophonologies. As Table 2 illustrates, the truncation possibilities for stems are the same regardless of whether the morphological construction is reduplicative or not.
Table 2. Prosodic shapes of partial reduplicants and truncata
| Prosodic shape of material added via partial reduplication | Prosodic shapes of pure truncation (nonreduplicative) |
|-----------------------------------------------------------|------------------------------------------------------|
| Bimoraic (maximal) syllable | Mokilese (e.g., *pod-podok* ‘plant’; Harrison 1973; Blevins 1996) |
| | English nicknames (e.g., *Daniel* → *Dan*) |
| Bimoraic foot | Manam (e.g., *salaga-laga*) |
| | Japanese loanword and compound clipping (e.g., ‘personal computer’ → *paskoN*; Itô 1990) |
| Disyllabic foot | Fox (e.g., *ki:hpoečewa* → *ki:hpoe-ki:hpoečewa* ‘he eats his fill’; Dahlstrom 1997: 217) |
| | Central Alaskan Yupik hypocoristics (e.g., *qaługin* → *qałuq* (name); Weeda 1992: 163) |
One prosodic shape, the CV syllable, is omitted from Table 2. It occurs frequently in reduplication, but infrequently in pure truncation, possibly because of the lack of recoverability inherent in such a degree of truncation, or possibly because truncation so commonly respects minimal word size constraints, which CV truncata would violate.\(^3\) As discussed in Section 5, many if not all instances of CV duplication are analyzable using phonological duplication rather than morphological doubling + truncation, and so it is not clear whether CV morphological doubling is actually necessary. Other than this, however, the parallels between truncation and partial reduplication are very clear.
The list of phonological modifications that take place within one or both copies in morphological doubling is too great to repeat here, though see Inkelas and Zoll (2005) for a survey. The point that is important to make here is, again, the Generalized Phonology Prediction: the types of modifications found on one or both copies in unambiguous cases of morphological doubling are the same types of modifications that can in principle apply to stems in nonreduplicative morphological constructions. It is common, for example, for one of the two copies in morphological reduplication to undergo dissimilation. This phenomenon, often termed “echo-reduplication”, is discussed by Yip (1992, 1997, 1998, 1999). An illustration from Hindi is cited in (7), from Nevins (2005). In Hindi, the “(noun) and the like” construction consists of total reduplication with the caveat that the second copy is modified so as to begin with \(v\) (7a). The \(v\) replaces an initial consonant, if any, in that stem. The dissimilatory motivation underlying \(v\)-replacement is revealed by what happens with stems that would begin with \(v\) anyway: in just these cases, an alternative initial consonant (\(\check{s}\)) is provided (7b):
(7) a. mez-vez ‘tables and the like’
aam-vaam ‘mangoes and the like’
tras-vras ‘grief and the like’
b. vakil-\(\check{s}\)akil ‘lawyers and the like’
This pattern of onset replacement and dissimilation is a widespread areal phenomenon throughout Asia, and there is a vast literature on it. The important point here, though, is that the stem-to-stem dissimilation phenomenon is not reduplication-specific. There is also a large literature on anti-homophony effects created when affixation to a stem would produce a phonological output identical to the output of the same stem when unaffixed; see e.g., Crosswhite 1999, Kurisu 2001, Gessner and Hansson 2004, Kenstowicz 2005, and Ichimura 2006 for recent discussion. Paster (2006, chapter 2) cites the case of Yucunany Mixtepec Mixtec (Otomanguean, Mexico; Paster and Beam de Azcona 2004), in which the third person
singular familiar (subject and possessor) is -i except when the verb already ends in -i, in which case the suppletive allomorph -à is used instead. (Double vowels are an orthographic convention used for representing the many tonal contrasts in the language, and do not indicate contrastive vowel length).
(8) a. sàmá ‘clothing’ sàm-ìì ‘his clothing’
ma tzá’nu ‘grandmother’ ma tzá’n-ì ‘her grandmother’
nda’á ‘hand’ nda’-ìì ‘her hand’
kù’ù ‘woman’s sister’ kù’-ì ‘her sister’
b. kachiì ‘cotton’ kachi-àà ‘his cotton’
si’ì ‘leg’ si’-àà ‘his leg’
tzí’ì (yù) ‘(I am) dying’ tzí’-à ‘she is dying’
Whatever anti-homophony constraint explains the choice of the -à allomorph in (8) can equally well explain the š- vs. v-allomorphy within the second stem of the morphologically doubled constructions in (7). The stem-forming affixational constructions responsible for converting sàmá to sàm-ìì, etc. in Yucunany Mixtepec Mixtec, and mez to vez, etc. in Hindi, select a suppletive allomorph for the stem-forming affix just in case the output and input would otherwise be homophonous.
Interestingly, while MDT and the Generalized Phonology Prediction can describe a wide range of possible modifications to stems that take place within and outside of morphological doubling constructions, one effect that morphological doubling theory does *not* predict for morphological doubling is the purposeful reduction of contrast in one copy, or the so-called TETU phenomenon that has been observed in many instances of reduplication. This may seem surprising, since TETU has become such a hallmark of reduplication. As argued in Section 4.3, however, the bulk of the convincing cases of TETU are actually found in what, in the Dual Theory, counts as phonological duplication, exactly as the Dual Theory predicts.
### 3. Phonological duplication
Phonological duplication can be defined generally as any increase in the number of positions in which a given feature, segment, or even string appears in the output, relative to the input. Prior to OT, phonological assimilation was normally handled by autosegmental spreading. Correspondence Theory, developed within OT, has seen the development of a new analysis of phonological duplication, namely string-internal correspondence.\(^4\) This is the approach applied by Walker (2000a,b,c, 2003), Walker
and Mpiranya (2006), Rose and Walker (2004), and Hansson (2001, 2007) to consonant harmony, by Krämer (2003) and Kim (2007) to vowel copy, and by Zuraw (2002), Yu (2003, 2005a), Haynes (2007a), and Yu (2007) to a variety of reduplicative phenomena which in the Dual Theory would all be classified as phonological duplication.\(^5\)
### 3.1. String-internal correspondence
Originally developed by Walker (2000a, 2000b, 2000c, 2003), string-internal correspondence is a relationship mandated by a family of correspondence (“CORR”) constraints. The constraint definitions in (9) are based on Walker’s work but are generalized beyond consonants (Walker’s focus) to any segments. Hansson (2001) and Rose and Walker (2004) argue that correspondence constraints need to be inherently directional in order to determine directionality in harmony systems. The first two correspondence constraint schemas in (9) are directional, or asymmetric; the third is more general, and will be used in this article since directionality will not be at particular issue in the discussion.
(9) **CORR-S\(_1\)→S\(_2\):** For any S\(_1\), S\(_2\) that are segments in the same output string, S\(_2\) corresponds to S\(_1\)
**CORR-S\(_1\)←S\(_2\):** For any S\(_1\), S\(_2\) that are segments in the same output string, S\(_1\) corresponds to S\(_2\)
**CORR-S\(_1\)S\(_2\):** For any S\(_1\), S\(_2\) that are segments in the same output string, S\(_1\) and S\(_2\) correspond
The numerical subscripts in (9), which indicate linear precedence, will henceforth be omitted in practice to avoid clutter, as linear order is generally self-evident.
Correspondence in and of itself has no phonetic effect. However, it sets the stage for the enforcement of featural identity, via IDENT constraints that hold over pairs of corresponding segments in the output. The general schema for IDENT constraints holding over string-internal output correspondence is shown below:\(^6\)
(10) **IDENT-[F]-O:** Corresponding segments in the output must be identical with respect to the feature(s) in F
The tableau in (11) illustrates how CORR and IDENT are evaluated with respect to two input segments, /t/ and /d/. The fully general CORR-SS constraint requires any two segments in the output to correspond. IDENT-SS requires corresponding output segments to be identical. IDENT-IO requires output segments to be identical to their input correspondents. Depending
on constraint ranking, it is possible either for candidates (a), (b) or (d) to win; candidate (c) is harmonically bounded by candidates (a) and (d):
(11)
| | | /t d/ | CORR-SS | IDENT-SS | IDENT-IO |
|---|---|-------|---------|----------|----------|
| a. | no correspondence, no identity | t d | * | | |
| b. | correspondence, no identity | $t_i$ $d_i$ | | * | |
| c. | no correspondence, identity | t t | * | | * |
| d. | correspondence, identity | $t_i$ $t_i$ | | | * |
Input-output correspondence is, by convention, also normally indexed with subscripts (see e.g., Hansson 2001), but to avoid cluttering the representations of output candidates, input-output indexation will be suppressed in cases like (11), where input-output correspondence is self-evident.
3.1.1. The similarity condition. Inasmuch as correspondence is used to model assimilation, dissimilation and co-occurrence constraints, which typically involve proper subsets of the segment inventory, CORR constraints are most useful when relativized to natural classes of segments, defined in terms of features or even structural positions (e.g., Onset, Coda, Word-initial). Thus, for example, the following are all possible CORR constraints:
(12) CORR-CC (where ‘C’ = any consonant)
CORR-NN (where ‘N’ = any consonant specified as [+son, +nasal])
CORR-$C_{\alpha Place}C_{\alpha Place}$ (any two consonants that agree in place features)
CORR-$C_{\alpha Cons}C_{\alpha Cons}$ (any two onset consonants)
CORR-$N_{\alpha Cons}N_{\alpha Cons}$ (any two onset nasals)
CORR-$C_{\alpha F}C_{\alpha F}$ (any two identical consonants)
Drawing on the familiar generalization that more similar two elements are, the more prone they are to interacting with one another, Walker (2000c), Rose and Walker (2004) and Hansson (2001: 298) propose that
correspondence relations exist in scales, in which the ranking of the correspondence mandate for two segments S1 and S2 increases with the minimum degree of feature identity that is a prerequisite for correspondence. A sample section of the similarity scale is given below, adapted from Walker (2000c):
(13) Similarity-based correspondence hierarchy (partial):
```
CORR-TT
'identical oral stops'
CORR-DT (voicing relaxed)
CORR-TK (place relaxed)
CORR-TS (continuant relaxed)
CORR-DK (voicing, place relaxed)
CORR-TZ (cont, voicing relaxed)
CORR-TF (cont, place relaxed)
CORR-DF (voicing, place, continuant relaxed)
```
The tableau below, adapted from Hansson (2001: 321), illustrates how Ngizim enforces long-distance voicing agreement in converting the /k...z/ consonants of Hausa [kà:zá:] ‘chicken’ to the /g...z/ consonantism of the winning candidate in (d). In Ngizim, obstruents in the same root must agree in voicing, even if they disagree in [place] or [continuant]. This is modeled in the tableau by ranking CORR-TF (and hence CORR-TS) and IDENT-[voi]-O above IDENT-[voi]-IO, which in turn outranks CORR-CC (the requirement that any pair of consonants correspond no matter what their featural differences may be).\(^7\) Because the example is concerned with consonant harmony, only consonantal correspondences are shown here (by indexation).
(14) Ngizim voicing agreement (between stop and fricative which are heterorganic)
| | kâazá | IDENT-[voi]-O | CORR-TG | CORR-SG | IDENT-[voi]-IO | CORR-CC |
|---|-------|---------------|---------|---------|----------------|---------|
| a. | kâazá | | | | | |
| b. | kᵢâazᵢá | *! | | | | |
| c. | gâazá | | | | * | |
| d. | gᵢâazᵢá | | | | * | |
CORR-SG compels correspondence between obstruents, even if they differ in [place] and [continuant]. As all the candidates contain two obstruents, each is subject to CORR-SG, which candidates (14a) and (14c) violate. IDENT-[voi]-O is enforceable only on candidates which have corresponding consonants to begin with, namely candidates (14b) and (14d); of these two, only (14d) satisfies IDENT-[voi]-O, and therefore wins the competition to become the output of input /káazá/.
It can also happen that the winning candidate is the one in which correspondence fails to be established. As Hansson notes, in Ngizim, voiced implosives do not trigger voicing agreement on preceding (non-implosive) obstruents; the two classes of consonants are too dissimilar to be compelled to correspond, and hence to agree in voicing. Data are given in (15):
(15) pódók ‘morning’ *bódók
kiidú ‘eat (meat)’ *giidú
fádú ‘four’ *vádú
sápdu ‘pound (v.)’ *zábdú
The same ranking that establishes voicing agreement between obstruents in (14) ensures its non-application in (15). The only CORR constraint general enough to enforce correspondence between an implosive and non-implosive consonant, represented here by the maximally general CORR-CC, is ranked below IDENT-[voi]-IO. It being impossible to change input voicing to accommodate the high-ranked IDENT-[voi]-O, the best solution is simply for the consonants not to correspond in the first place, as in the faithful, noncorresponding candidate (16a):
(16) Ngizim voicing agreement not enforced between implosive and egressive consonants:
| | kiidú | IDENT-[voi]-O | CORR-TG | CORR-SG | IDENT-[voi]-IO | CORR-CC |
|---|-------|---------------|---------|---------|----------------|---------|
| a. | kiidú | | | | | * |
| b. | kìiidìú | *! | | | | |
| c. | giidú | | | | *! | * |
| d. | gìiidìú | | | | *! | |
Thus, correspondence will not be enforced if the cost of correspondence is too high, a situation Kim (2007) characterizes as “sour grapes” correspondence. The similarity hierarchy, illustrated in (13), which ranks mandated correspondence between similar consonants over mandated correspondence of less similar consonants, ensures that when agreement is differentially enforced, as in Ngizim, it will be enforced over pairs of more similar consonants rather than over pairs of less similar ones.\(^8\)
3.1.2. *Proximity in correspondence.* The aspect of correspondence theory most relevant to phonological segment duplication is the proximity factor. In total segment copy, degree of input similarity is not a factor, but proximity is crucial to predicting which segment will duplicate.
A minimal pair of nasal harmony patterns, discussed by Rose and Walker (2004: 494), neatly illustrates the role of proximity. The Bantu languages Kikongo and Ndonga both show stem-internal nasal harmony, in which suffixal /l/ assimilates in nasality to a nasal consonant in the preceding root. Stems are bracketed in the data in (17), from which it can be seen that the /l/ of the perfective suffix in Kikongo assimilates to any root nasal, even if an oral consonant intervenes, while the /l/ of the applicative suffix in Ndonga assimilates only to a nasal in an adjacent syllable. In Ndonga, an intervening oral consonant *blocks* the harmony:
(17) a. Kikongo
m-[bud-idi] ‘I hit’
tu-[kun-ini] ‘we planted’
tu-[nik-ini] ‘we ground’
b. Ndonga
[pep-el-a] ‘blow towards’
[kun-in-a] ‘sow for’
[nik-il-a] ‘season for’
Rose and Walker (2004: 494) propose that the difference between the two languages lies in the minimal degree of proximity required to establish consonantal correspondence. While Rose and Walker utilize just one proximity constraint on correspondence, requiring correspondent consonants to be in adjacent syllables, the more articulated proximity scale of Hansson (2001), inspired by Suzuki’s (1998) work on dissimilation, will be used here. Hansson proposes that Corr constraints are scaled by relative proximity thresholds required between the corresponding elements. As shown, each Corr constraint can be split into at least four: one requiring correspondence between adjacent elements, one requiring correspondence between elements separated by at most a mora, one requiring correspondence between elements separated by at most a syllable, and one that is fully general, with no proximity threshold. The scale, below, is adapted from Hansson, but generalized beyond consonant harmony; S = any segment. (Hansson’s constraint Corr-S-\(\infty\)-S, which mandates correspondence between any consonants, no matter how far apart, is renamed Corr-SS, for typographical simplicity.)
(18) Proximity scaling of Corr-constraints (modified very slightly from Hansson 2001: 298)
\[
\text{Corr-S-S} \gg \text{Corr-S-\(\mu\)-S} \gg \text{Corr-S-\(\sigma\)-S} \gg \text{Corr-SS}
\]
“adjacent segments” “segments no farther apart than one mora” “segments no farther apart than one syllable” “segments that are any distance from one another”
Because proximity conditions are stated as upper bounds on distance, any violation of a more relaxed constraint — e.g., CorrS-\(\sigma\)-S is also a violation of a more restrictive constraint — e.g., Corr-S-S.
Proximity and similarity are orthogonal dimensions, so that any Corr constraint from the similarity hierarchy can be split into the members of a proximity scale. In Kikongo and Ndonga, the relevant Corr family is Corr-NL (“two sonorants must correspond if they differ at most in the feature [nasal]”). In Kikongo, correspondence is not limited to consecutive consonants, meaning that Corr-NL is ranked above Ident-[nas]-IO, while in Ndonga, correspondence is enforced only on consonants separated by no more than one mora, meaning that only Corr-N-\(\mu\)-L is ranked high enough to have an effect. In the tableaux below, Ident-[son]-IO is top-ranked, meaning that obstruents cannot be affected by nasal harmony. Ident-[nas]-IO is always ranked below Corr-N-\(\mu\)-L and Ident-[nas]-O, meaning that /n...l/ pairs separated by just one vowel will always enter into correspondence and nasal harmony, as illustrated below for Ndonga (Kikongo works identically):
(19) Proximity-constrained nasal harmony in Ndonga (same for Kikongo): sonorants in adjacent syllables are compelled by Corr-N-\(\mu\)-L to correspond, and by Ident-[nas]-O to agree in [nas]:
| | kun-il-a | Ident-[son]-IO | Ident-[nas]-O | Corr-N-\(\mu\)-L | Ident-[nas]-IO |
|---|----------|----------------|---------------|------------------|----------------|
| a. | kunila | | | *! (nl) | |
| b. | k\underline{i}un\underline{i}il\underline{i}a | | *!* (kn, nl) | | |
| c. | kun\underline{i}il\underline{i}a | | *! (nl) | | |
| d. | kunina | | | *! (nn) | * |
| e. | \eta\underline{j}un\underline{j}in\underline{j}a | *! | | | ** |
| f. | kun\underline{i}in\underline{i}a | | | | * |
At play is the ranking of Corr-NL. In Kikongo, Corr-NL >> Ident-[nas]-IO, such that even long-distance /n...l/ pairs are compelled to correspond and harmonize (20a). In Ndonga, the ranking is the opposite, and sonorant pairs in nonadjacent syllables do not correspond (20b):
(20) a. In Kikongo, nasal harmony operates at-a-distance:
| | nik-ili | Ident-[son]-IO | Ident-[nas]-O | Corr-N-μ-L | Corr-NL | Ident-[nas]-IO |
|---|---------|----------------|---------------|------------|--------|----------------|
| i.| nikili | | | | *! (nl) | |
| ii.| n_iikil_i | | | | | |
| iii.| n_iikil_i | | *! (nk) | | | |
| iv.| nikini | | | | *! (nn) | * |
| v.| n_iin_iin_i | *! | | | | ** |
| vi.| n_iikin_i | | | | | * |
b. ... but in Ndonga, nasal harmony is strictly local
| | nik-il-a | Ident-[son]-IO | Ident-[nas]-O | Corr-N-μ-L | Ident-[nas]-IO | Corr-NL |
|---|----------|----------------|---------------|------------|----------------|--------|
| i.| nikila | | | | | * (nl) |
| ii.| n_iik_iil_a | | | | | |
| iii.| n_iikil_a | | *! (nk) | | | |
| iv.| nikina | | | | *! | * (nn) |
| v.| n_iin_iin_a | *! | | | ** | |
| vi.| n_iikin_a | | | | *! | |
The opaqueness of intervening obstruents in Ndonga thus follows not directly from their failure to nasalize but from the fact that they cause sonorants on either side to be too distant from one another to be compelled to correspond.
3.2. Extension to segment copy
As developed in the work cited above by Walker, Rose and Walker, and Hansson, and as seen in the cases from Ngizim, Kikongo and Ndonga,
string-internal output correspondence works well to derive single feature assimilation in long-distance harmony.
Phonological duplication of whole segments is simply the logical extension of this effect; it constitutes the extreme case of assimilation in which an otherwise featureless segment — e.g., only newly added by epenthesis — derives every one of its features from assimilation. Phonological segment duplication is constrained, just like single-feature assimilation, by proximity. The closest segment of the relevant type is the one which a copy segment will emulate.
Phonological duplication commonly results when a consonant or vowel is required to be present in the output but is not present, or if present is not featurally specified, in the input. This scenario can arise via epenthesis of a consonant or vowel whose features, following the standard approach to epenthesis in OT, must be determined by the grammar; it can happen if a particular morphological construction imposes a template requiring a consonant, vowel, or mora in a position where the input has none to provide. In both cases, a segment is required to be present in the output for which there is no featurally specified counterpart in the input; in both cases, the grammar is responsible for providing the featural makeup of the segment in question. There are always two options in such cases: the insertion of default epenthetic features, or copy-by-correspondence. Following Yu (2005a), we assume that epenthesis violates Dep-feature, while correspondence violates Integrity, the requirement that the input and output indexation of a feature to segments be the same. Integrity is violated by every new correspondence that an input feature takes on in the output.
The tableau in (21) shows schematically how an empty input consonant can be compelled to assimilate entirely to the closest available consonant. Dep-feature outranks Integrity, compelling copy by correspondence rather than insertion of default epenthetic consonant features. Ident-IO ensures that only the empty input consonant, not the fully specified input consonants, will assimilate to another output consonant. As shown below, the requirement of total featural identity on correspondence results in minimal correspondence: only the copy candidate and its counterpart segment correspond. That is, candidate (21b), $g_iag_iat$, with one, identical, corresponding pair, fares better than candidate (21d), $g_iag_iati$, with two corresponding pairs; the pair consisting of consonants fully specified in the input, and hence subject to Ident-IO, necessarily violates Ident-[allF]-O.
(21) Illustration of full consonant copy
| | Cagat | IDENT-IO | DEP-F | INTEGRITY | IDENT-[allF]-O | CORR-CC |
|---|--------|----------|-------|-----------|----------------|---------|
| a. | ?agat | | *! | | | ** (?g, gt) |
| b. | g_iag_iat | | | * | | * (gt) |
| c. | t_iagat_i | | | * | *! (gt) | ** (tg, gt) |
| d. | g_iag_iat_i | | | * | *! (gt) | |
| e. | t_iag_iat_i | | | * | *!* (tg, gt) | |
| f. | t_iat_iat_i | *! | | * | | |
There are in fact two candidates in this tableau with full identity between the correspondents: candidate (21b), $g_iag_iat$, which manifests local copy, and candidate (21c), $t_iagat_i$, which manifests nonlocal copy. The superiority of the local-copy candidate follows from the way that IDENT-O and CORR are assessed in candidates such as these, which have many potential correspondents.
Following Hansson (2007), we assume that IDENT and CORR are assessed locally in correspondence chains. For CORR, this means that in a sequence of n segments of the type eligible for correspondence, there are n-1 possible local correspondence pairs to be assessed. For example, in the case of a fully general CORR-CC constraint and a candidate like $\lambda agat$ (21a) with three consonants, there are two pairs of “closest” consonants, namely $\lambda g$ and $gt$. Since the consonants of neither pair in (21a) are in correspondence with one another, CORR-CC is violated twice, once for each pair. The correspondence between $\lambda$ and $t$ is not directly assessed in this candidate. In candidate (21c), $t_iagat_i$, the two “closest” consonant pairs are $tg$ and $gt$. Neither pair exhibits internal correspondence, and thus this candidate also incurs two violations of CORR-CC. It does not matter that, more globally, the distant $t$’s in this candidate correspond with each other.
Local assessment of IDENT means that in a correspondence chain, as in candidates (21d) and (21e) where there are more than two corresponding segments, IDENT-O is evaluated independently for each local pair. Thus for candidate (21e), IDENT evaluates the correspondent pairs $gg$ and $gt$, finding an IDENT violation only in the second. The fact that the $g$ of the first pair is non-identical to the $t$ of the second pair is not registered. Hansson (2007) argues convincingly that local assessment is the only reasonable option for assessing IDENT and CORR in strings containing many
(potential) correspondents; global assessment flies in the face of intuitions about locality and makes the wrong predictions regarding harmony and neutralization.
We turn now to two real-life examples of full-segment copy, showing how they follow from the scheme developed thus far. The first, from Spokane, is structurally similar to the schematic (21). As discussed earlier and illustrated in (2), full consonant duplication occurs in Spokane to supply an onset for the syllable created by repetitive -e- when combined with CV-initial verbs.
(22) a. /-e-, šol/ → š-e-šil’
/REP, chop/ ‘I cut it up repeatedly’
b. /-e-, nič’-n’-t-əxʷ/ → n’-e-nič’n’txʷ
REP, cut-CTR-TR-2SGTrS ‘you kept cutting’
A full analysis of example (22b) is provided in (23). Onset >> Dep-C compels the insertion of a consonantal root node to serve as the onset to the syllable headed by repetitive -e-. The ranking Dep-feature >> Integrity, not shown in the tableau, compels copy by correspondence, rather than insertion of default epenthetic consonant features (Yu 2005a). As shown in (23), total copy is achieved via a high-ranking Ident-[allF]-O, which requires featural identity of corresponding segments. The result is, as in (21), minimal local correspondence: only the copy and its closest potential correspondent in fact correspond, and they agree in all their features.
(23)
| | /e-nič’-n’-t-əxʷ/ | Onset | Dep-C | Ident-[allF]-O | Corr-CC |
|---|------------------|-------|-------|----------------|---------|
| a. | enič’n’təxʷ | *! | | | 4 (=nč’, č’n, n’t, txʷ) |
| b. | n₁en₁ič’n’təxʷ | | * | | 4 (=nč’, č’n, n’t, txʷ) |
| c. | t₁enič’n’t₁əxʷ | | * | | 5! (=tn, nč’, č’n, n’t, txʷ) |
| d. | n₁en₁ič’n₁t₁əx₁ʷ | | * | 4! (=nč’, č’n, n’t, txʷ) | |
| e. | t₁enič’n₁t₁əx₁ʷ | | * | 5! (=tn, nč’, č’n, n’t, txʷ) | |
In Makassarese, copy vowels protect stem-final consonants from No-Coda violations through insertion of a copy vowel.⁹ Makassarese has the
extra complication of manifesting final epenthetic consonants whose function is to satisfy a high-ranked Final-C constraint.
(24) Makassarese: copy vowel (with epenthetic ?) follows stem final Cs that can’t be codas (McCarthy and Prince 1994c, citing Aronoff et al. 1987 and others)
a. /rantas/ rántas-a? ‘dirty’
b. /teʔter/ téʔter-e? ‘quick’ > [téttere?]
c. /jamal/ jámal-a? ‘naughty’
The difference between epenthesis and copy is simply the difference in preference between unmarked phonological features and the extension of existing features. The tableaux, below, show how this follows in Makassarese from the ranking of Dep-V-features >> Integrity >> Dep-C-features:
(25)
| | /jamal/ | Dep-Vfeatures | Integrity | Dep-Cfeatures |
|---|---------|---------------|-----------|---------------|
| a. | jamala? | *! | | * |
| b. | jamal; a₁? | | * (a) | * |
| c. | jamal; ɔl₁ | !* | * (l) | |
| d. | jama₁l₁a₁l₁ | | **! (a,l) | |
| e. | jam₁a₁la₁m₁ | | **! (a,m) | |
Phonologically epenthetic segments behave no differently than ones inserted by the morphology. In Shuswap, for example, the diminutive is formed by infixation of a consonant following the stressed vowel. Rather than having a fixed segmentism (default or otherwise), it draws its featural content through correspondence with the closest preceding consonant:
(26) Shuswap diminutive (Yu 2007, based on primary sources cited therein)
sqéxhe ‘dog’ sqéq̣xhe ‘little dog’
pésalkʷe ‘lake’ pépsɔlkʷe ‘small lake’
cq̣’lp ‘tree’ cq̣éq̣’lp ‘small tree’
qé?ce ‘father’ yn-qéq?ece ‘my father’
The same correspondence, faithfulness, and markedness constraints derive assimilation in this case:
3.3. Transparency in harmony vs. full copy
Consonant and vowel harmony are known to exhibit transparency, in which consonants meeting a certain featural description will be immune to consonant harmony affecting other consonants, and vowels meeting a certain featural description will be invisible to harmony affecting other vowels. We do not find a parallel phenomenon with copy epenthesis, which always targets the closest consonant (in the case of an epenthetic consonant) or closest vowel (in the case of an epenthetic vowel). This is predicted by the correspondence approach outlined above. Transparency in consonant harmony, for example, results when CORR constraints require a degree of similarity between corresponding consonants which the transparent consonant in question does not meet (and is not permitted, by IO faithfulness, to morph into conformity with). With copy epenthesis, or for that matter any assimilation process affecting a segment without its own input specifications, INTEGRITY is the only obstacle to assimilation, and therefore proximity, not similarity, determines which segment will be assimilated to.
Compare, for illustration, the long-distance nasal harmony in Kikongo (e.g., /nik-ili/ → nikini) to the case of Spokane, above. In Kikongo, the CORR constraint establishing correspondence between the input /n/ and /l/ of /nik-ili/ is CORR-NL, to which the intervening /k/, belonging neither to the natural class ‘N’ (nasals) nor ‘L’ (sonorants), is invisible. Thus in the input /nikili/, the two sonorants form the closest local pair, and CORR-NL is satisfied when they correspond (28aii). In Spokane, by contrast, the correspondence constraints compelling copy are not dependent on the particular features of the corresponding consonants. They demand identity, but exclude no consonant from potential participation in the correspondence. Both candidates in (28b) violate CORR-CC, in that not all the potential local correspondence pairs are in fact in correspondence, but candidate (28bi) has a local corresponding pair while candidate
(28bii) has none. The long-distance correspondence in (28bii) does not reduce the number of (locally computed) violations of Corr-CC, and thus has no beneficial effect.
(28) a. Non-local copy (transparency) possible in Kikongo as a result of Corr-NL
| | nik-ili | IDENT-[nas]-O | Corr-NL |
|---|---------|---------------|--------|
| i.| nikili | | *! (nl)|
| ii.| n₁i kin₁i | | |
b. Strictly local copy necessary in Spokane as a result of Corr-CC
| | /e-nič’-n’-t-ɔxʷ/ | IDENT-[ALLF]-O | Corr-CC |
|---|------------------|----------------|--------|
| i.| n₁en₁ič’n’tɔxʷ | | 4 (=nč’, č’n, n’t, txʷ) |
| ii.| t₁enič’n’t₁ɔxʷ | | 5! (=tn, nč’, č’n, n’t, txʷ) |
In both cases, the closest pair of potential correspondents is forced to correspond; the difference is that in Kikongo, the closest pair is defined in terms of sonorants, while in Spokane it is defined on all consonants. There can be no transparency in the latter case.
3.4. Structural role as a factor in similarity
While the feature-based similarity hierarchy does not play a role in full segment copy — since full copy surpasses any featural similarity threshold, by definition — structural similarity can be very relevant to determining which segment a copy assimilates to. Consider, for example, the well-known data from Semai illustrated briefly below:
(29) Semai expressive reduplication (Hendricks 2001: 289, 291, citing Diffloth 1976):
pn-payap ‘appearance of being disheveled’
ct-cʔeːt ‘sweet’
kc-kmrʔeːc ‘short, fat arms’
sw-slayeːw ‘long hair in order’
We can describe the expressive construction as prefixing an empty mora to the stem; its contents are fleshed out via consonant copy. What is
intriguing about this case is that the first copy consonant corresponds to the closest onset, while the second copy consonant — a coda — corresponds to the closest coda — which, due to Semai syllable structure, happens also to be the word-final consonant. This pattern can be modeled using the similarity scale: segments which occupy identical syllable positions must correspond (and, by IDENT, be forced to be identical).\(^{11}\)
(30) \textsc{Corr-S}_{\alpha Srole}S_{\alpha Srole}: the two closest segments (defined featurally as the case may be) occupying the same syllable position (onset, nucleus, coda) must correspond
\textsc{Corr-C}_{\alpha Srole}C_{\alpha Srole} mandates correspondence between onsets (syllable-initial consonants) or between codas (syllable-final consonants). In candidate (31a), the onset consonants are \(s_i...s_i...y\); since only the two \(s\)’s correspond, the local \(sy\) pair violates \textsc{Corr-C}_{\alpha Srole}C_{\alpha Srole}. The coda consonants are \(l...w\), and since these do not correspond, they constitute the second violation of \textsc{Corr-C}_{\alpha Srole}C_{\alpha Srole}. Violations are assessed in a similar manner for the other candidates. The winner, candidate (31c), has the maximal correspondence possible in its two onset pairs (\(s_i...s_i...y\)) and its one coda pair (\(w_j...w_j\)), and thus is the optimal output.
(31) Syllable role as a factor in copy: Semai
| | \(\mu\), slay\(\varepsilon:w\) | IDENT-[ALLF]-O | \textsc{Corr-C}_{\alpha Srole}C_{\alpha Srole} |
|---|-----------------|-----------------|-----------------------------------------------|
| a. | \(s_i l...s_i l...a.y\varepsilon:w\) | | **! (sy, lw) |
| b. | \(s_i y_j.s_i l...a.y_j\varepsilon:w\) | | **! (sy, yw) |
| c. | \(s_i w_j.s_i l...a.y\varepsilon:w_j\) | | * (sy) |
| d. | \(l_i w_j.s_l...a.y\varepsilon:w_j\) | | **! (ls, sy) |
Hendricks (2001) offers a different analysis, in which the prefix is an abstract Red morpheme which must be both left-anchored and right-anchored to the base. The restrictive prosodic structure of Semai words makes these two analyses difficult to tell apart. However, later in this article it is argued that BR correspondence is no longer needed, in which case the right-Anchoring constraint used by Hendricks is no longer available per se.
The most long-distance type of segment copy occurs when the similarity condition of morpheme-initiality is placed upon correspondence.
the copy of a preceding consonant to supply featural content to an infixed consonant.\textsuperscript{14}
\begin{tabular}{lll}
(35) & Singular & Plural & Gloss \\
& mavit & mamvit & ‘lion’ \\
& koson & kokson & ‘packrat’ \\
& sipuk & sisipuk & ‘cardinal’ \\
\end{tabular}
Pima yields to more analyses than Koasati; the consonant duplication could be analyzed by any of \textsc{Corr-C}_{M-Init} \textsc{C}_{M-Init}, \textsc{Corr-C}_{ons} \textsc{C}_{ons}, or even \textsc{Corr-CC}, possibly supporting Anttila’s (1997) hypothesis that the more possible OT analyses there are of a phenomenon, the likelier it is to occur. Cases like Pima are quite common in comparison to cases like Koasati.
### 3.5. Phonological duplication of more than one segment
The preceding cases of phonological duplication have all involved single segments. However, Yu (2005a) has observed that phonologically motivated duplication is not necessarily limited in this way. In Washo, to take one example, the morphological category of plurality is realized via prosodic expansion in the stressed syllable, which is normally penultimate (Yu 2005b). In stems like those in (36), the only way to expand the penultimate syllable is to insert a new mora, which is fleshed out by segmental copy of material to the right. Copy is sensitive to syllable role: in pluralizing reduplication, e.g. \textipa{ʔesiw.siʔ} ‘father’s brother’, for example, the new mora copies not the closest consonant to its right (the coda /w/) but the closest onset, namely /s/.
\begin{tabular}{lll}
(36) & Washo plural reduplication (Yu 2005b: 440) \\
& Singular & Plural & Gloss \\
& ?éw.siʔ & ?éšiw.siʔ & ‘father’s brothers’ \\
& nén.t’uš & ne.t’ún.t’uš-u & ‘old women (nom.)’ \\
& sák.sag & sa.sák.sag & ‘father’s father’s brother’ \\
& mók.go & mo.gók.go & ‘shoe’ \\
\end{tabular}
\textsc{Corr-C}_{αSrole} \textsc{C}_{αSrole} (implemented as a directional, right-to-left correspondence constraint) plays a crucial role in Washo, as shown below. Only candidates with the inserted mora in the correct position are considered; see Yu (2005b) for a complete discussion of this aspect of the analysis.
In this Washo case, two-segment duplication is not mandated per se but comes about through the interaction of templatic and phonological constraints. Yu shows that in stems of other prosodic shapes, the same prosodic expansion imperative can result in the addition of a single consonant, so that the template itself does not require a two-segment manifestation. Simple segment insertion is sufficient to satisfy the prosodic expansion imperative; ONSET is what drives the additional copy consonant epenthesis in (36).
Yu cites other cases, however, where phonologically-driven duplication of a substring appears to be less of a coincidence and more of a direct phonological mandate. In Cantonese loanword adaptation, for example, Yu shows that “[l]oanwords that begin with certain C + liquid clusters are borrowed into Cantonese with a copy of the rhyme of the [following] syllable inserted to break up the onset cluster”.
(38) ‘break’ \[pʰɪkʰlɪk\] (br → pʰVCl)
‘blood’ \[paɪlʌt\] (bl → pVCl)
‘straight’ \[siːtɪkʰlɪk\] (tr → tVCl)
The presence of an epenthetic copy vowel inside the offending /CL/ clusters is unsurprising, and could be handled in the way seen above; what is more puzzling is that the coda of the following syllable copies as well. Yu (2003, 2004, 2005a, 2007) argues that syllable rime duplication of this type follows from syllable correspondence, proposing the principle in (39):
(39) Surface Correspondence Percolation:
If syllable \( \sigma_i \) contains a segment \( S_i \) that is in surface correspondence with segment \( S_j \) in syllable \( \sigma_j \), all segments in syllable \( \sigma_i \) must be in correspondence with segments in syllable \( \sigma_j \).
Without going into the details of Yu’s analysis, the reasoning is as follows: the epenthetic vowel required to break up the CL clusters heads a syllable; the epenthetic vowel corresponds (by CORR-VV) to the following vowel, and by (39) (represented by CORR-\(\sigma\sigma\)), the syllables headed by those vowels must also correspond. Without epenthesis of a coda consonant into the first syllable, the syllables will differ in size; copy consonant epenthesis brings them into closer conformity. The tableau in (40),
modified from Yu’s (2005a) example (23), represents the intuition behind Yu’s analysis:
(40)
| | blood | IDENT-IO | CORR-VV | IDENT-σ-O | CORR-σσ | DEP-C |
|---|----------------|----------|---------|-----------|---------|-------|
| a.| [pΛi]k[ΛiΓ]k | | | **!(pl, Øt) | | |
| b.| [pΛiΓ]k[ΛiΓ]k | | | *(pl) | | * |
| c.| [nΛiΓ]k[nΛiΓ]k| *! | | | | * |
Syllable identity is not a consequence but rather a prerequisite for correspondence in phenomena analyzed by Zuraw (2002), who applies the term “aggressive reduplication” to a type of correspondence that occurs, for example, in the (fairly conventionalized) assimilations in English illustrated in (41). This particular example is a case of syllable rimes that meet a certain similarity threshold becoming more similar (becoming identical).
(41) Assimilatory “errors” (Zuraw 2002)
Standard Non-standard
a. pompon pompom
b. orangutan orangutang
c. smorgasbord smorgasborg
d. Inuktitut Inuktituk
Zuraw states correspondence constraints over substrings, not prosodic constituents per se. However, nucleus or rime similarity is involved in all of the cases in (41) except perhaps for smorgasborg; even here, though, the org strings in question would both be considered syllable rimes if one adopts the position that post-tonic consonants in the onset of unstressed syllables are ambisyllabic (e.g., Kahn 1976, Gussenhoven 1986) or codas (Myers 1987).
3.6. Summary
Phonological duplication is the means of providing necessarily phonological content to an epenthetic or templatic segment. It is accomplished by the same technology that handles assimilation in general and, like assimilation, is governed by proximity and similarity conditions on the establishment of correspondence. Phonological duplication
increases the phonological harmony of the output; it is motivated by phonological constraints in grammar.
4. Phonological duplication vs. morphological doubling
Having covered the basics of morphological doubling and phonological duplication, we focus next on some key differences between the two mechanisms regarding the reduplication phenomena that they can describe.
4.1. Phonological size of reduplicants
Phonological duplication is a purely phonological process, and is limited in its targets to phonological constituents: single segments, moras, syllable rimes, syllables. When it provides content to epenthetic segments, the size of its targets follows from the size of phonological constituents that can be epenthesized (segments, moras, sometimes syllables). When it provides content to templatic positions, the amount of material copied follows from the size of the template.
Morphological doubling, by contrast, is a process of the double selection of a morphological entity — affix, root, stem, word — and carries no intrinsic phonological size limitations with it. Phonological size limits can be extrinsically imposed as part of the cophonology associated with a morphological doubling construction. We have seen this with partial reduplication, associated with truncation. However, we have also seen cases in which a morphological constituent is doubled regardless of its size, resulting in the duplication of strings far longer than any that purely phonological duplication could copy.
4.2. Phonological identity between copies in reduplication
Phonological duplication is all about phonological identity, formally and descriptively. Its phonology is the same as the phonology of assimilation. The opposite is true of morphological doubling, in which no phonological correspondence is established. The phonology of morphological doubling is the phonology of stem-formation constructions. Phonological identity in morphological doubling is epiphenomenal, the result of the double selection of the same morphological constituent. Inkelas and Zoll (2005) explore one consequence of this aspect of morphological doubling by focusing on “divergent modification” within morphological reduplication.
constructions, in which the two copies are modified in different ways, ending up more different phonologically than they started out.
4.3. Markedness and TETU
A major difference between phonological duplication and morphological doubling is that the former is subject to “emergence of the unmarked” (TETU) effects, while the latter is not.
Research on reduplication over the past two decades has focused attention on the phenomenon of emergent unmarkedness in reduplicants. In BRCT, TETU effects arise when some markedness constraint is ranked lower than IO-faithfulness, hence not enforced generally in stems, but is ranked above BR-faithfulness, such that reduplicants will obey the markedness constraints at the expense of identity with the base (McCarthy and Prince 1994a, Alderete et al. 1999).
(42) FAITH\textsubscript{IO} >> Markedness >> FAITH\textsubscript{BR}
A very well-known example of TETU is the gerundive construction in Yoruba, in which a preposed CV reduplicant takes its onset consonant from the following base, but invariably uses the vowel /i/ as its nucleus. Alderete et al. (1999) treat the features of /i/ as epenthetic, inserted to satisfy markedness constraints which outrank the need for /i/ to correspond featurally to its counterpart in the base.\textsuperscript{15}
(43)
| | RED, gbóná | IDENT-IO | *[-hi], *[+bk], *[+rd] | IDENT-BR | *consonant place |
|---|------------|----------|------------------------|----------|------------------|
| a. | gb\textsubscript{1}ó\textsubscript{2}-gb\textsubscript{1}ó\textsubscript{2}ná | | ***! | | *** |
| b. | h\textsubscript{1}ó\textsubscript{2}-gb\textsubscript{1}ó\textsubscript{2}ná | | ***! | * | ** |
| c. | gb\textsubscript{1}í\textsubscript{2}-gb\textsubscript{1}ó\textsubscript{2}ná | | ** | * | *** |
| d. | h\textsubscript{1}í\textsubscript{2}-gb\textsubscript{1}ó\textsubscript{2}ná | | ** | **! | ** |
| e. | gb\textsubscript{1}í\textsubscript{2}-gb\textsubscript{1}í\textsubscript{2}ná | *! | * | | *** |
Because BRCT handles all reduplication, even total reduplication, with a RED morpheme that is in a BR correspondence relation with the base, BRCT predicts TETU effects for all types of reduplication, from partial to total. This is, however, a pathological prediction for total reduplication,
in which TETU is virtually never observed. Consider, for example, the total reduplication construction in Yoruba, illustrated below (Pulleyblank 2008):
(44) Yoruba agentive reduplication
a. woléwolé ‘sanitary inspector’ wolé ‘look at the house’
b. pejapeja ‘fisherman’ peja ‘kill fish’
c. yoyín yoyín ‘dentist’ yoyín ‘extract tooth’
d. jédíjédí ‘piles’ jédí ‘eat anus’
e. yínrún yínrún ‘meningitis’ yínrún ‘twist neck’
f. náwónáwó ‘extravagant person’ náwó ‘spend money’
g. jayéjayé ‘lover of pleasure’ jayé ‘enjoy life’
Whichever copy — the first or the second — is labeled “RED” in the total reduplication forms in (44), it is clear that TETU is not being observed; both copies preserve segment quality, and neither reduces its vowels to /i/, as in the gerundive reduplicants in (43). Indeed, in our survey of cross-linguistic patterns of reduplication we have found no cases of segmental TETU effects in total reduplicants.
This is exactly what the Dual Theory predicts. Total reduplication is accomplished by morphological doubling, in which there is no phonological correspondence between the two copies. Without a RED morpheme to correspond, BR-fashion, to the base, and without the phonological correspondence that is present in phonological duplication, morphological doubling predicts that TETU should be no more common in reduplication than it is in any other kind of stem-formation construction — in other words, not expected at all.\(^{16}\)
By contrast, the Dual Theory does predict the possibility of TETU effects in phonological duplication. TETU is accomplished through string-internal output correspondence, in a fashion parallel to that of BRCT — except that the correspondence is not reduplication-specific, but general. TETU effects arise when assimilation is prevented by some higher-ranking markedness constraint from being total, and ends up being only partial. The ranking in question is as follows:
(45) TETU ranking in BRCT: Faith-IO >> Markedness >> Faith-BR
TETU ranking in IDENT-IO >> Markedness >> Ident-O
phonological duplication:
An example of TETU in phonological duplication is illustrated below using data from Nupe. Like Yoruba, Nupe has CV prefixing gerundive reduplication in which the vowel is [+high] (Smith 1969; Hyman 1970; Kawu 2002; Downing 2006: 227; among many others). Pulleyblank (2008) argues persuasively that Yoruba is a case of vowel prefixation
with concomitant copy consonant epenthesis (as in our analysis of Spokane, above), and we will assume here the same is true for Nupe as well. Our focus here will not be on consonant duplication, which works exactly as in Spokane, but on vowel quality. In Nupe, the prefix vowel assimilates in [+round] to a following /o/ or /u/; thus it alternates between /i/ and /u/ depending on context:
(46) Nupe gerundive reduplication
ji-jákpe ‘stooping’
gi-gâyá ‘being too long’
gu-góbá ‘surrounding’
ku-kútá ‘overlapping’
This is a TETU effect within an overall phonological duplication process of total vowel copy. Let us assume that in Nupe, as Alderete et al. do for Yoruba, the quality of the prefixal vowel is entirely determined by grammar, not by any features in its input representation. The epenthetic vowel requires surface specification and is thus obliged either to receive default (unmarked) vowel features and/or to assimilate to a nearby surface vowel. In the analysis sketched below, CORR-VV is enforced generally. IO-faithfulness ensures that assimilation will not destroy input feature specifications, and *[-high] ensures that marked low vowels will not be created (e.g., via assimilation). This gives rise to the TETU effect in reduplicants, as illustrated in (47). Since the prefix vowel must, by virtue of *[-high], surface as [+high], it can assimilate only partially to a following [o], surfacing as [+round]. (Only correspondence between the first two vowels is shown, below, since other correspondences are not relevant.)
(47)
| | V-góbá | IDENT-Vfeatures-IO | *[-high] | CORR-VV | IDENT-Vfeatures-O |
|---|--------|---------------------|----------|---------|------------------|
| b. | gi-góbá | | ** | *! | |
| c. | gu-góbá | | ***! | * | |
| d. | gi₁-gó₁ba | | ** | | **!* (io; [hi], [bk], [rd]) |
| e. | gu₁-gó₁ba | | ** | | * (uo; [hi]) |
| f. | gi₁-gi₁ba | *! | * | | |
| g. | go₁-gó₁ba | | ***! | | |
Igbo, discussed in Alderete et al. (1999), is an interesting case in which full copy occurs, in satisfaction of IDENT-[all]-VV-O, but if full copy would violate the higher-ranking markedness constraint *[-high], partial copy results instead. As seen in the data below, a high vowel is copied in its entirety (a), but in case the closest vowel is [-high], the emergent requirement that vowels agree with the preceding consonant in labiality (b) or palatality (c) is enforced; even more submerged is the emergent requirement of rounding harmony, which occurs when neither total vowel identity nor CV agreement are possible. When neither total identity nor CV harmony are enforced, the prefix vowel simply defaults to [i], as in Nupe (and Yoruba) (e), though it still obeys ATR harmony.
(48) Igbo gerundives:
| a. | ti-ti | ‘cracking’ |
|-----|-------------|--------------|
| | ji-ji | ‘snapping’ |
| | mi-mi | ‘drying’ |
| | nu-nu | ‘pushing’ |
| | ju-ju | ‘being full’ |
| | mu-mu | ‘learning’ |
| b. | ci-co | ‘seeking’ |
|-----|-------------|--------------|
| | nʲi-nʲu | ‘shadow’ |
| | bu-be | ‘cutting’ |
| | gbu-gbe | ‘crawling’ |
| | ku-ko | ‘telling’ |
| | nu-no | ‘swallowing’ |
| | ki-ke | ‘sharing’ |
| | ni-na | ‘going home’ |
This pattern has many facets, including two interesting TETU effects — emergent CV harmony and emergent VV-harmony in single features. CV harmony is enforced by CORR-CV, which compels the segments in a CV sequence to correspond, and IDENT-[lab/pal] CV-O, which compels corresponding C and V to agree in the features [labial] and [palatal]. VV harmony is enforced by CORR-VV, which compels vowels to correspond, and IDENT[+rd]-VV-O, which compels corresponding vowels to agree in [+rd]. Both CV and VV harmony are potentially obscured by the imperative of total VV identity, IDENT-[all]-VV-O, that compels corresponding vowels to be identical. But when satisfaction of IDENT-[all]VV-O is made impossible by the demands of the higher-ranked markedness constraint against [-high] vowels whose effects emerge on the prefix vowel, the lower ranking correspondence imperatives take effect, and harmony emerges. In the tableau below, the total VV identity mandate, IDENT-[all]-VV-O, ranks below *[-high] and CORR-VV, ensuring correspondence even when total identity cannot be enforced. CORR-CV and its counterpart, Ident-[lab/pal]-CV-O, rank below IDENT-[all]-VV-O, such that they are satisfied only when they don’t conflict with total identity. Even lower ranked are the individual feature identity constraints on the corresponding vowels, requiring them to be identical in [round].
This brief demonstration should be sufficient to show that partial assimilation, rather than total assimilation, can be forced when markedness constraints rank high enough. This is just like the BRCT approach to TETU, in which total reduplicative identity is reduced to partial identity under the impetus of markedness considerations. But in (49) the correspondence is strictly phonologically motivated; there is no abstract morpheme RED and there is not BR correspondence per se.
As Kim (2007) has observed, the default to partial assimilation when total assimilation is impossible is not the only option. It is also possible for the next-best option, after total assimilation, to be reversion to the default segment, without partial assimilation at all. Kim documents one such case — which she terms ‘sour grapes’ harmony — in Huave, where
underspecified suffix vowels either assimilate totally to a preceding vowel or default to /i/, depending on whether total assimilation is allowed by high-ranking markedness constraints.
To sum up to this point, the Dual Theory predicts TETU effects in phonological duplication, but not in morphological doubling. The prediction that TETU effects do not occur in morphological doubling is supported by the observation that TETU does not occur in total reduplication.
An interesting elaboration of this observation is that even internal to partial reduplication, TETU effects are much stronger with CV or single-segment reduplication than they are with reduplication patterns in which the reduplicant is foot-sized. An interesting take on this generalization is suggested in Urbanczyk (2006), who observes that internal to Lushootseed, CV reduplication exhibits more TETU effects than CVC partial reduplication. Urbanczyk captures the difference between the two patterns by treating CVC reduplicants as morphological roots, and CV reduplicants as affixes. Because Faith-BR-Root always outranks Faith-BR (which applies to roots and affixes alike), Urbanczyk is able to model the situation in which only affixal reduplicants are subject to reduction:
(50) FAITH\textsubscript{BR}-Root >> Markedness >> FAITH\textsubscript{BR}
However, nothing rules out the ranking of Markedness higher than both FAITH\textsubscript{BR} constraints, in which case TETU effects would apply to reduplicants of any morphological category, whether total, Foot-sized or Affix-sized. By contrast, the Dual Theory predicts TETU effects only in very small reduplicants, those derived by phonological duplication.
A survey of a number of cases of partial reduplication that are unambiguously morphologically driven suggests that while some reduplicants exhibit stress shift, tone melody replacement, or ablaut, we do not find clear and obvious cases of segment inventory reductions or syllable structure simplification. Thus, for example, we observe foot reduplication in Manam: salaga → salaga-laga ‘long’, malabonj → malabonj-bonj ‘flying fox’. We do not find, or expect to find, the TETU counterpart: *salaga-la-la or *salaga-tata or *salaga-titi; we do not find *malabonj-bo? or *malabonj-?onj. Diyari disyllabic foot reduplication is faithful, other than the ban on final consonants imposed on all prosodic words, not just reduplicants: wila-wila ‘women’, t’ilpa-t’ilparku ‘bird sp.’ (Austin 1981; Poser 1989; McCarthy 1999: 263). We do not find cluster reduction and/or inventory reduction: *t’ipat’ilparku, *t’iltat’ilparku, etc. Partial reduplication is thus really no different from total reduplication: when reduplication is clearly morphological, TETU effects do not arise.
In sum, TETU effects, namely the suppression of marked features or other structures in reduplicants is predicted in the Dual theory to occur
systematically only under phonological duplication (and even there TETU is of course not necessary); TETU is not predicted to be occur systematically in morphological doubling, any more than context-free structural simplification or segment inventory contraction is expected in any stem-forming cophonology.
4.4. Locality
It is a characteristic of phonologically driven duplication that the elements which duplicate are the closest possible segments. In Ponapean, when a copy vowel is needed to break up an illegal consonant cluster, it is the closest following vowel that is chosen (51a). In Hausa, when a consonant from the stem is copied to provide an onset within the plural suffix -o:Ci:, it is the closest consonant (51b). Proximity is a characteristic of phonological assimilation as well. Even when assimilation occurs at a distance, as in consonant harmony or the coda-to-coda cases collected by Zuraw (2002) and illustrated in (51c), the target assimilates to the closest trigger in the word.
(51) Phonological targets
a. Closest vowel: ak-dei → ak-é-dei, not *ak-i-dei, etc. (Ponapean)
(Rehg and Sohl 1981)
b. Closest C: gulà: → gul-ò:li:, not *gul-ò:gi:, etc. (Hausa)
(Newman 2000)
c. Closest coda: orangutan → orangutang; pompon → pompom, etc.
(Zuraw 2002)
By contrast, in cases of partial reduplication in morphological doubling, it is not the case that the phonologically similar elements in “base” and “reduplicant” need be close to each other. They come from independent inputs and do not correspond, hence are not subject to mutual proximity requirements. Dramatic evidence of this come from cases of opposite side reduplication, here illustrated by Koryak reduplication (Riggle 2003), which marks absolutive case:
(52) mítqa → mítqa-mít ‘oil’
kilka → kilka-kil ‘shellfish’
qanga → qanga-qan ‘fire’
yilqa → yilqa-yil ‘sleep’
Koryak meets the description of morphological doubling. The purpose of reduplication is strictly morphological; the size of the reduplicant is larger than the typical phonological target; there is no segmental reduction or
simplification. In the Dual Theory, Koryak reduplication is handled via morphological doubling, the juxtaposition of a noun stem and its truncated counterpart to form a derived stem whose meaning is the same as that of its input daughters but which, in addition, encodes the absolutive case. There is no connection in MDT between the part of the stem that survives truncation — beginning, end, middle — and whether it precedes or follows its (nontruncated) sister in the doubling construction. In MDT, actual Koryak is just as possible as Koryak’, in which the truncated stem — e.g., mtt — happens to precede (rather than follow) its nontruncated counterpart; thus both mtt-mttqa and mtq-a-mtt are equally possible.
In phonological duplication, however, similarity and proximity determine the relationship between copy segments. If Koryak marked the absolutive with an affixed copy vowel, the linear alignment of affix and stem would determine which vowel gets copied. Thus, in hypothetical Koryak’, *I-mtqya and *mtqya-a would be possible outcomes, but not *a-mtqya or *mtqya-I, with illegal opposite-edge copy. The proximity hierarchy makes it impossible to describe mandated opposite-edge copy in general.
4.5. Infixation
Internal, or infixing, reduplication is a common subtype both of reduplication and of infixation. One well-known example from the literature (see e.g., Inkelas and Zoll 2005: 107, Klein 1997, Yu 2007: 126) is cited below:
(53) Chamorro (Topping 1973) stressed CV reduplication
hátsa ‘lift’ háhatsa ‘one that was lifting’
hugándo ‘play’ hugágando ‘playing’
As extensive surveys such as that of Yu (2007) have shown, internal reduplication is limited in two ways. First, internal reduplication is always local, as in the Chamorro example in (53); we never see Koryak-style opposite edge copying with infixation. Second, internal reduplication is, almost without exception, small. A rough count of the cases of internal reduplication cited in Yu turned up seven cases of CV reduplication (as in Chamorro), three cases of VC reduplication, five cases of C reduplication (as in Pima (35)), and three cases of V reduplication; all copied the nearest segments. Yu also describes at least four cases of internal reduplication of the initial consonant (e.g., Koasati (32)).
These proximity and size effects follow if internal reduplication results from phonological duplication, rather than morphological doubling. And, indeed, internal reduplication is very difficult to describe in morphological doubling theory, in which two morphological constituents of the
same type and meaning are sisters in a morphological construction. Endowing the morphology with the ability to infix one stem inside another would make the pathological prediction that compounding, or incorporated nouns, or other stem-stem constructions could involve infixation as well.\textsuperscript{17} The hypothesis made here is, thus, that because internal reduplication is not possible to describe in terms of morphological doubling, it should always show the hallmarks of phonological duplication.\textsuperscript{18} Thorough documentation and discussion of internal reduplication is beyond the scope of this article, but the predictions are testable and await examination in future research.
5. The potential for ambiguity in (C)V reduplication
Despite their apparent differences, there is one area in which the descriptive scopes of morphological doubling and phonological duplication come close to overlapping. This is in the area of CV or VC reduplication, fairly common types of partial reduplication crosslinguistically, and illustrated below by the intensifying construction in Chamorro, which duplicates the final CV of the stem (Topping 1973: 183):
(54) Chamorro intensifying reduplication
ñálang ‘hungry’ ñálalang ‘very hungry’
métgot ‘strong’ métgogot ‘very strong’
bunita ‘pretty’ bunítata ‘very pretty’
CV reduplication can be handled easily as morphological doubling, with truncation of one copy to CV. It can also, fairly easily, be handled as phonological duplication, as we have seen in Yoruba, Nupe and Igbo, in which prefixation of a bare V can lead to CV reduplication. Ambiguity of analysis like this is natural and inevitable, given the presumed diachronic course of reduplication. Although not enough is yet known about the evolution of partial reduplication, it is commonly believed that partial reduplication evolves from total reduplication, and that the end stage in the developmental pathway is gemination (or, presumably, vowel lengthening). The chart in (55) is drawn from Niepokuj (1997):
(55) Presumed historical pathway of reduplication (Niepokuj 1997)
Stage 1: total: X > XX
Stage 2: one copy is reduced
Stage 3: partial
Stage 4: gemination
Support for treating CV (or VC) reduplication as deriving from V affixation — i.e., as essentially phonological in character — comes from cases in which vowel lengthening and CV (or VC) reduplication are contextually determined allomorphic alternatives. The V ~ CV alternation is reported, for example, for Miya Schuh (1998) and Bissell (2002), cited in Inkelas and Zoll (2005: 202), Kuuk Thayorre (Gaby 2006), Halkomelem (Urbanczyk 1998), and many other languages. A particularly dramatic case occurs in Cupeño, in which the habilitative is, according to Haynes (2007b), an empty mora infixed between a trochaic foot and a final consonant.\(^{19}\) For penultimately stressed input stems like *yúymuk* ‘be cold’, the output of the habilitative is *yúymuʔuk*, with the infixal mora realized segmentally through a combination of correspondence (vowel copy) and epenthesis (the ? consonant). Confirming that these realizational tactics are phonological, stems which are monosyllabic in the input surface with two new moras, one from the habilitative infix and one inserted by the grammar to render the pre-infixal stress foot disyllabic: *tewáš* → *tewáʔaʔas*. Regardless of the provenance of the (otherwise) empty mora — underlying representation vs. epenthesis to repair the foot — its consonant and vowel are supplied in the same way, namely the optimal way given the ranking of constraints in Cupeño grammar. Treating V insertion and CV reduplication as possible co-existing outcomes of empty mora insertion in a given language also generates the further expectation that CV reduplication could alternate with consonant gemination as a means of realizing the inserted mora. This alternation is found in Washo (Yu 2005b), Bole (Schuh 2001), and many other languages. The evolution from CV reduplication to C gemination (via syncope) is extremely well documented (see e.g., Blevins 2004).
6. Implications for GTT
Generalized Template Theory (GTT; McCarthy and Prince 1994b, Urbanczyk 1995, 1996, 2000, 2006 and, from a different perspective, Downing 2006) is a theory developed within the overall framework of BRCT in which reduplicative size and shape are determined by classifying individual RED morphemes as roots vs. affixes. This dichotomy has an essentially phonological purpose, as seen in the earlier discussion of Urbanczyk’s (2006) analysis of Lushootseed, in which reduplicants classified as Roots are subject to minimal size constraints — typically two moras or more — and are less prone to structural simplification or segmental reduction than are Affix reduplicants. The essential insight of GTT is that Root-sized reduplicants will show Root-style phonology, while Affixes
will show Affix-style phonology, whatever that might be for the language in question; as Urbanczyk (2006) observes, this generates an implicational prediction within every language to the effect that Root-sized reduplicants will never be required to be smaller than, or less faithful to, the Base than Affix-sized reduplicants will be required to be. Urbanczyk confirms this prediction for Lushootseed, in which the reduplicative distributive prefix is both larger and more marked — CəC — than the diminutive, which is Ci in form:
(56) Lushootseed (Urbanczyk 2006)
a. jəsəd jəs-jəsəd ‘foot/feet’
b. jəsəd jí-jəsəd ‘foot/little foot’
An alternative analysis of Lushootseed, in the Dual Theory, would be to classify CVC reduplication as morphological doubling (with truncation), and CV reduplication as phonological duplication. This distinction would explain the same phonological asymmetries Urbanczyk points out. An advantage to making the needed distinction via the Dual Theory rather than by classifying one reduplicant as a Root and another as an Affix is that, as Inkelas and Zoll (2005) have observed, the Root-Affix distinction may be needed for an independent, purely morphological purpose, not for the purpose of predicting phonological size or susceptibility to reduction. Inkelas and Zoll cite a number of languages exhibiting affix doubling constructions in which a particular affix is doubled, either partially or in its entirety, to some morphological end (see also Mühlbauer 2003). These are different from stem doubling constructions, in which an entire stem, whether simplex or complex, is the target of doubling. In Dyirbal, for example, the nominal suffix -ŋangay ‘without’ can reduplicate, intensifying its semantic contribution (Dixon 1972: 242, cited in Inkelas and Zoll 2005: 27):
(57) bana ‘water’
bana-ŋangay ‘without water’
bana-ŋangay-ŋangay ‘with absolutely no water at all’
When affix doubling has no apparent semantic effect distinct from what would be expected from a single instance of the affix, the term ‘multiple exponence’ is often used; see e.g., Stump 1991. In cases where affix doubling contributes new meaning, either iconic (as in Dyirbal) or more idiomatic (as in some other cases cited in Inkelas and Zoll 2005), it can only be called affix reduplication.
Further support for transferring the responsibility for prosodic size of reduplicants, in particular, away from the Root-Affix distinction is the evidence assembled by Downing (2006) that there is a tight correlation
between prosodic size and morphological complexity, with morphologically complex constituents required to be phonologically binary, a size restriction that monomorphemic constituents, even roots, can evade.
In sum, there is much evidence within reduplication that the reduplication of small amounts of material functions differently, phonologically, from the reduplication of larger amounts of material, and that the duplication of roots can be distinguished from the reduplication of affixes. The major cuts drawn in reduplication by the Dual Theory and by GTT are shown below. (Affix doubling per se is not discussed in the GTT literature, though we assume that, since the affix doubling cases we are aware of include large size and do not show reduction, they would need to be included under the RED=Root category.)
(58)
\[
\begin{array}{c}
\text{All reduplication} \\
\text{Phonological duplication} & \text{Morphological doubling} \\
\text{Stem doubling} & \text{Affix doubling} \\
\text{Total} & \text{Partial} & \text{Total} & \text{Partial} \\
\end{array}
\]
Dual Thy: \( \approx \) mora-sized or smaller variable \( > \mu \) variable \( > \mu \)
GTT: \[ |...........RED=Affix...........|...........RED=Root...........| \] (?)
As can be seen, there is significant isomorphism in the major theory-internal classification of reduplication types, though the character of the division is explained very differently in the two approaches.
7. Implications for BRCT
A result of adopting the Dual Theory of reduplication is that the abstract morpheme RED that drives reduplication and reduplicative correspondence in BRCT plays no role either in phonological duplication or in morphological doubling. The Dual theory thus takes to the logical limit a recent steady trend towards a-templatic reduplicative analyses, even within BRCT, in which the role of RED and constraints specific to it have been eroding (see e.g., Gafos 1998b; Hendricks 1999, 2001; Riggle
The loss of Red aside, however, one very essential insight of BRCT does live on in the Dual Theory, and that is that reduplication can result from string-internal output correspondence. In BRCT, all reduplication is characterized in this manner, while in the Dual Theory, only phonological duplication is arrived at through correspondence. As we have seen, restricting correspondence to phonological duplication correctly predicts the clustering of TETU effects just in this domain.
Another advantage of recognizing the more limited role that correspondence plays in reduplication lies in the elimination of certain pathological predictions that BRCT has been observed to make for morphological reduplication. As carefully argued in McCarthy and Prince (1995), a prediction BRCT makes is that BR correspondence, being bidirectional, can produce opacity effects (overapplication/overcopying, or underapplication/undercopying) in reduplicants or in bases. In support of this prediction, they cite cases like Chumash, in which the posited input /s-Red-ikuk/ surfaces as sik-sikuk ‘he is chopping, hacking’, with an opaque root-initial s, not the expected *s-ik-ikuk which the input structure would seem to predict. McCarthy and Prince (1995) attribute this opaque overcopying effect to BR correspondence. Inkelas and Zoll (2005: Chapter 5) argue that this and many other key examples of opacity in the BRCT literature do not require BR correspondence to achieve, that many opacity effects in reduplication either vanish (as in the Chumash case) under a different morphological analysis (namely: /Red-s-ikuk/) or are simply cyclic phonological effects of the type that normally arise in complex morphological structures, along the lines of the approach to opacity taken in Kiparsky (2000). Inkelas and Zoll point out (pp. 162–163, 175) that by deriving all reduplication, even total reduplication, by correspondence, BRCT predicts apparently unattested opacity effects like the following hypothetical examples: /bihan-Red/ → biham-biham (overcopying of an internal junctural assimilation) or /tapan-Red-la/ → tapal-tapal-la (overcopying of an external junctural assimilation). However, the insight in BRCT that opacity can result from correspondence is still correct, even if correspondence happens not to be the source of opacity in all of the examples cited in the BRCT literature, and even if it makes pathological predictions for morphological reduplication examples like the ones just cited. In the Dual Theory, opacity by correspondence is predicted to be possible just where correspondence itself is the source of reduplication — namely in phonological duplication. This is correct. A striking illustration can be found in Woleaian, in which a structure created via reduplication is itself reduplicated (Kennedy 2003, citing primary sources). In Woleaian, progressive verbs are formed by
prefixing a CV reduplicant and geminating the base-initial consonant, as shown below:
(59) metafe ‘to be clear’ mem-metafe ‘to become clear’
pirafe ‘steal’ pip-pirafe ‘to be stealing’
toro-fi ‘catch it’ tot-toro ‘to catch’
The opacity effect in Woleaian has to do with junctural geminate consonants. Several consonants in the Woleaian inventory change in quality when geminated; singleton \( l \) geminates as \( nn \), \( g \) as \( kk \), \( r \) and \( s \) as \( cc \), and \( \beta \) as \( bb \). Under progressive reduplication, the copied onset consonant reflects the qualitative changes in the outcome of gemination (Kennedy 2003: 173):
(60) gematefa ‘explain it’ kek-kematefa ‘be explaining it’
l\u{u}wanee-y ‘think (it)’ n\u{u}n-n\u{u}wane ‘to think’
rane ‘yellow powder’ cec-cane ‘apply powder’
fal\u{u}-w ‘water’ cec-cal\u{u} ‘to stick to’
This is not a situation that morphological doubling can handle — since in morphological doubling there is no phonological correspondence between the copies that could motivate the “overapplication” of geminate phonology in the reduplicant — but it is a situation that phonological duplication can, and should, handle. Progressive reduplication in Woleaian geminates the stem-initial consonant, an operation used independently in the language for the formation of denotatives (e.g., fera\(\bar{g}\)i ‘spread’, fferagi ‘to be spread’; \(\beta\)uga ‘boil it’, bhuga ‘to boil’) (Kennedy 2003: 174) and prefixes a vowel which copies its features from the closest following vowel. Onset requires insertion of an epenthetic consonant, which copies its features from the closest following consonant — which happens to be the stem-initial geminate. Thus epenthetic onsets opaquely reflect geminate phonology.
This is the kind of phenomenon that BRCT handles well, except that BRCT overgenerates by predicting it in the areas of total and partial morphological reduplication, where it does not occur to the same degree as in the phenomena classified here as phonological duplication. Inkelas and Zoll (2005: 162) cite hypothetical cases like bihan-\textit{RED} \(\rightarrow\) biham-biham to show that reduplication of junctural phonology does not occur in morphological reduplication (see also McCarthy and Prince 1995: 327–328).\(^{20}\)
In sum, the prediction of BRCT that overapplication can be driven by correspondence is correct — but only for a restricted subset of types of reduplication, namely those driven by the phonology. The difference between the Dual theory and BRCT in this regard lies not in whether correspondence is used but in the extent of its role.
8. Conclusion and implications
This article has argued, building on Inkelas and Zoll (2005), Yu (2005a), and Pulleyblank (2008), for the Dual Theory, an essential typological distinction within reduplication between phonological vs. morphological doubling. This is not a unidimensional taxonomy but rather a typology in which many properties cluster together. We have argued, first, that phonological duplication, (i.e., duplication for a phonological purpose such as providing an onset or nucleus for a syllable), is a kind of phonological copying or assimilation. It follows from this that duplication will be minimal in size, that phonological copying will be maximally proximal, that phonologically duplicated material will show TETU and opacity effects relating to the phonological correspondence that spawns it. The second category, morphological doubling, is the double insertion of a morphological constituent, as required by the morphology. Its function is to mark a change in meaning or create a new stem type. In general morphological doubling is not size-restricted (phonologically); “source” and “copy” (insofar as those terms even mean anything) are not necessarily proximal, and morphological doubling shows no TETU or opacity effects relating to phonological correspondence, because there is none.
The Dual Theory maintains key insights of previous approaches to reduplication: the correspondence relation that drives BRCT is very much a force in phonological duplication; the trend towards a-templatic analyses of reduplication also find a home in phonological duplication; and the growing literature on multiple exponence and copy without deletion resonate with the morphological doubling analysis.
Received 2 December 2004 University of California at Berkeley
Revised version received 9 December 2007
Notes
* This article builds directly on a large body of work done jointly with Cheryl Zoll, who is responsible for many of the key insights and arguments. I am very grateful to Larry Hyman and Anne Pycha for their thoughtful comments on an earlier draft, and to Alan Yu for leading me through his example to look hard at phonological duplication as a source of reduplication. An anonymous reviewer made numerous interesting observations and useful suggestions, for which I am grateful. Correspondence address: Department of Linguistics, University of California at Berkeley, 1203 Dwinelle, Berkeley, CA 94720, USA. E-mail: email@example.com.
1. Black analyzes weak roots with underlying schwa; as vowel quality is predictable I have omitted the vowel here, to make the distinction between root types clearer. See Black (1996: 203, 210 ff.) for discussion of weak vs. strong roots.
2. Stem-forming constructions of this type might be classified under “readjustment” in theories like Distributed Morphology, where all morphology is exponence-driven; Halle and Marantz (1994).
3. One case of truncation to CV in Zuni — accompanied by suffixation — is discussed in McCarthy and Prince (1986) (see e.g., McCarthy and Prince 1996: 49), based on Newman (1965).
4. Prior to OT, a version of string-internal correspondence was developed by Hayes (1990), who recognized the virtues of correspondence (co-indexation) over autosegmental spreading in the analysis of diphthongization.
5. Vowel harmony (and vowel copy) are handled with autosegmental spreading instead of correspondence by Kawahara (2003), Rose and Walker (2004), based in part on the observation that consonantal interactions operate at greater distances than vowel interactions; it would take more space than is available here to address their arguments in proper detail, but it is hoped that the greater sensitivity of the correspondence theory used here overcomes the objections they raise.
6. As Hansson (2001) notes, building on Suzuki (1998), correspondence relations can also be used to generate dissimilation effects. These would require anti-identity (\(\neg\)IDENT-F-O, rather than IDENT-F-O) constraints.
7. Note: in Hansson’s analysis of Ngizim, Corr-TS is called ‘Corr-[voi,Place]’, Corr-SG is called ‘Corr-[voi,Place,cont]’; Corr-TN is called ‘Corr-[voi,son]’. Hansson names similarity-based correspondence constraints according to the features in which the corresponding consonants are allowed (though of course not required) to differ.
8. Interestingly, although it is not the subject of this article, dissimilation is subject to the same correspondence similarity thresholds. Hansson (2001) notes, for example, that in Bade, voicing \textit{dissimilation} applies under the same similarity conditions that voicing \textit{assimilation} applies in Ngizim: a nonimplosive consonant will dissimilate in voicing relative to another nonimplosive consonant in the same root. Thus not only \textsc{Ident} but also the OCP (or other dissimilation-triggering markedness constraints) is stated on pairs of corresponding segments.
9. See Kawahara (2003) and Kim (2007) for recent discussion of “echo epenthesis” effects of this sort.
10. A similar phenomenon obtains in Temiar; see e.g., Gafos (1998a).
11. Rather than folding structural role in to the similarity hierarchy, as is done here, Rose and Walker (2004) state the constraint independently. As their focus is consonant harmony, the constraint is stated in terms of consonants. \(\sigma\)-Role(CC), based on the earlier StRole used in BRCT by e.g., McCarthy and Prince (1995), says that “corresponding consonants (in the output) must have identical syllable rules” (Rose and Walker 2004: 511). This form of the constraint is also used by Yu (2005b) in his analysis of Washo.
12. In the case of vowel-initial stems, the first stem consonant — even though not absolutely initial in the stem — copies: \textit{aloːtkan} \(\rightarrow\) \textit{alotlókan} ‘to be full’. The choice of copy, rather than epenthesis or resyllabification, to supply -\textit{oː}- with an onset is due to higher-ranked constraints, not shown in this tableau.
13. Evaluation of Corr here glosses over the issue that the stem \textit{cofoknan} is itself multimorphemic; however, on any kind of theory of ‘bracket erasure’, only the boundary between the affix and the base of affixation will be visible on any affix cycle, boundaries internal to the base of affixation being inaccessible (see e.g., Orgun and Inkelas 2002). That is what I will assume here.
14. As discussed by Haynes (2007a), facts like these in Kwakwala and Lushootseed led Struikje (1998, 2000a, 2000b) — who assumed a prefixing analysis — to propose Existential Faithfulness as a means of accounting for the apparent effect where the reduplicative prefix faithfully reflects the input while the base is reduced (here, by vowel loss). However, on the infixing analysis, this theoretical “fix” of BRCT is unnecessary.
15. Alderete et al. (1999) explain that their analysis would work equally well whether the entire /i/ vowel were epenthetic, or just its features; in their paper they illustrate the former option, but I choose the latter here since it better illustrates the potential for TETU in phonological duplication. They also use, with explanation, the shorthand constraint “REDUCE” to cover the specific bans on marked vowel feature values that I use here for greater clarity in this particular example. The choice of [h] to serve as the hypothetical default consonant in Yoruba is based on a hypothetical consonant epenthesis candidate in a discussion of Yoruba reduplication in Pulleyblank (2008).
16. As Downing (2005) has observed, tonal neutralization is a not infrequent concomitant of total reduplication. Tone is one of the few phonological dimensions along which it is fairly common to find total replacement, or neutralization, in stem-formation as well.
17. As Anne Pycha points out, expletive infixation in English is presumably a case of exactly this kind; however, expletive infixation lives on the margin between grammar and language games, and if the only cases of stem infixation belong to language play, they may thus constitute the exception that proves the rule — in this case the rule that morphology does not infix stems inside other stems.
18. Yu (2007: Chapter 4) does discuss three cases of foot reduplication — seemingly, because of reduplicant size, all cases of morphological duplication — in Kamaiurá, Amis, and Thao, which are classified as internal reduplication inasmuch as the reduplicant appears to be infixied before the final consonant. In Kamaiurá, for example, *omotumug* reduplicates as *omotumutumug* ‘he shook it repeatedly’ (p. 113), with the second *tumu* substring identified as the reduplicant. In all three of these cases, however, consonant clusters of the type that would be produced if a copy of the final foot were suffixed are phonotactically impermissible, making it possible to suggest that the appearance of infixation is actually the result of juxtaposition and consonant cluster reduction (*omotumug-tumug → omotumutumug*). This is what would be required to maintain the claim that internal reduplication is always phonological duplication. Yu (2007: Chapter 6) also discusses a number of language games whose infixing reduplication goes beyond what is possible to describe as phonological duplication, but which do not appear really to meet the description of morphological doubling either.
19. Haynes takes her data from Hill (2005); the data have also been discussed by Crowhurst (1994), who provides a different, templatic analysis.
20. The famous example of Malay total reduplication (McCarthy and Prince 1995), with opaque overapplication of vowel nasalization, is an exception.
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Left Atrial Myxoma and Systolic Anterior Motion of the Mitral Valve with Sigmoid Septum complicated by Left Ventricular Outflow Tract Obstruction
Zhenwei Teo\textsuperscript{1*}, Jian Jing Tan\textsuperscript{1}, Mathew Jose Chakaramakkil\textsuperscript{2} and Jia Hao Jason See\textsuperscript{1}
\textsuperscript{1}Department of Cardiology, Changi General Hospital, Singapore
\textsuperscript{2}Department of Cardiothoracic Surgery, National Heart Centre Singapore
*Corresponding author: Zhenwei Teo, Department of Cardiology, Changi General Hospital, Singapore
Abstract
Patients with symptomatic systolic anterior motion (SAM) of the mitral valve and left ventricular outflow tract obstruction (LVOTO) pose significant challenges in their management. This often occurs in a setting of hypertrophic cardiomyopathy (HCM), and occurrence of SAM without HCM is uncommon. In this report, we present a case of mitral valve SAM with sigmoid septum complicated by LVOT obstruction, as well as a concomitant left atrial myxoma, which was treated with an Alfieri procedure and myxoma excision with good results.
Keywords
Myxoma, SAM, LVOT obstruction
Introduction
Patients with SAM are usually asymptomatic till significant LVOT obstruction occurs, for which pharmacological agents such as beta-blockers, non-dihydropyridine calcium channel blockers or disopyramide can be given to reduce obstruction and relieve symptoms. In patients who do not respond to medical therapy, surgery such as septal myomectomy or alcohol ablation to reduce LVOT obstruction or mitral valve intervention to correct SAM are options in select patients. We present a case of mitral valve SAM with sigmoid septum complicated by LVOT obstruction, as well as a concomitant left atrial myxoma, which was treated with an Alfieri procedure and myxoma excision.
Case Report
A 70-year-old Chinese female with underlying hypertension, hyperlipidemia and diabetes mellitus presented to the outpatient clinic with exertional dyspnoea. There was no family history of hypertrophic cardiomyopathy or sudden cardiac death. Physical examination revealed normal sinus rhythm with a systolic murmur. Transthoracic echocardiography showed a non-dilated left ventricle with a sigmoid septum (maximal thickness of 15 mm) (Figure 1). The left ventricular ejection fraction was 60%. There was SAM of the mitral valve resulting in significant LVOTO (Figure 2 and Figure 3), with peak pressure gradient of 39 mmHg at rest, which rose to 78 mmHg with bicycle exercise (Figure 4 and Figure 5). There was also moderate to severe mitral regurgitation. The length of the anterior mitral leaflet was 2.2 centimetres, and the aorto-LV angle was measured at 121 degrees. An incidental inter-atrial septum mass on the left atrium was also noted, suggestive of an atrial myxoma. She was started on beta-blockade for symptom relief, but despite that remained very symptomatic.
She had a computed tomography coronary angiogram which showed severe stenosis in the left anterior descending artery, and confirmed the presence of the previously seen left atrial mass noted on transthoracic echocardiography. A diagnostic coronary angiogram demonstrated single vessel coronary artery disease of 70-80% stenosis of the mid left anterior descending coronary artery.
Her case was discussed with the cardiothoracic surgical team, and the decision was for singleFigure 1: Sigmoid septum (white arrow) with maximal thickness of 15 mm.
LA: Left Atrium; LV: Left Ventricle; AO: Aorta; RV: Right Ventricle
Figure 2: M-mode showing systolic anterior motion (white arrows) of the anterior mitral valve leaflet.
AMVL: Anterior Mitral Valve Leaflet; IVS: Inter-Ventricular Septum; SAM: Systolic Anterior Motion.
Figure 3: Colour flow (white arrowhead) showing flow acceleration through left ventricular outflow tract (LVOT), signifying obstruction. There is also significant mitral regurgitation (white arrow).
Figure 4: Peak LVOT gradient (39 mmHg) at rest.
Figure 5: LVOT gradient increasing to 78 mmHg with bicycle exercise.
Figure 6: Intra-operative TEE showing LVOT obstruction (arrowhead) and severe mitral regurgitation (arrow).
vessel coronary artery bypass with left atrial mass excision and mitral valve repair. Intra-operative trans-esophageal echocardiogram showed systolic anterior motion of the mitral valve with resultant severe mitral regurgitation (Figure 6). The maximum resting intra-left ventricle gradient was measured at 72 mmHg. A well circumscribed mass was attached to the inferior-posterior left atrial wall, in keeping with a known left atrial myxoma. Single vessel coronary artery bypass grafting of the left internal mammary artery (LIMA) to the 2nd diagonal artery with excision of the left atrial myxoma was performed, followed by mitral valve repair with an Alfieri stitch applied from the A2 to P2 mitral leaflets (Figure 7). Immediate post-operative trans-esophageal echocardiogram showed reduction in mitral regurgitation to mild severity with reduction.
**Figure 7:** Post-operative 3D TEE showing the characteristic ‘double orifice’ appearance of the mitral valve post Alfieri stitch.
**Figure 8:** Post-operative TEE showing reduction in LVOT obstruction (arrow).
in systolic anterior motion of the mitral valve (Figure 8 and Figure 9). Peak pressure gradient across the left ventricular outflow tract was reduced to 27 mmHg. The patient made an uneventful recovery, and repeat transthoracic echocardiography done on post-operative day 10 showed satisfactory trans-mitral gradient of 3 mmHg with resolution of the prior systolic anterior motion of the mitral valve. There was non-significant left ventricular outflow tract gradient of 28 mmHg at rest. She was discharged the following day.
The patient was followed up and remained well with resolution of her symptoms. A surveillance transthoracic echo done 8 months post-operatively showed similar trans-mitral gradient of 4 mmHg with residual mild-moderate mitral regurgitation with no systolic anterior motion of the mitral valve and no significant left ventricular outflow tract or mid-cavity gradient at rest.
**Discussion**
The mechanism of systolic anterior motion (SAM) of the mitral valve is thought to be multi-factorial. Manabeetal [1] described three main mechanisms: 1) Residual anterior leaflet length beyond the coaptation point- the longer the residual length floating in the LVOT, the more significant the SAM and resultant LVOT obstruction; 2) A shortened mitral coaptation to LV septum distance leading to more ejected flow directed between the posterior mitral leaflet and the posterior LV wall, which results in displacement of the anterior leaflet towards the LVOT; and 3) Hyperdynamic LV coupled with a small LV cavity resulting in high-flow ejection velocity, which is quantitatively related with the degree and severity of SAM.
In a study by Uematsu, et al. [2] of 9180 sequential patients, the prevalence of non-HCM SAM was very low at 0.3%. They also compared HCM associated with SAM to non-HCM SAM, and found that the latter group was older and had a higher prevalence of sigmoid septum.
Our patient had a sigmoid septum which is a facet of normal aging, where the base of the interventricular septum protrudes into the left ventricular cavity, and this could have contributed to SAM and LVOTO. Although it has been previously reported that LVOT obstruction could occur in patients with a sigmoid septum and hyperkinetic conditions, our patient had a significant LVOT gradient at rest.
In patients with sigmoid septum related-SAM, treatment strategies are unclear although beta-blockade and class Ia antiarrhythmic drugs might reduce the LVOT pressure gradient. In a report of 2 cases by Ozaki, et al. [3], cibenzoline and atenolol were effective in reducing the LVOT pressure gradients in patients with sigmoid septum. For our patient, she underwent a trial of beta blockade but this proved ineffective with continued symptoms. In view of the presence of a concomitant atrial myxoma that required surgery, she underwent an Alfieri stitch of her mitral valve at the time of myxoma resection that obliterated both the SAM and LVOTO.
A study by Collis, et al. [4] demonstrated that the Alfieri procedure was effective adjunct therapy for prevention or treatment of SAM in the setting of a concomitant septal myomectomy in patients with
hypertrophic obstructive cardiomyopathy. Other case studies have also reported using a modified Alfieri’s stitch post mitral valve repair to treat SAM. Our case report demonstrates the effective use of an Alfieri stitch to relieve SAM and LVOT obstruction, in the same setting of surgical excision of the left atrial myxoma. For patients who are averse to open heart surgery, transcatheter mitral valve repair has been previously described to be helpful in patients with degenerative mitral regurgitation and concomitant LVOTO due to SAM of the mitral valve in the context of hypertrophic obstructive cardiomyopathy (Schäfer, et al. [5], Sorajja, et al. [6]). This approach could be an alternative to the Alfieri stitch even for patients with non-HCM SAM and this was previously demonstrated in a case report from Coylewright, et al. [7].
**Limitations**
The patient had a sigmoid septum of maximal 15 mm thickness. Although this could be due to aging as well as her underlying hypertension, we were unable to rule out existing HCM.
**Conclusion**
The Alfieri stitch procedure could represent a viable option in the management of non-HCM or sigmoid septum related SAM with significant LVOTO. Selection of patients will need to be better studied before the procedure can be confidently and widely accepted. There might also be a role for MitraClip as a less invasive method of managing SAM and significant LVOTO in such patients who do not respond to medical therapy.
**Declaration**
The authors have no conflicts of interest to declare.
**References**
1. Manabe S, Kasegawa H, Arai H, Takanashi S (2018) Management of systolic anterior motion of the mitral valve: A mechanism-based approach. Gen Thorac Cardiovasc Surg 66: 379-389.
2. Uematsu S, Takaghi A, Imamura Y, Ashihara K, Hagiwara N (2017) Clinical features of the systolic anterior motion of the mitral valve among patients without hypertrophic cardiomyopathy. J Cardiol 69: 495-500.
3. Ozaki K, Sakuma I, Mitsuma K, Suzuki T, Tsuchida K, et al. (2008) Effect of cibenzoline and atenolol administration on dynamic left ventricular obstruction due to sigmoid-shaped septum. Circ J 72: 2087-2091.
4. Collis R, Tsang V, Pantazis A, Tome-Esteban M, Elliott PM, et al. (2018) Individualized surgical strategies for left ventricular outflow tract obstruction in hypertrophic cardiomyopathy. Eur J Cardiothorac Surg 53: 1237-1243.
5. Schäfer U, Kreidel F, Freker C (2014) MitraClip implantation as a new treatment strategy against systolic anterior motion-induced outflow tract obstruction in hypertrophic obstructive cardiomyopathy. Heart Lung Circ 23: e131-e135.
6. Sorajja P, Pedersen WA, Bae R, Lesser JR, Jay D, et al. (2016) First experience with percutaneous mitral valve plication as primary therapy for symptomatic obstructive hypertrophic cardiomyopathy. J Am Coll Cardiol 67: 2811-2818.
7. Coylewright M, O'Neill ES, Robb JF, McCullough JN, Tighe CM, et al. (2017) Reduction of left ventricular outflow tract obstruction with transcatheter mitral valve repair. Echocardiography 34: 625-626. |
Regulation of Nuclear Factor $\kappa$B in the Hippocampus by Group I Metabotropic Glutamate Receptors
Kenneth J. O’Riordan, I-Chia Huang, Marina Pizzi, PierFranco Spano, Flora Boroni, Regula Egli, Priyanka Desai, Olivia Fitch, Lauren Malone, Hyung Jin Ahn, Hsiou-Chi Liou, J. David Sweatt, and Jonathan M. Levenson
Departments of Neuroscience and Molecular Physiology and Biophysics, Baylor College of Medicine, Houston, Texas 77030, Division of Pharmacology and Experimental Therapeutics, Department of Biomedical Sciences and Biotechnologies, School of Medicine, University of Brescia, 25123 Brescia, Italy, and Department of Immunology, Weill Medical College of Cornell University, New York, New York 10021
An increasing amount of evidence suggests that the family of nuclear factor $\kappa$B (NF-$\kappa$B) transcription factors plays an important role in synaptic plasticity and long-term memory formation. The present study investigated the regulation of NF-$\kappa$B family members p50, p65/RelA, and c-Rel in the hippocampus in response to metabotropic glutamate receptor (mGluR) signaling. Activation of group I metabotropic glutamate receptors (GpI-mGluRs) with the agonist (S)-3,5-dihydroxyphenylglycine (DHPG) resulted in a time-dependent increase in DNA binding activity of p50, p65, and c-Rel in area CA1 of the hippocampus. An antagonist of mGluR5, 2-Methyl-6-(phenylethynyl)pyridine, inhibited the DHPG-induced activation of NF-$\kappa$B, whereas an antagonist of mGluR1, (S)-(+)-$\alpha$-amino-4-carboxy-2-methylbenzeneacetic acid, did not. Using a series of inhibitors, we investigated the signaling pathways necessary for DHPG-induced activation of NF-$\kappa$B and found that they included the phosphatidyl inositol 3-kinase, protein kinase C, mitogen-activated protein kinase kinase, and p38-mitogen-activated protein kinase pathways. To determine the functional significance of mGluR-induced regulation of NF-$\kappa$B, we measured long-term depression (LTD) of Schaffer-collateral synapses in the hippocampus of c-Rel knock-out mice. Early phase LTD was normal in c-rel$^{-/-}$ mice. However, late-phase LTD (>90 min) was impaired in c-rel$^{-/-}$ mice. The observations of this deficit in hippocampal synaptic plasticity prompted us to further investigate long-term memory formation in c-rel$^{-/-}$ mice. c-rel$^{-/-}$ mice exhibited impaired performance in a long-term passive avoidance task, providing additional evidence for c-Rel in long-term memory formation. These results demonstrate that the NF-$\kappa$B transcription factor family is regulated by GpI-mGluRs in the hippocampus and that the c-Rel transcription factor is necessary for long-term maintenance of LTD and formation of long-term memory.
Key words: NF-$\kappa$B; hippocampus; long-term depression; metabotropic glutamate receptor; c-Rel; memory
Introduction
Persistent forms of synaptic plasticity are thought to contribute to long-term information storage in the nervous system. Transcription is required for consolidation and maintenance of synaptic plasticity in nearly every organism studied, ranging from flies and mollusks to mammals (Milner et al., 1998). However, there is a lack of evidence implicating a role for transcription in one form of synaptic plasticity in the hippocampus, metabotropic glutamate receptor-dependent long-term depression (mGluR-LTD).
mGluR-LTD is induced via activation of group I mGluRs (GpI-mGluRs) and is mechanistically distinct from LTD induced via NMDA receptors (NMDARs) (Bolshakov and Siegelbaum, 1994; Oliet et al., 1997; Kemp and Bashir, 1999; Huber et al., 2000, 2001). mGluR-LTD can be induced through either extended periods of low-frequency stimulation or direct activation of GpI-mGluRs with agonists like (S)-3,5-dihydroxyphenylglycine (DHPG) (Bolshakov and Siegelbaum, 1994; Oliet et al., 1997; Huber et al., 2001). Expression of mGluR-LTD in the adult hippocampus is solely postsynaptic and requires internalization of AMPA receptors (AMPARs) (Snyder et al., 2001; Nosyreva and Huber, 2005). mGluR-LTD is unique in that it requires rapid translation of preexisting dendritic mRNAs for its induction (Huber et al., 2000; Hou and Klann, 2004).
The nuclear factor $\kappa$B (NF-$\kappa$B) family of dimeric transcription factors, first discovered in the immune system, appear to play a role in the induction of synaptic plasticity and formation long-term memory (Albensi and Mattson, 2000; Mattson et al., 2000; Kassed et al., 2002; Yeh et al., 2002, 2004; Liou and Hsia, 2003; Meffert et al., 2003; Levenson et al., 2004; Dash et al., 2005). NF-$\kappa$B subcellular distribution, DNA binding activity, and transcription are regulated by various forms of synaptic activity (Meberg et al., 1996; Suzuki et al., 1997; Albensi and Mattson, 2000; Mattson et al., 2000; Burr and Morris, 2002; Lilienbaum and...
Moreover, regulation of gene expression by Gpl-mGluRs in cortical neurons relies on activation of c-Rel (Pizzi et al., 2005). This suggests that NF-κB could be involved in the induction of a range of transcription-dependent forms of synaptic plasticity in the nervous system, including LTD. In the present study, we provide evidence suggesting that NF-κB is activated by Gpl-mGluRs in the hippocampus. Furthermore, we show that loss of the NF-κB family member c-Rel prevents induction of a persistent form of mGluR-LTD.
**Materials and Methods**
*Animals.* Young adult (3–5 weeks of age) mice on a C57BL/6J background strain were used in all experiments. c-Rel mutant animals were generated by targeted replacement of exon 5 (Tumang et al., 1998). The c-Rel colony was maintained by breeding heterozygous (c-rel+/−) animals, yielding littermate c-rel+/+ and c-rel−/− experimental subjects. Animals were housed under a 12 h light/dark cycle and allowed access to rodent chow and water *ad libitum*. Animals were allowed to acclimate to laboratory conditions at least 3 d before use in experiments. All procedures were performed with the approval of the Baylor College of Medicine Institutional Animal Care and Use Committee and according to national guidelines and policies.
*Hippocampus slice preparation.* Animals were killed by cervical dislocation. The brain was immersed in ice-cold cutting saline (CS) (in mm: 110 sucrose, 60 NaCl, 3 KCl, 1.25 NaH$_2$PO$_4$, 28 NaHCO$_3$, 0.5 CaCl$_2$, 7 MgCl$_2$, 5 glucose, 0.6 ascorbate) before isolation of the caudal portion containing the hippocampus and entorhinal cortex. Transverse slices (400 μm) were prepared with a Vibratome (Vibratome, St. Louis, MO). During isolation, slices were stored in ice-cold CS. After isolation, cortical tissue was removed, and hippocampal slices were equilibrated in a mixture of 50% CS and 50% artificial CSF (ACSF) (in mm: 125 NaCl, 2.5 KCl, 1.25 NaH$_2$PO$_4$, 25 NaHCO$_3$, 2 CaCl$_2$, 1 MgCl$_2$, 25 glucose) at room temperature (RT). Slices were further equilibrated in 100% ACSF for 45 min at RT, followed by a final incubation in 100% ACSF at 32°C for 1 h. All solutions were saturated with 95%/5% O$_2$/CO$_2$. Slices were treated with the appropriate drugs or vehicle after the last equilibration at 32°C. For experiments investigating the regulation of NF-κB *in vitro*, slices from six animals were pooled and randomized and divided into two treatment groups: vehicle control and drug treated.
*Pharmacologic stimulation of hippocampal slices.* Acute hippocampal slice cultures were maintained in oxygenated (95%/5% O$_2$/CO$_2$) ACSF at 32°C. Activation of Gpl-mGluRs was performed by exposing slices to either the Gpl-mGluR agonist DHPG (50 μM) or the mGluR5-specific agonist (RS)-2-chloro-5-hydroxyphenylglycine (CHPG; 1 mM) for 10 min. Matched control slices received vehicle (ACSF). To determine which mGluR subtype contributed to observed effects on NF-κB, control experiments assayed the effect of preincubation (5 min) with either the mGluR1 antagonist (S)-(+)α-amino-4-carboxy-2-methylbenzeneacetic acid (LY 367385; 30 μM) or the mGluR5 antagonist 2-Methyl-6-(phenylethyl)pyridine (MPEP; 10 μM) on the effect of either DHPG or CHPG. Determination of signaling pathways involved in DHPG-mediated regulation of NF-κB was performed by preincubating slices in one of several drugs that block activation of a specific signaling pathway. The inhibitors used include: [9R,10s,12s]-2,3,9,10,11,12-hexahydro-10-hydroxy-9-methyl-1-oxo-9,12-epoxy-1-H-diindolo[1,2,3-fg:3′,2′,1′-kl]pyrrolo[3,4-i][1,6]benzodiazocine-10-carboxylic acid hexyl ester [KT5720; 1 μM], protein kinase A (PKA), (N-[2-[[3-(4-chlorophenyl)-2-propenyl]methylamino] methyl phenyl] N-(2-hydroxyethyl)-4-methoxybenzenesulfonylamine) [KN-93; 10 μM], calcium calmodulin-dependent protein kinase II (CaMKII), 2-[1-(3-dimethylamino-propyl)indol-3-yl]-3-(indol-3-yl)maleimide [GF 109,203×] (1 μM); protein kinase C (PKC), Wortmannin [50 nM; phosphatidylinositol 3-kinase (PI3-K)], AKT inhibitor IV (3 μM; AKT), 1,4-diamino-2,3-dicyano-1,4-bis(2-amino-phenylthio)butadiene [U0126; 20 μM], mitogen-activated protein kinase kinase (MEK), and 4-[(s-(4-fluorophenyl)-2-[(methysulfonyl)phenyl]-1H-imidazol-4-yl]pyridine [SB 203580; 1 μM, p38 mitogen-activated protein kinase (MAPK)]. KT5720, GF 109,203×, Wortmannin, U0126, and SB 203580 were obtained from Tocris Cookson (Ellisville, MO). All other drugs were obtained from Calbiochem (La Jolla, CA). Regardless of experimental paradigm, at the end of pharmacologic treatment, slices were rinsed six times in normal ACSF, and incubations continued in fresh ACSF.
*NF-κB DNA binding activity.* Area CA1 was isolated from hippocampal slices, and nuclear fractions were isolated using commercially available reagents (NE-PER; Pierce, Rockford, IL). DNA binding activity of NF-κB subunits p50, p65, and c-Rel was monitored using a commercially available ELISA-based assay (TransFactor; BD Biosciences, Mountain View, CA) (Pizzi et al., 2005). Briefly, nuclear samples (10 μg) were incubated in an ELISA plate that is coated with oligonucleotides containing an NF-κB consensus regulatory element sequence. The wells were washed and exposed to a primary antibody specific for an individual subunit of NF-κB. Binding of the primary antibody to protein is detected through a chromogenic reaction involving the enzymatic breakdown of 3,3′,5,5′-tetramethylbenzidine via a horseradish peroxidase (HRP)-conjugated secondary antibody. Reactions were quantified spectrophotometrically at a wavelength of 655 nm. For each run, a series of positive and negative controls was performed to ensure specificity of detection of NF-κB DNA binding activity.
*Western blotting.* Loading buffer was added (final concentration, 6.25 mM Tris, pH 6.8, 2% SDS, 10% glycerol, 1.25% 2-mercaptoethanol, 0.1% bromophenol blue), and samples were incubated at RT for 20 min before SDS-PAGE. Samples were run on a discontinuous polyacrylamide gel consisting of either an 8, 12, or 15% acrylamide resolving gel, depending on the molecular weight of the protein of interest, and a 4% acrylamide stacking gel. After one-dimensional PAGE, proteins were transferred to polyvinylidine difluoride membranes for immunoblotting. Membranes were blocked in 3% BSA in TTBS (in mm: 150 NaCl, 20 Tris, pH 7.5, 0.05% Tween 20) for 45 min at RT. Membranes were incubated in primary antibodies overnight at 4°C and in HRP-conjugated anti-rabbit secondary antibodies (Jackson ImmunoResearch, West Grove, PA) for 2.5 h at RT. Immunolabeling of membranes was detected via chemiluminescence (Amersham Biosciences, Piscataway, NJ; SuperSignal, Pierce). Luminescence was recorded with Blue Light film (ISCBioExpress, Kaysville, UT), digitized (Epson Perfection 1240U; Epson, Long Beach, CA), and integrated densities of each band quantified with NIH ImageJ. Several exposures were captured for each immunoblot to ensure that all densitometry was performed on images taken in the linear exposure range. Primary antibodies used were as follows: Phospho-PDK1$^{S241}$ (1:1000), Phospho-Raf$^{S359}$ (1:1000), Phospho-AKT$_{S473}$ (1:1000), Phospho-AKT$_{T308}$ (1:1000), total AKT (1:1000), Phospho-ERK1/2$^{T202/Y204}$ (1:2000) (Cell Signaling Technology, Beverly, MA); total extracellular signal-regulated kinase 1/2 (ERK1/2; 1:2000), p50/p105 (1:2000), mGluR1 (1:2000), mGluR5 (1:2000) (Upstate Biotechnology, Lake Placid, NY); Phospho-p38$^{T180/Y182}$ (1:1000), total p38 (1:1000) (Calbiochem, San Diego, CA); p65/RelA (1:2000; Chemicon, Temecula, CA); and c-Rel (1:50; Santa Cruz Biotechnology, Santa Cruz, CA).
*Real-time, reverse transcription-quantitative PCR.* Area CA1 and dentate gyrus were isolated from the hippocampus and immediately frozen on dry ice. RNA was isolated from tissue using Trizol (Invitrogen, Carlsbad, CA). Real-time, reverse transcription-quantitative PCR (QPCR) was performed using the Chromo4 real-time PCR system (Bio-Rad, Waltham, MA), iScript One-Step reagents (Bio-Rad), and Taqman-based real-time probes. Real-time probes for p50 and p65 were purchased directly from Applied Biosystems (assay ID- p50/p105: Mm00476361_m1, p65/RelA: Mm0051346_m1; Applied Biosystems, Foster City, CA). Custom probes were designed to measure c-Rel (forward primer, ttcatatgtggtaacagaca; reverse primer, tatttggccaggtcctttaca; Taqman probe, tcaactagtctctgcctccctatgt) and β-tubulin 4 (forward primer, tggcacagatgtggtacc; reverse primer, gcctttcactacctcttg; Taqman probe, gaggcaagaagggcgccagtagg). Equal amounts of RNA were loaded in each reaction, and all samples were assayed in triplicate. $C(t)$ values were set using c-Rel $^{+/+}$ samples. Samples were reanalyzed if $C(t)$ values of replicates varied more than ±5%. Equal loading was monitored by assaying levels of β-tubulin 4.
*Slice electrophysiology.* Electrophysiology was performed in an interface chamber (Fine Science Tools, Foster City, CA). Oxygenated ACSF (95%/5% O$_2$/CO$_2$) was warmed (30°C; TR-100 temperature controller;
Fine Science Tools) and perfused into the recording chamber at a rate of 1 ml/min. Electrophysiological traces were amplified (model 1800 amplifier; A-M Systems, Sequim, WA), digitized, and stored (Digidata models 1200 and 1320A with Clampex software; Molecular Devices, Sunnyvale, CA). Extracellular stimuli were administered (model 2200 stimulus isolator; A-M Systems) on the border of area CA3 and CA1 along the Schaffer–collaterals using enameled, bipolar platinum–tungsten (92:8%) electrodes. Field EPSPs (fEPSPs) were recorded in stratum radiatum with an ACSF-filled glass recording electrode (1–3 MΩ). The relationship between fiber volley and fEPSP slopes over various stimulus intensities (0.5–15 V, 25 nA to 1.5 μA) was used to assess baseline synaptic transmission. All subsequent experimental stimuli were set to an intensity that evoked an fEPSP that had a slope of 50% of the maximum fEPSP slope. Paired-pulse facilitation was measured at various interstimulus intervals (20, 50, 100, 200, 300 ms). LTD was induced by exposing slices to DHPG (50 μM) for 10 min. Synaptic efficacy was monitored 20 min before and 2 h after induction of LTD by recording fEPSPs every 20 s (traces were averaged for every 2 min interval). Simultaneous recordings were made from c-rel+/+ and c-rel−/− littermate slices in the same chamber, minimizing variability attributable to development or slice microenvironment. The experimenter performing the electrophysiology was blind to genotype or treatment.
**Mininalysis.** Mice were anesthetized using isoflurane and killed by decapitation. Brains were removed and placed in ice-cold dissecting solution (modified ACSF; in mm: 220 sucrose, 2.5 KCl, 1.25 NaH₂PO₄, 25 NaHCO₃, 0.5 CaCl₂, 7.0 MgCl₂, 7.0 glucose). Horizontal brain slices containing the hippocampus (350 μm) were obtained using a Leica (Nussloch, Germany) VT1000S vibratome and placed in holding chambers containing room temperature oxygenated ACSF. For whole-cell patch-clamp recordings of miniature EPSCs, slices were placed into a submerged recording chamber and perfused with heated (32°C) and oxygenated ACSF containing 1 μM tetrodotoxin (Tocris Cookson) and 10 μM picrotoxin (Sigma) at a rate of 2 ml/min. Hippocampal pyramidal neurons were visualized using an Olympus BX51W1 inverted microscope equipped with infrared-differential interference contrast optics. Electrodes were pulled using TW150–4 glass (World Precision Instruments, Sarasota, FL) on a Sutter Instruments (Novato, CA) P-97 microelectrode puller and were filled with the following (in mm): 135 K⁺ gluconate, 5 NaCl, 2 MgCl₂, 10 HEPES, 0.6 EGTA, 4 Na₂ATP, 0.4 NaGTP, pH 7.4. Electrodes had resistances of 3–4 MΩ, and series resistance values ranged from 6–29 MΩ. Resting membrane potentials were corrected for junction potential and ranged from −67.9 to −85.0 mV (c-rel+/+, n = 9, −78.5 ± 1.4 mV; c-rel−/−, n = 9, −75.4 ± 1.6 mV; p < 0.2; unpaired t test). Input resistance values ranged from 56.9 to 230.2 MΩ (c-rel+/+, n = 9, 109.3 ± 20.5 MΩ; c-rel−/−, n = 9, 93.3 ± 13.4 MΩ; p < 0.6; unpaired t test). All cells were held at −70 mV, and miniature EPSCs were recorded for 5 min from each cell using Clampex (Molecular Devices). Cumulative amplitudes and interevent intervals were analyzed using the Mini Analysis Program (version 6.0.3; Synaptosoft, Decatur, GA). Statistical analysis was performed using the Kolmogorov–Smirnov goodness of fit test. The experimenter performing mininalysis was blind to genotype.
**Passive avoidance.** Animals were placed into the “light” side of a two-chamber shuttle box (Med Associates, St. Albans, VT). Latency to step through a doorway into a “dark” side was recorded. During the training day, once animals moved into the dark side, the door was closed and animals received a mild electric shock (2 s; 0.5 mA) 5 s after entry. Animals were removed from the apparatus 12–15 s after receiving the shock. Testing sessions were capped at 300 s; no animal required >35 s to enter the dark side of the chamber during the training session. The experimenter performing passive avoidance experiments was blind to genotype.
**Results**
**Activation of NF-κB by mGluR5**
We determined whether nuclear DNA binding activity of various NF-κB subunits (p50, p65, c-Rel) was regulated in response to activation of Gpl-mGluRs. Hippocampal slices were exposed to the Gpl-mGluR agonist DHPG (50 μM, 10 min). Nuclear DNA binding activity of p50, p65, and c-Rel was maximally increased 50 min after DHPG treatment in area CA1 (Fig. 1A) (p < 0.01 for p50, p65, and c-Rel). DNA binding activity returned to basal levels 110 min after treatment (Fig. 1A). These results suggest that activation of Gpl-mGluRs induced a time-dependent modulation of NF-κB DNA binding activity.
The family of mGluRs is comprised of three major groups (Conn and Pin, 1997). Gpl-mGluRs comprise mGluR1 and mGluR5 (Nakanishi, 1992). We determined the specific receptor subtype that was responsible for mediating the Gpl-mGluR-induced activation of the NF-κB transcription factor family using a pharmacologic approach. Treatment of slices with DHPG (50 μM; 10 min) led to a robust activation of the NF-κB transcription factor family 50 min after treatment (Fig. 1B) (p < 0.0001). The mGluR1-specific antagonist LY 367385 (30 μM) had no effect on activation of the NF-κB transcription factor family (Fig. 1B). In contrast, the mGluR5-specific antagonist MPEP (10 μM) blocked the DHPG-induced activation of NF-κB (Fig. 1B) (p < 0.05 for p50, p65, and c-Rel). These results suggest that Gpl-mGluR-induced activation of NF-κB occurs through mGluR5 but not mGluR1.
To further test the involvement of mGluR5 in activation of NF-κB, slices were treated with the mGluR5-specific agonist CHPG (1 mM; 10 min). CHPG led to a robust activation of the NF-κB transcription factor family 50 min after treatment (Fig. 1C) (p < 0.0001). MPEP (10 μM) completely blocked CHPG-induced activation of NF-κB (Fig. 1C) (p < 0.01 for p50 and p65; p < 0.05 for c-Rel). Considered together with the results above and previous studies (Pizzi et al., 2005), these results indicate that Gpl-mGluR-induced activation of NF-κB is mediated primarily through mGluR5.
**Signaling pathways coupling Gpl-mGluRs with NF-κB**
Several different signaling pathways could couple Gpl-mGluRs with activation of the NF-κB transcription factor family. We first determined which signaling molecules were activated in area CA1 of the hippocampus in response to activation of Gpl-mGluRs. Previous studies indicated that activation of Gpl-mGluRs engages the PI3-K- phosphoinositide-dependent kinase-1 (PDK1)-AKT signaling cascade (Hou and Klann, 2004). In concert with these results, treatment of hippocampal slices with DHPG resulted in significant increases in levels of phospho-PDK1 (Fig. 2A) (t = 2.2; df = 12; p < 0.05) and phospho-AKT (Fig. 2A) (t = 2.3; df = 11; p < 0.05). Once activated, both PDK1 and AKT can engage various components of the ras signaling pathway. We observed significant increases in phospho-Raf1 (p < 0.05) and phospho-ERK2 (p < 0.05), indicative of engagement of ras-mediated signaling (Fig. 2A). Several studies suggest that the p38-MAPK signaling cascade is engaged by Gpl-mGluR activation, and that p38-MAPK may play a role in mGluR-dependent synaptic plasticity (Bolshakov et al., 2000; Rush et al., 2002; Gallagher et al., 2004; Huang et al., 2004). We observed a significant increase in levels of phospho-p38 MAPK in area CA1 after stimulation with DHPG (Fig. 2A) (p < 0.05). Together, these results suggest that the PI3-K-PDK1-AKT, Ras-Raf-MEK-ERK, and p38-MAPK signaling cascades are all activated in response to Gpl-mGluR stimulation.
Activation of Gpl-mGluRs led to engagement of both the ERK and p38 MAPK pathways. Some studies have suggested that these two pathways are engaged through distinct signaling mechanisms (Bolshakov et al., 2000; Rush et al., 2002; Huang et al., 2004). We determined whether Gpl-mGluRs were coupled to ERK and p38 through either PI3-K- or PKC-dependent signaling pathways.
Figure 1. mGluR5 can activate NF-κB in area CA1 of the hippocampus. Nuclear DNA binding activity of NF-κB subunits p50, p65, and c-Rel was measured in area CA1 of transverse hippocampal slices (400 μm) in response to activation of Gpi-mGluRs. **A**, Hippocampal slices were treated with DHPG (50 μM; 10 min), and DNA binding activity was measured in area CA1 of the hippocampus at various times after treatment. DHPG induced significant, time-dependent increases in nuclear DNA binding activity for p50 ($F_{(3,13)} = 34; p < 0.0001$), p65 ($F_{(3,13)} = 11; p < 0.002$), and c-Rel ($F_{(3,13)} = 16; p < 0.0005$). The asterisk indicates significant difference (*p < 0.01) relative to the first time point as determined by Dunnett’s *post hoc* test. **B**, Slices were pretreated with either an mGluR1 antagonist (LY 367385, 30 μM) or an mGluR5 antagonist (MPEP, 10 μM) before treatment with DHPG (50 μM; 10 min). Nuclear DNA binding activity was measured 50 min after the end of DHPG treatment. LY 367385 had no effect on DHPG-induced increases in NF-κB DNA binding activity. MPEP significantly decreased DHPG-induced activation of NF-κB ($F_{(4,53)} = 11; p < 0.0001$). The asterisk indicates significant difference (*p < 0.05) relative to DHPG-treated slices as determined by *post hoc* Bonferroni comparisons. **C**, To further confirm a role for mGluR5 in activation of NF-κB, slices were treated with the mGluR5 agonist CHPG (1 mM; 10 min). Significant activation of p50, p65, and c-Rel were observed 50 min after the end of treatment ($F_{(2,23)} = 38; p < 0.001$). Pretreatment with MPEP (10 μM) blocked CHPG-induced increases in p50 (*p < 0.01*), p65 (*p < 0.01*), and c-Rel (*p < 0.05*). Asterisks indicate significant differences as determined by *post hoc* Bonferroni comparisons. For all panels, error bars indicate SEM. Percentage change was calculated based on DNA binding activity measured from matched control slices treated with vehicle.
Figure 2. Gpi-mGluR-mediated signaling activates PDK1, AKT, Raf-1, ERK2, and p38-MAPK. The signaling pathways that were activated by DHPG in area CA1 of the hippocampus were determined by Western blotting using phospho-specific antibodies. Equal loading of protein was confirmed by blotting for total protein and actin (data not shown). **A**, Levels of phospho-PDK1, AKT, Raf-1, ERK2, and p38-MAPK were significantly increased (*p < 0.05*) immediately after treatment with DHPGs (50 μM; 10 min). Representative Western blots are shown above summary densitometry. C indicates samples from matched control slices receiving vehicle; E indicates slices receiving DHPG. Arrows indicate a band specific for a particular signaling molecule. Each bar represents the average of 11 replicates. **B**, No significant differences in levels of phospho-PDK1, AKT, Raf-1, ERK2, or p38-MAPK were observed 50 min after DHPG treatment. Each bar represents the average of nine replicates. **C**, DHPG-induced activation of ERK2, but not p38 MAPK, was inhibited by pretreatment with the PKC inhibitor GF 109,203 × (1 μM; $F_{(1,8)} = 11; p < 0.05$). Each bar represents the average of four to six replicates. **D**, DHPG-induced activation of ERK2, but not p38 MAPK, was inhibited by pretreatment with the PI3-K inhibitor Wortmannin (50 nM; $F_{(1,8)} = 7.8; p < 0.05$). Each bar represents the average of four to six replicates. In **A** and **B**, asterisks indicate significant difference from vehicle controls as determined by one-sample t test. In **C** and **D**, asterisks indicate significant difference between groups as determined by two-way ANOVA with repeated measures. Error bars indicate SEM.
Pretreatment of hippocampal slices with the PKC inhibitor GF 109,203 × (1 μM; 10 min) before DHPG exposure (50 μM; 10 min) blocked activation of ERK2 but had no effect on activation of p38 MAPK in area CA1 and the dentate gyrus of the hippocampus (Fig. 2C) (*p < 0.05*). Similarly, pretreatment of slices with the PI3-K inhibitor Wortmannin (50 nM; 10 min) inhibited DHPG-induced activation of ERK2 but not p38 MAPK (Fig. 2D) (*p < 0.05*). These results indicate that DHPG-induced activation of ERK2 requires PI3-K and PKC, whereas DHPG-induced activation of p38 MAPK is independent of PI3-K and PKC, consistent with previous observations (Hou and Klann, 2004; Huang et al., 2004).
Our results and previous studies indicate that several signaling pathways are activated in response to Gpi-mGluR signaling, including the PI3-K, Ras, and p38-MAPK pathways (Fig. 2A) (Gallagher et al., 2004; Hou and Klann, 2004). Through a series of pharmacologic experiments, we determined which signaling pathways play a role in coupling regulation of NF-κB with Gpi-mGluR activation. Inhibiting PI3-K with the specific inhibitor Wortmannin (50 nM) completely blocked DHPG-induced regulation of NF-κB (Fig. 3A–C) (p50, *p < 0.05*; p65, c-Rel, *p < 0.01*). Interestingly, pharmacologic inhibition of AKT activation (AKT Inhibitor IV; 3 μM) had no significant effect on DHPG-induced activation of NF-κB (Fig. 3A–C). Thus, PI3-K, but not AKT, is necessary for Gpi-mGluR-mediated activation of NF-κB in area CA1 of the hippocampus.
The Ras signaling pathway can be activated by a number of upstream molecules, including PKC. Several studies have implicated the atypical PKCζ in activation of NF-κB in the nervous system (Macdonald et al., 1999; Sanz et al., 1999, 2000; Esteve et al., 2002). Complete inhibition of the DHPG-induced activation of NF-κB was observed in the presence of the PKC inhibitor GF 109,203X (Fig. 3A–C) (1 μM; p50, p < 0.05; p65, c-Rel, p < 0.01). One downstream target of the Ras signaling pathway is MEK, the kinase responsible for activation of ERK. Using the MEK inhibitor U0126 (20 μM), DHPG-induced activation of NF-κB was completely inhibited (Fig. 3A–C) (p50, c-Rel, p < 0.01; p65, p < 0.05). These results suggest that the PKC-Ras-MEK-ERK signaling pathway is necessary for coupling Gpi-mGluR signaling to activation of NF-κB in the nervous system.
The final signaling pathway that was activated by DHPG in our biochemical experiments was p38-MAPK. A previous study implicated p38-MAPK, activated by the Rap-1 small GTPase coupled to the βγ subunit of the Gpi-mGluR, in induction of mGluR-LTD in the hippocampus (Huang et al., 2004). Inhibition of p38-MAPK with SB 203580 (1 μM) resulted in complete blockade of the DHPG-induced activation of NF-κB in area CA1 (Fig. 3A–C) (p50, p < 0.05; p65, c-Rel, p < 0.01). This suggests that p38-MAPK is also involved in coupling Gpi-mGluR signaling with activation of NF-κB in the hippocampus.
In addition to the three signaling pathways we found to be activated by mGluR-mediated signaling, we investigated the role of two additional pathways that have been implicated in activation of NF-κB. Previous studies have shown that Ca^{2+} and CaMKII can activate NF-κB in the nervous system (Cruise et al., 2000; Lilienbaum and Israel, 2003; Meffert et al., 2003). Blocking CaMKII activity with the inhibitor KN-93 (10 μM) had no significant effect on Gpi-mGluR-mediated activation of p50, p65, or c-Rel (Fig. 3A–C). Likewise, although some evidence exists that suggests the cAMP-dependent protein kinase (PKA) may participate in activation of NF-κB (Baeuerle and Henkel, 1994; Min et al., 2004), the PKA inhibitor KT5720 (1 μM) had no effect on DHPG-induced activation of p50, p65, or c-Rel in area CA1 of the hippocampus (Fig. 3A–C). These results suggest that CaMKII and PKA do not play a significant role in coupling Gpi-mGluR signaling to activation of NF-κB in the hippocampus.
**A role for c-Rel in Gpi-mGluR long-term depression**
Several studies have shown that activation of Gpi-mGluRs has significant effects on the synaptic state of hippocampal Schaffer-collateral synapses. For example, activation of Gpi-mGluRs can modulate induction of synaptic plasticity (van Dam et al., 2004). Additionally, direct stimulation of Gpi-mGluRs with DHPG or low-frequency synaptic activity in the presence of an NMDAR antagonist can induce a robust, long-lasting, and protein synthesis-dependent form of LTD (Huber et al., 2000; Hou and Klann, 2004). Our results indicate that stimulation of Gpi-mGluRs leads to activation of NF-κB, suggesting that NF-κB transcription factors may play a role in the induction of mGluR-LTD.
We used a knock-out mouse model lacking the c-Rel transcription factor (c-Rel^{-/-}) (Tumang et al., 1998) to test the hypothesis that an NF-κB transcription factor may be important for
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**Figure 3.** PI3-K, PKC, MEK, and p38-MAPK are necessary for DHPG-induced activation of NF-κB. To determine which signaling pathways were necessary for Gpi-mGluR-dependent activation of NF-κB, slices were pretreated with various inhibitors of signaling pathways before treatment with DHPG. The panels represent summary data for p50 ($F_{(7,43)} = 9; p < 0.0001$) (**A**), p65 ($F_{(7,43)} = 6; p < 0.0001$) (**B**), or c-Rel ($F_{(7,43)} = 7; p < 0.0001$) (**C**). KN-93 (CaMKII; 10 μM), KT5720 (PKA, 1 μM), and AKT inhibitor IV (AKT, 3 μM) had no significant effect on DHPG-induced activation of NF-κB. Wortmannin (PI3-K, 50 nM), GF 109,203X (PKC, 1 μM), U0126 (MEK, 20 μM), and SB 203580 (p38-MAPK, 1 μM) significantly inhibited DHPG-induced activation of NF-κB. In each panel, bars represent the mean of four to eight replicates; Error bars are SEM. Asterisks indicate significant difference from DHPG alone (*p < 0.05; **p < 0.01) as determined by Dunnett’s multiple comparison test.
induction of mGluR-dependent synaptic plasticity in area CA1 of the hippocampus. c-rel$^{-/-}$ mice had no change in expression of either p50 or p65 mRNA or protein in area CA1 (Fig. 4A,C) or the dentate gyrus (Fig. 4B,D) of the hippocampus, suggesting that loss of c-Rel was not compensated for by upregulation of other classical NF-$\kappa$B subunits. Expression of mGluR1 and mGluR5 in area CA1 (Fig. 5A) ($p < 0.8$) and the dentate gyrus (Fig. 5B) ($p < 0.5$) was unaffected by loss of c-Rel, indicating that expression of Gpl-mGluRs was normal in c-rel$^{-/-}$ mice. Moreover, DHPG-induced activation of both ERK2 and p38 MAPK in area CA1 of the hippocampus was unaffected by loss of c-Rel (Fig. 5C) ($p < 1.0$). Considered together, these results indicate that loss of c-Rel has no significant effect on expression of the p50 or p65 NF-$\kappa$B subunits, expression of Gpl-mGluRs, or levels of Gpl-mGluR-mediated activation of ERK2 or p38 MAPK, suggesting that loss of c-Rel has no effect on the capacity for Gpl-mGluR-mediated signaling in the hippocampus.
To assess basal synaptic function in the hippocampus, two measures of Schaffer-collateral synaptic transmission were made in groups of littermate c-rel$^{+/+}$ and c-rel$^{-/-}$ mice. Input/output curves for c-rel$^{-/-}$ mice were significantly smaller than those from c-rel$^{+/+}$ mice, suggesting a reduction in basal synaptic transmission in c-rel$^{-/-}$ mice (Fig. 6A) ($p < 0.0001$). Paired-pulse facilitation in c-rel$^{+/+}$ and c-rel$^{-/-}$ mice was comparable, suggesting the reduction in synaptic transmission was most likely not a result of a reduction in neurotransmitter release (Fig. 6B) ($p < 0.7$). To further investigate the decrease in synaptic transmission, analysis of miniature, spontaneous EPSCs was performed using whole-cell patch clamp of CA1 pyramidal neurons. No significant differences were observed in spontaneous event amplitude (Fig. 6C) ($p < 1.0$) or interevent interval (Fig. 6D) ($p = 0.05$), suggesting that postsynaptic and presynaptic function, respectively, in c-rel$^{-/-}$ animals is normal. In addition, no significant differences were observed in resting membrane potential (Fig. 6E) ($p < 0.2$) or input resistance (Fig. 6F) ($p < 0.6$), indicating that loss of c-Rel has no effect on the basal biophysical properties of CA1 pyramidal neurons. Collectively, these results suggest that the modest reduction in hippocampal synaptic transmission observed in c-rel$^{-/-}$ mice is attributable to a decrease in the number, but not efficacy, of synaptic inputs into area CA1.
To further assess synaptic function in c-rel$^{-/-}$ mice, we measured Gpl-mGluR-dependent LTD in area CA1 of the hippocampus. Application of DHPG (50 $\mu$M; 10 min) to the hippocampus led to a rapid and robust decrease in synaptic efficacy in both c-rel$^{+/+}$ and c-rel$^{-/-}$ mice (Fig. 7A), indicating that the ability to detect and acutely respond to Gpl-mGluR stimulation was normal in c-rel$^{-/-}$ mice, providing a physiologic confirmation of our biochemical studies of Gpl-mGluR-induced activation of ERK2 and p38 MAPK (Fig. 5C). Levels of synaptic depression remained qualitatively normal in c-rel$^{-/-}$ mice for $\sim 70$ min after induction, at which point synaptic efficacy gradually increased to predepression levels (Fig. 7A). These data indicate a derangement in induction of persistent mGluR-LTD in c-rel$^{-/-}$ mice and suggest c-Rel as a transcription factor that is important for either induction and/or maintenance of a late phase of mGluR-dependent LTD in the hippocampus.
Previous studies have demonstrated that transcription-dependent forms of LTD can be induced at Schaffer-collateral synapses in the hippocampus (Kauderer and Kandel, 2000). Impaired induction of mGluR-LTD in the hippocampus of c-rel$^{-/-}$ mice (Fig. 7A) coupled with normal expression of Gpl-mGluRs and normal MAPK signaling (Fig. 5) suggested the existence of a transcription-dependent late phase of mGluR-LTD. To investigate whether mGluR-LTD in the hippocampus was sensitive to inhibitors of transcription, mGluR-LTD was induced in hippocampal slices that were pretreated with the transcription inhibitor 5,6-dichloro-1-$\beta$-D-ribofuranosylbenzimidazole (DRB; 90 $\mu$M). Early induction of LTD was normal in slices exposed to either the vehicle (0.1% DMSO) or DRB, suggesting that transcription is not required for induction and early expression of...
mGluR-LTD in the hippocampus (Fig. 7B). However, LTD was impaired and decayed to basal levels 3.5 h after induction in slices treated with DRB (Fig. 7B) ($p < 0.001$). These results suggest that long-lasting forms of mGluR-LTD are sensitive to the transcription inhibitor DRB.
**Impaired long-term memory formation in c-rel$^{-/-}$ animals**
Synaptic plasticity is the leading candidate cellular mechanism for storage of long-term memory in the nervous system. Thus, it is possible that c-rel$^{-/-}$ mice may have impaired capacity for long-term memory formation. We determined performance of c-rel$^{+/+}$ and c-rel$^{-/-}$ animals in a passive avoidance task. In this amygdala- and hippocampus-dependent task, animals learn to avoid entry into a dark environment (Isaacson and Wickelgren, 1962; Ambrogi Lorenzini et al., 1997; Irvine et al., 2005). Performance of both c-rel$^{+/+}$ and c-rel$^{-/-}$ littermates was identical during the training day, indicating that c-rel$^{-/-}$ animals have an equivalent motivational desire to move from a well-lit environment to a dark environment (Fig. 8). However, when latency to enter the dark half of the shuttle box was assessed 24 h after training, c-rel$^{-/-}$ animals exhibited a significant decrease relative to their c-rel$^{+/+}$ littermates (Fig. 8) ($p < 0.05$), indicating an impaired capacity for long-term memory formation. Previous studies of memory formation in c-rel$^{-/-}$ animals indicated that formation of amygdala-dependent cued fear conditioning is normal (Levenson et al., 2004). Therefore, we conclude that the deficit in formation of long-term passive avoidance memory observed in c-rel$^{-/-}$ animals is a result of a deficit in hippocampus-dependent long-term memory formation.
**Figure 7.** Impaired hippocampal long-term depression in c-rel$^{-/-}$ animals. mGluR-LTD was induced at Schaffer-collateral synapses by treatment with DHPG (50 μM, 10 min; gray bar). **A**, Acute synaptic depression was identical between slices from c-rel$^{+/+}$ and c-rel$^{-/-}$ littermates. LTD was similar between c-rel$^{+/+}$ and c-rel$^{-/-}$ animals for ~90 min, when synaptic depression in slices from c-rel$^{-/-}$ animals decayed to basal levels of synaptic efficacy ($F_{(1,89)} = 340; p < 0.0001$). Representative traces 2 min before, 10 min after, and 150 min after DHPG treatment are shown below summary electrophysiology. Calibration: 1 mV, 5 ms. **B**, Pretreatment of slices with the transcription inhibitor DRB (90 μM, 20 min) attenuated induction of mGluR-LTD ($F_{(1,19)} = 214; p < 0.001$). In all panels, error bars indicate SEM.
**Discussion**
The present study provides evidence that signaling through GpiI-mGluRs can regulate the NF-κB family of transcription factors in the hippocampus. In addition, our study provides the first evidence that c-Rel, an NF-κB transcription factor, is required for persistence of mGluR-LTD in the hippocampus. Together, these results are the first to link GpiI-mGluR-induced long-term depression in the hippocampus to the function of a transcription factor.
Several studies suggest that long-term changes in neural function induced through GpiI-mGluR signaling require transcription. Signaling through GpiI-mGluRs induces and/or modulates persistent forms of transcription-dependent synaptic plasticity and long-term memory (Riedel et al., 1994; Balschun et al., 1999; Maciejak et al., 2003; Manahan-Vaughan and Braunewell, 2005; Naie and Manahan-Vaughan, 2005). Moreover, activation of GpiI-mGluRs and/or induction of LTD in the hippocampus regulate the phosphorylation of two transcription factors, cAMP response element-binding protein and Elk-1 (Choe and Wang, 2002; Mao and Wang, 2002; Thiels et al., 2002; Boulware et al., 2005). Our findings that signaling through GpiI-mGluRs activates several members of the NF-κB transcription factor family and that maintenance of mGluR-LTD requires c-Rel extends previous observations implicating GpiI-mGluRs in transcription-dependent synaptic plasticity and long-term memory.
Previous studies have not implicated transcription in the induction, expression, or maintenance of hippocampal mGluR-LTD (Huber et al., 2000). This is in contrast to NMDA-R-dependent LTD at hippocampal Schaffer-collateral synapses, LTD of cerebellar Purkinje neurons, and to numerous studies documenting a requirement for transcription in long-term facilitation of the *Aplysia* sensorimotor synapse and long-term potentiation (LTP) of the hippocampal Schaffer-collateral synapse (Montarolo et al., 1986; Nguyen et al., 1994; Linden, 1996; Kauderer and Kandel, 2000; Karachot et al., 2001). One possible explanation for an apparent lack of effect of transcription inhibitors on mGluR-LTD could be that the initial studies of mGluR-LTD monitored synaptic efficacy for only 90 min after induction of LTD. In studies of LTP, no effect of transcription inhibitors was observed until 2 h after induction (Nguyen et al., 1994). In our experiments, significant increases in NF-κB DNA binding activity did not occur until 50 min after the end of DHPG treatment (Fig. 1A), and significant decay of LTD in c-rel$^{-/-}$ mice did not begin until ~90 min after induction (Fig. 7A). Maximal differences in LTD were observed 2 h after induction (Fig. 7A). Thus, early experiments on the role of transcription in hippocampal mGluR-LTD did not rule out a role for transcription in a late phase of LTD with a similar temporal profile as the transcription-dependent late-phase of LTP. Using the transcription inhibitor DRB, we observed a diminution in mGluR-LTD in the hippocampus 2–3 h after its induction (Fig. 7B).
It should be noted that the effect of DRB (Fig. 7B) does not phenocopy the effect that loss of c-Rel has on mGluR-LTD (Fig. 7A). The discrepancy between loss of c-Rel and treatment with DRB could be attributable to an incomplete cessation of transcription by DRB because of either dose or partial diffusion into the tissue slice or an effect of c-Rel on nontranscription-dependent processes necessary for induction or expression of mGluR-LTD. One possibility is that global knock-out of c-Rel during all phases of development could lead to neurodevelopmental defects that prevent the induction or expression of mGluR-LTD. There are no reports of gross neurodevelopmental defects in
c-Rel knock-out mice (Tumang et al., 1998; Levenson et al., 2004). NF-κB/Rel-mediated transcription is not detectable in the nervous system until shortly after embryonic day 12 in the rhombencephalon (Schmidt-Ullrich et al., 1996), NF-κB/Rel-mediated transcription is not detectable until after birth in the cortex [postnatal day 6 (P6)], cerebellum (P8), and hippocampus (P15) (Schmidt-Ullrich et al., 1996). All of these results suggest that NF-κB/Rel-mediated transcription is not necessary for neural development.
Another possible effect that loss of c-Rel could have is disruption of the expression of proteins involved in the induction or expression of mGluR-LTD. For example, expression of glutamate receptors or signaling molecules could be altered in c-rel−/− mice. Expression of mGluR1 and mGluR5 are normal in the hippocampus of c-rel−/− mice (Fig. 5A,B). Activation of both ERK2 and p38 MAPK by DHPG is normal in c-rel−/− mice (Fig. 5C). Moreover, the acute physiologic response to DHPG and subsequent short-term (<60 min) synaptic depression is essentially unchanged in c-rel−/− animals (Fig. 7A). If the signaling pathways responsible for induction of mGluR-LTD were deranged, then one would expect a derangement in MAPK signaling and an immediate loss of mGluR-LTD (Huber et al., 2001; Gallagher et al., 2004; Hou and Klann, 2004). The temporal manifestation of the deficit in mGluR-LTD in c-rel−/− animals suggests that processes responsible for long-term maintenance and/or expression of LTD were specifically affected and not induction (Nguyen et al., 1994).
There is an increasing body of evidence that the NF-κB transcription factor family plays an important role in long-term information storage in the brain. Several studies have suggested that NF-κB plays a role in synaptic plasticity. NF-κB transcription factors are activated by a wide dynamic range of synaptic activity in the brain (Meberg et al., 1996; Meffert et al., 2003). Pre-exposure to NF-κB decoy oligonucleotides blocks induction of LTP in the hippocampus and amygdala (Albensi and Mattson, 2000; Yeh et al., 2002). Additionally, a series of experiments investigating the cytokine tumor necrosis factor (TNF), a powerful activator of the NF-κB system in nearly every tissue examined, have shown that exposure to exogenous TNFα inhibits induction of LTP and that genetic knock-out of TNF receptors inhibits induction of LTD (Tancredi et al., 1992; Cunningham et al., 1996; Albensi and Mattson, 2000). Our results extend these findings by demonstrating a specific member of the NF-κB transcription factor family, c-Rel, plays a direct role in the induction of mGluR-LTD in the hippocampus.
Synaptic plasticity is one of the leading candidate cellular mechanisms for storage of long-term memory in the nervous system. Several studies have implicated the NF-κB system in the formation of long-term memory. Infusion of NF-κB decoy oligonucleotides into the amygdala blocks formation of fear-potentiated startle (Yeh et al., 2002, 2004), and infusion into the hippocampus blocks formation of spatial memory (Dash et al., 2005). Simultaneous knock-out of the NF-κB family member p65/RelA and TNF-R1 blocks formation of hippocampus-dependent spatial memory but not striatal-dependent working memory (Meffert et al., 2003). In the current and previous studies, we provide several lines of evidence that knock-out of c-Rel inhibits formation of hippocampus-dependent long-term memory but does not affect amygdala-dependent long-term memory formation (Fig. 8) (Levenson et al., 2004). All of these results indicate that NF-κB plays a role in long-term memory formation and that two members of the NF-κB family, p65/RelA and c-Rel, play important roles in formation of hippocampus-dependent long-term memory.
The function of NF-κB makes it a unique transcription factor. NF-κB was the first transcription factor to be localized to synaptic regions in the CNS (Korner et al., 1989). Several subsequent studies have confirmed that latent NF-κB dimers are present in synaptic regions, and that once activated, NF-κB translocates from the synapse to the nucleus (Kaltschmidt et al., 1993, 1995; Meberg et al., 1996; Cruise et al., 2000; Wellmann et al., 2001; Meffert et al., 2003; Scholzke et al., 2003). This suggests that the NF-κB transcription factor family may act as a synapse-to-nucleus messenger in the nervous system. What is the specific role of NF-κB in the context of synaptic plasticity? Previous reports suggest that NF-κB-mediated transcription in general is required for induction of LTP (Albensi and Mattson, 2000; Yeh et al., 2002), and we present data suggesting that c-Rel specifically is necessary for maintenance of mGluR-LTD (Fig. 7A). We propose the hypothesis that the NF-κB system is involved in the induction and/or maintenance of persistent, transcription-dependent forms of synaptic plasticity in general in the nervous system. Thus, in their role as a plasticity-inducing transcription factor potentially controlling bidirectional changes in synaptic strength, the NF-κB family could play a unique role in facilitating the storage of several different kinds of memory in the nervous system.
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A Systematic Review of Methods, Study Quality, and Results of Economic Evaluation for Childhood and Adolescent Obesity Intervention
Mandana Zanganeh, Peymane Adab, Bai Li and Emma Frew *
Institute of Applied Health Research, College of Medical and Dental Sciences, University of Birmingham, Birmingham B15 2TT, UK; firstname.lastname@example.org (M.Z.); email@example.com (P.A.); firstname.lastname@example.org (B.L.)
* Correspondence: email@example.com; Tel.: +44-0121-414-3199
Received: 14 December 2018; Accepted: 3 February 2019; Published: 8 February 2019
Abstract: Many suggested policy interventions for childhood and adolescent obesity have costs and effects that fall outside the health care sector. These cross-sectorial costs and consequences have implications for how economic evaluation is applied and although previous systematic reviews have provided a summary of cost-effectiveness, very few have conducted a review of methods applied. We undertook this comprehensive review of economic evaluations, appraising the methods used, assessing the quality of the economic evaluations, and summarising cost-effectiveness. Nine electronic databases were searched for full-economic evaluation studies published between January 2001 and April 2017 with no language or country restrictions. 39 economic evaluation studies were reviewed and quality assessed. Almost all the studies were from Western countries and methods were found to vary by country, setting and type of intervention. The majority, particularly “behavioural and policy” preventive interventions, were cost-effective, even cost-saving. Only four interventions were not cost effective. This systematic review suggests that economic evaluation of obesity interventions is an expanding area of research. However, methodological heterogeneity makes evidence synthesis challenging. Whilst upstream interventions show promise, an expanded and consistent approach to evaluate cost-effectiveness is needed to capture health and non-health costs and consequences.
Keywords: cost effectiveness; methods; children; adolescents; obesity; prevention; treatment
1. Introduction
Childhood obesity is a major global public health problem with associated health, social, and emotional consequences, as well as long term direct and indirect costs [1–4]. Effective obesity prevention and treatment in children and adolescents is therefore a priority as it is far more cost-effective to prevent the onset of obesity in childhood compared to a lifetime of obesity-associated costs. However, despite an increasing number of intervention studies, there are relatively few published economic evaluations [5–7].
In many countries, the scarcity of public resources requires decision makers to seek information on cost-effectiveness as well as clinical effectiveness in the knowledge that the use of resources in one way prevents their use in others [8]. Economic evaluation is a means to aid decisions about public resource allocation [9,10] and as obesity prevention and treatment often involves lifestyle interventions that have costs and consequences that fall outside the health care sector, a societal perspective for evaluation is usually recommended [10]. This means that all relevant resource use/costs and consequences are measured, outlining how these fit within a given sector, such as health, education, or the wider community [11]. However, when incorporating costs and outcomes that span across multiple sectors,
it is not always clear how much society is willing to pay for a ‘non-health’ effect caused by an intervention funded from a ‘health care budget’. Also, the valuation of resources for which no market exists, such as informal care, or patient time costs, requires specific methods [8].
Seven recent reviews [12–18] have summarised the cost-effectiveness of obesity prevention and/or treatment interventions in young people however none were designed to offer a rigorous review of methods applied for economic evaluation. Five reviews had language restrictions [12–15,17] and four excluded studies that were conducted in developing countries [12,13,15,17], limiting global interpretation. Only two reviews appraised methods for handling inter-sectoral costs [13,17]. Just three of the reviews used established criteria, e.g., Drummond checklist [19] to assess the quality of the primary studies [13,14,17]. The search strategy was inadequate (e.g., search terms not fully reported) in three reviews [12,15,18], and in the remaining four there were omissions of relevant databases, which means that relevant studies could have been missed [13,14,16,17]. Furthermore, the most recent review, which only focused on interventions in pre-school children, included studies reported up to November 2015 and, at least three new economic evaluation studies of childhood obesity interventions have been published since then [20–22].
This paper reports on a systematic review of published economic evaluations of obesity prevention and/or treatment interventions in children and adolescents (0–19 years) with the primary objective of appraising the methods used and assessing the quality of the economic evaluations using the Drummond checklist [19]. A secondary objective was to undertake a narrative synthesis of the evidence of the cost-effectiveness.
2. Materials and Methods
The systematic review follows the reporting guidelines of Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) [23] and a completed PRISMA checklist is presented in Section A (see Supplementary Materials). The protocol is registered with the international prospective register of systematic reviews (PROSPERO) database ref (CRD42017062236) and has previously been published [24].
2.1. Literature Search
The following electronic health economics/biomedical databases were searched: MEDLINE (Ovid); EMBASE (Ovid); Web of Science; CINAHL Plus; EconLit; PsycINFO; Cochrane Database of Systematic Reviews (CDSR); Database of Abstracts of Reviews of Effects (DARE); the National Health Service Economic Evaluation Database (NHS EED); Health Technology Assessment (HTA) and Cost-Effectiveness Analysis (CEA) Registry. The following sources were also used to identify potential additional studies: Google Scholar; relevant National Institute for Health and Care Excellence (NICE) guidelines; the reference lists of eligible studies and review articles; and Grey literature such as OpenSIGLE, National Obesity Observatory, NHS Evidence, National Technical Information Service, Healthcare Management Information Consortium (HMIC), and RePEC (Economic Working papers) database. The search was conducted in May 2017 and studies were sought between January 2001 and April 2017. The year 2001 was chosen since the first study evaluating the cost-effectiveness of a childhood obesity treatment intervention was published then followed two years later by the first economic evaluation of a childhood obesity prevention intervention [16]. Search strategies included Medical Subject Headings (MeSH) terms and text words of key papers that were identified beforehand. The search terms and text words were adapted for use within other bibliographic databases. The full search strategy is presented in Section B (see Supplementary Materials).
2.2. Inclusion and Exclusion Criteria
Economic evaluations were included or excluded based on the following criteria:
• Types of study: Primary full economic evaluations were included (studies in which both the costs and outcomes of the alternatives are examined and in which a comparison of two or more interventions or case alternatives are undertaken) including trial-based and model-based (using trial data) evaluations. Partial economic evaluations; qualitative studies; conference abstracts; and study protocols were excluded.
• Participants/population: Children and adolescents aged 0–19 years at the start of the intervention and/or their parents/guardians were included. Family based interventions were also included when the target participants were the children. Economic evaluations undertaken within any country context were included. Interventions to tackle obesity due to a secondary cause (e.g., Prader–Willi syndrome) were excluded.
• Intervention(s), exposure(s): All behavioural (focused on individual behaviour change techniques), environmental (focused on modifying the local environment), or policy (focused on population-wide legislative or fiscal action) interventions for the treatment or prevention of overweight/obesity in children and/or adolescents were included. Pharmacological or surgical interventions were excluded.
• Comparator(s)/control: Only studies with a clearly defined comparator were included with no restrictions on the types of comparator(s).
• Outcome(s): No restrictions on outcomes measures. Potentially relevant outcomes were: disability-adjusted life years (DALYs); quality-adjusted life years (QALYs); effectiveness outcomes such as kilogramme weight loss; % body fat; body mass index (BMI) z-score; waist circumference; overweight and obesity cases avoided; additional minute of moderate to vigorous physical activity (MVPA); increase in overall physical activity level and metabolic equivalent (MET) hour gained.
Other criteria: There were no restrictions based on language.
2.3. Study Selection Procedure
The review followed a two-stage method. First, the main researcher and an independent researcher individually screened titles and abstracts of identified publications against the selection criteria. If in doubt, the full text version was requested. Second, full-text papers were reviewed by both researchers and a final decision made with respect to the inclusion/exclusion criteria. There was 85% agreement between the two reviewers. Any disagreements between the reviewers over the eligibility of specific studies were resolved by discussion between all authors. To aid study selection and analysis of non-English language articles, translation either in part or in whole was undertaken by academic colleagues with the appropriate language skills. The literature search results were managed using EndNote X7 (Thomson Reuters, Philadelphia, PA, USA).
2.4. Data Extraction
The study characteristics and findings were recorded using a standardised, pre-piloted data extraction form (see Tables S1 (i)–S1 (iv) and Tables S2–4 (i)–S2–4 (iv) in Supplementary Materials). This process was checked for completeness and accuracy by an independent researcher. Any discrepancies between the reviewers over the data extraction process was identified and resolved by discussion or by consensus with all authors.
2.5. Quality Assessment of Included Studies
The quality of the economic evaluations were judged against standard criteria (Drummond checklist) [19], see Table S5 (see Supplementary Materials). Quality assessment of the included studies was independently checked for completeness and accuracy by an independent researcher and any discrepancies were resolved by discussion with all authors.
3. Results
From the 4185 references initially identified, 39 economic evaluations were included—see Figure 1. The most common reasons for exclusion were the lack of (full) economic evaluations, being a protocol study, or including an ineligible target population.
**Figure 1.** PRISMA (Preferred Reporting Items for Systematic Reviews and Meta-Analyses) flow diagram.
### 3.1. Details about Study Context
Full details about study context are presented in Tables S1 (i)–S1 (iv) (see Supplementary Materials), and summarised in Table 1.
#### 3.1.1. Intervention and Comparator
Approximately half of the economic evaluations (23/39) were model-based [12,22,25–40] compared to trial-based evaluations. A range of interventions were identified, all containing individual behaviour change elements (Figure 2). A large proportion (25/39) (including all treatment interventions) were focused exclusively on behaviour change techniques, the rest combined individual behaviour change elements with either an environmental component (modifying the local environment e.g., active school transport) [21,29–33,41,42] or a policy component (population-wide legislative or fiscal interventions such as banning unhealthy food advertising or a physical education policy) [25,27,28,35,38,43]. Approximately half of the interventions (21/39; 12 prevention and 9 treatment) targeted a combination of physical activity and dietary behaviours [12,20,26,32,36–42,44–50], the rest focused on either physical activity [21,25,29–31,33,43,51–53] or dietary habits only [12,22,27,28,35,54].
Table 1. Summary of general characteristics of the studies.
| Study Characteristics | Number of Studies Identified (%) |
|-----------------------|---------------------------------|
| **Year of publication** | |
| 2001–2009 | 17 (44) |
| 2010–2017 | 22 (56) |
| **Study approach** | |
| Trial-based | |
| Prevention | 9 (23) |
| Treatment | 7 (18) |
| Model-based | |
| Prevention | 19 (49) |
| Treatment | 4 (10) |
| **Comparator selected** | |
| Usual care | 33 (85) |
| Another intervention | 6 (15) |
| **Country** | |
| **High-income** | |
| Australia | 15 (38.5) |
| New Zealand | 2 (5) |
| The USA | 12 (31.5) |
| Canada | 1 (2.5) |
| The UK | 4 (10) |
| Germany | 2 (5) |
| Finland | 1 (2.5) |
| Spain | 1 (2.5) |
| **Low and middle-income** | |
| China | 1 (2.5) |
| **Setting** | |
| Prevention | |
| School | 21 (54) |
| US/Australian state | 5 (13) |
| Community | 1 (2.5) |
| Home | 1 (2.5) |
| Treatment | |
| Clinical | 9 (23) |
| School | 1 (2.5) |
| Community | 1 (2.5) |
Figure 2. Summary of the interventions.
The intensity of the interventions differed considerably. For prevention interventions, this ranged from one session per three months [44] to approximately two sessions per month [51]; and for treatment interventions, ranged from 1 [20] to 12 sessions per week [46]. The duration of the interventions also differed, ranging from eight months [53] to four years [52] for prevention studies; and from three months [20] to one year [46] for treatment studies. Overall therefore, the treatment interventions were generally more intensive but delivered over a shorter time period compared to prevention interventions. The comparison or control group was not always clearly specified but was assumed to be ‘usual care’ in most of the studies (33/39) and often the studies did not justify their rationale for choosing the comparator.
3.1.2. Country and Setting
The evaluations were spread across a wide range of countries and study settings. The vast majority (38/39) originated from high-income countries, mainly Australasia (Australia (n = 15) [12,21,28–32,40,44,50] and New Zealand (n = 2) [34,41]), with 13 from North America (USA (n = 12) [22,25–27,35–38,42,43,46,49], Canada (n = 1) [47]) and 8 from Europe (UK (n = 4) [20,33,39,48], Germany (n = 2) [51,52], Finland (n = 1) [54], Spain (n = 1) [53]). Only one study was from a developing country context—China [45]. In terms of study setting, the majority of prevention interventions (21/28) were school-based [21,22,26,29–32,34,36,37,41,42,45,49,51–53] and for treatment interventions, most (9/11) took place in clinical settings [12,20,39,40,46–48,50,54].
3.2. Review of Economic Evaluation Methods
A detailed account of the economic evaluation methods are presented in Tables S2-4 (i)–S2-4 (iv) (see Supplementary Materials).
3.2.1. Type of Economic Evaluation and Measures of Effectiveness
The majority of studies that conducted a cost-effectiveness analysis (CEA) used raw or standardised BMI as a measure of clinical outcome (26/39) (18 prevention and 8 treatment), whilst other studies used one or more measures from: cases of overweight/obesity prevented; unit increase in MET minutes; reduction in body fat or waist circumference. Approximately half of the studies that undertook a CEA also conducted a cost-utility analysis (CUA) [20,27–33,35,40] with QALYs as the primary outcome measure. The review found that the vast majority of trial-based economic evaluations (15/16) did not use QALYs/DALYs whereas most model-based evaluations (n = 20) tended to report QALYs/DALYs as the primary economic outcome. When QALYs were used, the age of the participants was between 6 and 11 years in the trial-based economic evaluation [20], and between 2 and 19 years in the model-based economic evaluations.
A pattern with preferred type of economic evaluation by country context was apparent. Within Australasia (13/17) a CUA or a combination of CUA and CEA [1,2,28–32,34,40] was most popular, whereas the majority of studies from North America (7/13) [25,38,42,43,46,47,49], and the only study from China [45] conducted a CEA only. Across Europe, only UK-based studies used CUA [20,33]. In terms of study setting, a CEA was most common in clinical settings (7/9), whereas within school settings a mixed approach was applied with around half conducting a CEA (12/22). There was no clear pattern found in terms of approach taken to evaluate prevention or treatment interventions.
3.2.2. Evaluation Perspective Taken
Most (35/39) studies clearly reported the study perspective. The majority (n = 29) were from a societal perspective. Interestingly, none of the UK studies [20,33,39,48], compared to most of those conducted within Australia and the USA, applied a societal perspective. Two studies reported using a health care perspective, but from the data reported it was clear that wider societal costs were included within a secondary analysis [20,50].
For all interventions that included either a policy or environmental component (12/14), the perspective was societal, whereas for interventions focused exclusively on individual behaviour change a combination of societal (17/25) and healthcare (6/25) perspectives was undertaken. A societal perspective was also adopted by the vast majority of interventions implemented in school settings (19/22).
3.2.3. Time Horizon Considered and Type of Modelling Approach Taken
The time durations for the trial-based economic evaluations were predicted by the period of the trial. Of interest this ranged from 8 months [53] to 6 years [52] in the prevention studies, and from 10 months [49] to 15 months [50] for the treatment interventions. For the model-based evaluations, the time horizon was more at the analysts discretion and within this review ranged from at least 10 years (n = 5) [25,27,35,37,38] to a lifetime (15/23) [12,22,28–32,34,39,40]. The time horizon was also found to be much shorter within clinical settings (6/9) [20,46–48,50,54] compared to the other study settings such as schools for example. The majority of the studies did not justify their choice of time horizon.
With respect to modelling, the vast majority of model-based studies (18/23) applied Markov modelling [12,25,27–32,34,35,38–40] compared to decision analytic modelling [22,26,33,36,37]. The majority of the model-based studies did not justify their model choice and the description of model details was suboptimal in most of them.
3.2.4. Choice of Discount Rate
For the majority of the trial-based studies (10/16) (4 prevention and 6 treatment), discounting was not appropriate as the time horizons considered were relatively short (less than one year) [20,42,45–49,51,53,54]. For all the trial-based studies of more than one year, all reported using a discount rate in accordance with the relevant country guidelines apart from one prevention trial from New Zealand [41], which used a 5% discount rate per year for costs, rather than the 3.5% discount rate per year for both costs and outcomes recommended [55]. Most model-based studies (22/23) applied a discount rate for both costs and outcomes (3% per year for Australia (n = 12) [12,28–32,40], the USA (n = 8) [22,25–27,35–38] and the UK (n = 1) [39], and 3.5% per year for New Zealand (n = 1) [34]. Interestingly, the rates used for studies from Australia and the UK were not in accordance with their respective country guidelines (which is 5% per year for Australia according to PBAC and 3.5% per year for the UK according to NICE) [56,57]. However, different state governments in Australia recommend different rates and the discount rate used in the included Australian and UK studies was consistent with the US panel recommendations [58]. Most of the studies did not justify their choice of discount rate.
3.2.5. Methods for Collecting and Estimating Resource Use/Costs
Half of the trial-based evaluations (8/16) (four prevention and four treatment) reported their methods for collecting resource use [20,21,44,46,48,50–52], while only 10 out of 23 model-based evaluations (nine prevention and one treatment) did so [22,25,27,29–32,35,38,40].
As expected, the choice of inclusion of a particular type of cost varied considerably according to the study purpose, perspective, setting and the nature of the intervention being evaluated. Costs tended to be categorised into programme delivery, direct medical (e.g., healthcare visits), direct non-medical (e.g., travel time/cost for participants) and indirect (e.g., productivity losses because of parents’ absence from work). In line with recommendations for CEA [59], the development/set up costs were not considered in the vast majority of studies, apart from one trial-based prevention study from the USA [43].
Of the nine studies (five prevention and four treatment) that included indirect costs incurred by parents [20,29,30,32,40,42,46,50,52], these were mainly from Australia (n = 5) and most of them were for preventive ‘behavioural’ interventions within a school-based setting (5/9). Also, direct non-medical
costs were reported by four prevention studies from Australia [29,32,40,50] and one treatment study from the USA [46]. Most of these types of costs (3/5) were for ‘behavioural’ interventions implemented within a clinical setting.
3.2.6. Sensitivity Analysis Undertaken
The majority of the trial-based studies (10/16) conducted a deterministic sensitivity analysis to assess the robustness of the results [20,21,41,42,44,50–54]. Most of the model-based studies (22/23) apart from the study by Pringle et al. (2010) from the UK [33], conducted at least one type of sensitivity analysis with the majority (n = 20) applying both deterministic and probabilistic sensitivity analysis in line with recommendations. Half of these studies, however, did not justify the choice of covariates for the sensitivity analysis.
3.3. Narrative Synthesis of Cost-Effectiveness Evidence
The most common method for presenting cost-effectiveness evidence was the incremental cost-effectiveness ratio (ICER) (30/39). The vast majority of the studies (33/37), excluding the CCA ones, reported results that were cost-effective. Some of these (13 of the model-based prevention/treatment studies including 5 by Carter et al. (2009)), [12,27,28,33,35–39] illustrated cost saving results. For instance, Long et al. (2015) concluded that a sugar-sweetened beverage excise tax would increase benefits in terms of DALYs averted and result in healthcare cost savings in the USA [27]. Almost half of these 13 studies that illustrated cost-savings were from Australia, followed by 5 from the USA and 2 from the UK. None of the trial-based evaluations reported cost saving results, probably due to shorter time horizons. Whilst the findings are not directly comparable between studies due to the heterogeneous nature of the methods used, all of the studies which evaluated interventions targeting only dietary habits (8/8) and the majority of the studies targeting both physical activity and dietary habits (19/21) indicated cost-effective or cost saving results. However, the studies which focused on only physical activity indicated a proportionally smaller number of cost-effective or cost saving results (7/10). Furthermore, the evidence suggests that the majority of behavioural interventions supported by a policy intervention (4/6) were cost-saving [27,28,35,38].
A small number of studies (n = 4) [20,29–31] reported interventions to not be cost-effective. The UK trial-based treatment study [20], which targeted a combination of physical activity and dietary habits with the aim to reduce weight gain in children with obesity remained not cost-effective using a CEA/CUA approach regardless of the choice of perspective. Also, the three model-based studies that targeted only physical activity were not cost-effective, for example, the “Walking School Bus” programme which had a high cost of delivery coupled with low participation rates [29].
3.4. Quality Assessment of the Included Studies
The quality of reporting the economic evaluations was assessed using the Drummond checklist. Full details of the quality assessment are presented in Tables S6 (i)–S6 (iv) (see Supplementary Materials). None of the included studies fulfilled all of the quality criteria however only a small number of the studies were categorised as poor. One challenge regarding the quality assessment was that quality was judged based on the published data only and there might be a difference in what has been reported and what has actually been done. So a bad scoring study might just be due to lack of transparency rather than lack of quality.
Certain criteria were simply not applicable to each respective study (e.g., items 12–15, due to different perspectives chosen), while others were not reported. The three criteria which were least well addressed were the rationale for the comparator, the justification for the choice of discount rate, and the model choice. Whilst the time horizon for each study was generally well specified, most studies omitted to provide reasons for choice. Additionally, approximately half of the studies did not justify the choice of economic evaluation nor offered justification for what was explored within a sensitivity analysis.
4. Discussion
To the best of our knowledge, this is the first study to conduct a review of the methods for economic evaluation and to determine how these methods vary by setting, country, and intervention design.
The review identified some emerging patterns. We found that among the published economic evaluations, there was no consistent measure of outcomes. Around half of the studies reported clinical (e.g., BMI), rather than health-related outcome measures commonly used within economic evaluation (QALYs/DALYs). This suggests that the measurement of QALYs/DALYs within obesity trials is not firmly established. This heterogeneity of outcome measures will hinder comparability of cost-effectiveness.
No evaluation applied a cost–benefit analysis (CBA) approach. Consideration of broader outcomes going beyond the health sector allows for inclusion of costs and effects from multiple sectors and is particularly relevant for obesity intervention. This is an emerging area of development within economic evaluation and efforts are being made to adapt methodologies to promote the use of CBA [60]. These approaches have been recommended by the UK Treasury guidance to evaluate (usually non-health) public sector projects [61].
Model-based evaluations offer the opportunity to improve the generalisability of results as they combine data from a variety of sources. However the findings from five of the model-based evaluations identified within this review were based on small samples [22,26,33,36,37] and only one of these offered data based on a lifetime horizon. Furthermore, all of the model-based evaluations were for interventions that targeted individual health behaviours and were therefore highly dependent on cultural, infrastructural and other system-related aspects. So the generalisability of results to other contexts, particularly from developed to developing country settings, would be questionable [62]. The majority of the papers did not make explicit mention of procedures for checking their models and no study assessed the sensitivity of their results to the choice of model-type. Despite associated assumptions with modelling studies, the studies evaluated are important as model-based health economic evaluations are today widely accepted as policy-making tools that can inform resource allocation decisions. Almost half of the model-based studies chose a lifetime perspective and the vast majority of them applied Markov modelling.
Most trial-based and model-based evaluations in this review applied recommended discount rates in accordance with the relevant country guidelines. Methods for collecting resource use and the type of cost included were found to vary across the studies. In particular, the indirect costs of overweight and obesity (e.g., productivity losses) were not generally collected alongside the trials. It is considered good practice to report results both with and without indirect costs. Including indirect costs (e.g., costs incurred by families) has the potential to alter the treatment recommendations.
The narrative synthesis of the economic evidence and the quality assessment of the included studies are useful for informing health economists/modellers and the direction for future research in this area. In terms of judging cost-effectiveness of interventions, context-specific assessment is problematic as there are different thresholds for cost-effectiveness in different countries. For example, in the UK, NICE recommends a threshold willingness to pay of £20,000–30,000 per QALY [63], by contrast in Australia the recommendation is AU$50,000 per QALY [29] and in many countries there are no clearly defined thresholds at all. Whilst most interventions in this review appear cost-effective using standard rules of cost-effectiveness, there is substantial variation by intervention design.
4.1. Comparison with Previous Systematic Reviews
Our finding that most interventions were cost-effective or even cost-saving, is similar to those reported by two other reviews [14,18], with some overlap between included studies. Other reviews have focused on particular age groups (e.g., pre-schoolers [13]), specific interventions (e.g., only physical activity [17]), or particular outcomes (e.g., anthropometric measurements [13]). Two additional reviews from Australia [12] and the US [15] used the assessing cost-effectiveness (ACE) obesity approach to summarise and compare the cost-effectiveness of a range of interventions.
However, none of the previous studies reviewed the methods of the economic evaluations in the way we have outlined.
4.2. Strengths and Limitations of this Review
One of the important strengths of this review is the comprehensive search strategy applied encompassing a broad range of electronic bibliographic databases of published studies and the grey literature (six additional studies were identified). Furthermore, the results were not limited to only those published in English (two non-English publications identified) and there were no country restrictions (there was one publication from China as a developing country), resulting in a more complete review than those published previously. Also, the formal quality assessment of the economic evaluations undertaken adds strength to the conclusions. The vast majority of the studies were found to be of very good reporting quality.
The review had some limitations. As we focused on full economic evaluations, some important data contained within partial evaluations may have been missed. Further limitations relate to the shortcomings of the included studies and underlying evidence base. There was heterogeneity in both the methods used and with the type of intervention being evaluated, which made synthesising the evidence base challenging. Not all included studies used the same definition of obesity, which may impact on the results. Most of the included studies reported an economic evaluation for an intervention that had previously been reported as clinically effective. It is possible that any trial which had ineffective results did not conduct an economic evaluation or, if they did, failed to get it published, introducing potential publication bias.
5. Conclusions
This systematic review suggests that current economic evaluations are mainly set in developed countries and the majority focus on the prevention of obesity in children, compared to treatment. Our findings show that the majority of published economic evaluations are for interventions with an individual behaviour change component. The majority, particularly ‘behavioural and policy’ preventive interventions, were cost-effective, even cost-saving. However, the review found heterogeneity with respect to methods applied. So, to improve the evidence base further and to enhance comparability across interventions, we recommend a consistent and expanded form of economic evaluation which captures both health and non-health costs and consequences beyond health-gain.
Supplementary Materials: Additional supporting information may be found online in the supplementary material file for this article at http://www.mdpi.com/1660-4601/16/3/485/s1. This file includes: Section A: Completed PRISMA checklist; Section B: Search strategy; Tables S1 (i)–S1 (iv): Data extraction (Details about study context); Tables S2–4 (i)–4 (iv): Data extraction (Detailed account of the economic evaluation methods); Table S5: Drummond checklist for critically appraising relevant studies; and Tables S6 (i)–S6 (iv): Quality assessment of the included studies.
Author Contributions: M.Z., P.A., B.L., and E.F. led the development of the design of this study. P.A., B.L., and E.F. provided methodological advice and supervised the study. M.Z. conducted the literature search. Full-text articles were assessed by M.Z. for eligibility. M.Z. extracted the data and assessed the quality of the included studies. Any disagreements between the main researcher and the independent researcher (acknowledged above) over the eligibility of specific studies, the data extraction process and the quality assessment process were resolved by discussion between all authors. M.Z. analysed the data and interpreted the results. M.Z. drafted the manuscript. All authors were actively involved in revising the drafts of the manuscript and interpreting the results critically for important intellectual content. All authors read, commented on drafts and approved the final manuscript.
Funding: This article represents an independent research project funded by an internal University of Birmingham Ph.D. studentship (the College of Medical and Dental Sciences Studentship) and the systematic review forms part of that Ph.D. project. The funder had no role in study design, data collection, data analysis, data interpretation, or writing of the manuscript or submitting for publication. The views expressed in this systematic review are those of the authors.
Acknowledgments: The authors would like to thank: independent researcher, James Hall, for assisting with study selection, data extraction, and quality assessment of the included studies; Samantha Cruz Rivera and Antje
Lindemeyer for translating Spanish and German articles; Susan Bayliss and Jon Andrews for applying design the search strategy.
**Conflicts of Interest:** The authors declare that they have no conflict of interest with respect to the research, authorship, and/or publication of this article.
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Emotion and CONSCIOUSNESS
Edited by
Lisa Feldman Barrett
Paula M. Niedenthal
Piotr Winkielman
2005
THE GUILFORD PRESS
New York London
Embodiment in the Acquisition and Use of Emotion Knowledge
PAULA M. NIEDENTHAL
LAWRENCE W. BARSALOU
FRANÇOIS RIC
SILVIA KRAUTH-GRUBER
The past 50 years have seen an exponential increase in the number of journal and book pages devoted to reports and discussions of research on emotion. Despite the growth of interest in the empirical study of emotion, however, the literature remains largely unintegrated. Researchers have independently studied the processes involved in the perception, interpretation, experience, and use of knowledge about emotion, relying on very different theoretical orientations. In addressing such apparently wide-ranging problems, for example, emotion researchers have tested principles of evolutionary theory with the use of facial expression recognition data and with the use of autonomic nervous system data; they have pursued cognitive theories of emotion and measured reaction times to categorizing words or studied judgments of similarity between words denoting emotional states; and they have evaluated social constructivist theories with the use of linguistic analyses and archival data on social customs. In this chapter, we seek to understand the body of knowledge about emotion with a single mechanistic account. Following the pun present in the preceding sentence, in the present chapter, we introduce the notion of embodiment and argue
1. What is the scope of your proposed model? When you use the term emotion, how do you use it? What do you mean by terms such as fear, anxiety, or happiness?
The topic of the chapter is the processing of emotional information and emotion concepts. Our point is that processing emotional information involves a simulation of the corresponding emotional state or cue in the perceiver. Consistent with many basic emotion theorists, emotions are defined as short-term, biologically based patterns of perception, subjective experience, physiology, and action (or action tendencies) that constitute responses to specific physical and social problems posed by the environment.
2. Define your terms: conscious, unconscious, awareness. Or say why you do not use these terms.
By consciousness we mean the object of attention. Once attention has been directed at an embodied emotion, then it can become a subject of advanced representational processes. As noted at the end of the chapter, this will have many consequences for the subjective experience of emotion.
3. Does your model deal with what is conscious, what is unconscious, or their relationship? If you do not address this area specifically, can you speculate on the relationship between what is conscious and unconscious? Or if you do not like the conscious—unconscious distinction, or if you do not think this is a good question to ask, can you say why?
We have suggested that although emotions are embodied, this embodiment need not be conscious. It is also possible that some embodied components of emotion, such as the perceptual patterns that define them, can never be conscious. When conscious attention is directed to the cognitively penetrable
ories of embodied cognition can account for these types of effects (we focus largely on Barsalou’s [1999a] recent theory of embodied cognition). We end by identifying implications of this approach for understanding conscious and unconscious aspects of emotion.
WHAT IS EMBODIMENT?
By embodiment we mean the bodily states that arise (e.g., postures, facial expressions, and uses of the voice [i.e., prosody]) during the perception of an emotional stimulus and the later use of emotional information (in the absence of the emotional stimulus). In the area of emotion the concept of embodiment is associated with the theory of William James (1890/1981), who argued that individuals’ perceptions of the bodily states that occur in the presence of emotional events constitute their emotions (really, their feelings), in the sense of “feeling” somatosensory and motor changes. In essence, James defined emotions as the conscious perception of bodily states. Although our aims are somewhat different—we are concerned with the theoretical grounding for emotion concepts—we come full circle and return to James in this chapter. We propose that the bodily states, or embodiments of emotion, can be, and often are, unconscious, and that the feeling states are conscious. If we consider that embodiments can be unconscious until consciously attended to and manifested as feelings, then the general debate about whether emotion is conscious or unconscious becomes, in our mind, more tenable, and the various disagreements on this point (e.g., see Winkielman, Berridge, & Wilbarger, Chapter 14; Clore, Storbeck, Robinson, & Centerbar, Chapter 16) can be reconciled. It is, above all, necessary to decide whether an emotion is a bodily state, a feeling state, or both.
INDIVIDUALS EMBODY OTHERS’ EMOTIONAL GESTURES AND BEHAVIORS
In this first section we review empirical evidence for the claim that people embody the emotional behaviors of others. These behaviors may include, but are not limited to, facial expressions, postures, and vocal parameters that convey emotion. Here we present evidence concerning the ubiquity of imitation; in the next section we discuss the relations between imitation and subjective emotional state. There is evidence suggesting that such imitation is automatic, in that it does not have to be conscious or intentional. However, it is clear that goals, such as the goal to empathize, can enhance or suppress the tendency or the effort put into imitation.
Embodiment of Facial, Postural, and Vocal Expressions of Emotion
Probably the most extensive evidence for the embodiment of others' emotional behavior involves the facial and vocal expressions of emotion. In several frequently cited studies, Dimberg (1982, 1990) showed that 8-second presentations of slides of angry and happy faces elicited facial electromyographic (EMG) responses in perceivers that corresponded to the perceived expressions. For example, zygomatic activity (which occurs when individuals smile) was higher when participants viewed a happy, compared to an angry, face. In addition, corrugator activity (which occurs when individuals frown) was elevated when participants viewed an angry face, and it decreased when participants viewed a happy face. Furthermore, these effects were obtained when the faces were presented subliminally (Dimberg, Thunberg, & Elmehed, 2000).
Vaughan and Lanzetta (1980) used a vicarious conditioning paradigm in which participants viewed the videotaped facial expression of pain displayed by a confederate (unconditioned stimulus) while working on a paired-association learning task. The pain expression that always followed a target word of the same word category (flower or tree names) produced a similar facial response in the observer during the confederate's pain expression, as indicated by EMG activity (for related findings, see Bavelas, Black, Lemery, & Mullett, 1987).
Embodiment of positive facial expressions was demonstrated by Bush, Barr, McHugo, and Lanzetta (1989). In their study participants viewed two comedy routines. In one, smiling faces had been spliced into the film concurrent with sound-track laughter. Half of the participants were instructed to inhibit their facial expressions. The half whose expressions were spontaneous—that is, in whom mimicry was permitted—displayed greater zygomatic and orbicularis activity during the spliced segments than during the segments without smiling faces. Research by Leventhal and colleagues (Leventhal & Mace, 1970; Leventhal & Cupchik, 1975; Cupchik & Leventhal, 1974) similarly showed that exposure to the expressive displays of others produces mimetic responses in observers (and see Chartrand & Bargh, 1999).
McHugo and colleagues studied the embodiment of more complex expressive behaviors (including facial expression, gaze direction, and bodily posture) of political leaders on observers' facial reactions as a function of their prior attitudes. In one study (McHugo, Lanzetta, Sullivan, Masters, & English, 1985), participants watched televised news conferences of then-President Ronald Reagan. Independent of their prior attitudes, participants showed increased brow activity (contraction of the corrugator supercilii muscle) in response to Reagan's negative expressions and reduced cheek activity (low zygomatic major activity) during Reagan's positive expressions.
Finally, emotional embodiment has been shown for emotional prosody. In a recent study by Neumann and Strack (2000), participants listened to recorded speeches that were read in either a sad or a happy voice. Under the pretext that the experimenters were interested in whether memory for the content of a speech is improved by the simultaneous reproduction of it by the listener, the participants had to repeat the content of the speech aloud as they listened to it. Thus the participants were focused on the content of the speech that they were instructed to repeat, not on the prosody of the speaker. Different participant-judges later rated the emotional prosody of the initial participants as they repeated the speech. Results showed that participants embodied the prosody of the speakers when shadowing their speech, even though prosody was completely irrelevant to task performance, and they were unaware of the influence on their own prosody.
In sum, a large number of studies over the last 30 years has documented the ubiquity of facial, postural, and prosodic embodiment. These studies all show that individuals partly or fully embody the emotional expressions of other people, and some of the results also show that this process is either very subtle, and likely to occur outside of consciousness, or unmoderated by contextual factors, suggesting that such embodiment is highly automatic in nature. Why would the embodiment of others' facial, bodily, and vocal expressions of emotion be so automatic and so ubiquitous? In the present view, imitation is the mechanism by which observers come to comprehend the emotions of others. But, of course, this premise would only make sense if the imitation produced a corresponding state in the observer (for a discussion, see Décety & Chaminade, 2003; Zajonc, Adleman, Murphy, & Niedenthal, 1987). Indeed, much research has tested this notion, and it is to such work that we turn next.
EMBODIMENT OF OTHERS' EMOTIONS PRODUCES EMOTIONAL STATES
In some of the studies described in the previous sections, researchers measured not only the embodiment of others' emotional gestures, but also the occurrence of corresponding emotional states in the perceiver. For example, in the study by Vaughan and Lanzetta (1980), participants not only imitated the confederate's painful expressions, they also responded to the confederate's pain expression as if they were in pain (as indicated by an increase in autonomic arousal). Furthermore, in a follow-up study, Vaughan and Lanzetta (1981) found that the vicarious emotional responses elicited
by observing the confederate’s painful expression could be modified by the opportunity for embodiment, in particular, by the instruction to suppress or amplify facial expression during the confederate’s shock period. Consistent with an embodiment account, participants in the amplify condition who embodied the expressions of pain showed higher autonomic arousal compared to both no-instruction participants and participants in the inhibition condition who had to suppress their facial expressions.
Feedback effects of mimicked facial expression on participants’ emotional experience were also found in a study by Hsee, Hatfield, Carlson, and Chentob (1990). Participants were secretly filmed while watching a videotaped interview of a fellow student who described either one of the happiest or one of the saddest events in his or her life, and who displayed the corresponding expressive behavior (i.e., happy or sad facial expressions, gestures, posture, tone of voice). Participants not only embodied the emotional expressions of the target person they viewed (evaluated by judges who rated the videotaped facial expressions of the participants), but also their own emotions were affected by the emotional expression they mimicked.
Finally, neuroscientific evidence that imitated emotion gestures produce emotions was found by Hutchison and colleagues, who examined the activation of pain-related neurons in patients (Hutchison, Davis, Lozano, Tasker, & Dostrovsky, 1999). Importantly, they found that not only were such neurons also activated when a painful stimulus was applied to the patient’s own hand, but the same neurons were also activated when the patient watched the painful stimulus applied to the experimenter’s hand. This finding was interpreted as evidence of an embodied simulation in the perceiver of what was happening to the perceived person (see Gallese, 2003, for summaries of related research).
The studies just reviewed provide correlational evidence that people’s embodiments of others’ emotional gestures are accompanied by congruent emotional states or responses. However, except for a few demonstrations in which mimicry was experimentally inhibited or facilitated, it cannot be concluded from the studies that embodiment causes emotional states. We next review research that suggests that emotion-specific embodied states, such as facial expressions, vocal expressions, and bodily postures, can produce the corresponding emotion or at least modulate the ongoing emotional experience.
Effects of Facial Embodiment:
Tests of the Facial Feedback Hypothesis
Most of the research that demonstrates the influence of embodied emotions on emotional state was conducted with the aim of testing the facial feedback hypothesis, according to which feedback from facial musculature has direct or moderating effects on emotional state (for a review of findings and mechanistic accounts, see Adelmann & Zajonc, 1989; McIntosh, 1996). In canonical facial feedback studies, participants’ facial expressions were manipulated by the experimenter’s demand to pose (facilitate) or hide (inhibit) their spontaneous emotional expression, by using a muscle-to-muscle instruction that specified the facial muscle to contract, or by nonemotional tasks that allowed the experimenter to guide the production of facial expressions without cueing the emotional meaning of the expression. In many such studies, the opportunity to experience emotion was presented in the form of a variety of emotional stimuli, such as painful electric shocks, pleasant and unpleasant slides and films, odors, or imagery, and the moderation of the emotion by facial expression was assessed. Findings demonstrated that the intensity and quality of the participants’ manipulated facial expression affected the intensity of their self-reported emotional feelings as well as their autonomic responses.
For example, in three experiments, Lanzetta, Cartwright-Smith, and Kleck (1976) demonstrated that manipulated facial expression affected the intensity of emotional reactions during the anticipation and reception of electric shocks. In Study 1 participants received an initial set of shocks (baseline sequence) that varied in intensity, and rated the aversiveness of each received shock. Shock intensity was announced by a shock signal slide. For the second set of shocks, participants were instructed to hide their facial display in response to anticipating the shocks announced by the slide. The inhibition instruction caused low- and medium-intensity shocks to be experienced as less painful, but did not decrease the painfulness of high-intensity shocks. In a follow-up study the same basic procedure was used, but this time expression-inhibition as well as expression-exaggeration instructions were given in the manipulation sequence. Participants who were asked to simulate anticipating and receiving no shocks (inhibition instruction) reported experiencing the shocks as less aversive and painful compared to participants who simulated intense shocks (exaggeration instruction). Similar results were found in a study by Kopel and Arkowitz (1974).
Kleck, Vaughan, Cartwright-Smith, Vaughan, Colby, and Lanzetta (1976) manipulated participants’ facial expressions by social means. The presence of an observer during the receipt of either no-, low-, or medium-intensity shocks attenuated participants’ facial expressivity (natural inhibition) and produced lower self-rated painfulness of shocks compared to the alone condition. Using pleasant and unpleasant slides as emotion-elicting stimuli, Lanzetta, Biernat, and Kleck (1982) induced contextual inhibition of facial expression by the means of a mirror installed in front of the participants. The mirror had attenuating effects on both participants’ expressivity
and the self-reported intensity of felt pleasantness—unpleasantness. Similar attenuating as well as facilitating effects of facial expression, manipulated by suppression—exaggeration instructions, were also found with pleasant and unpleasant films (Zuckerman, Klorman, Larrance, & Spiegel, 1981) and odors (Kraut, 1982).
Such modulating effects of facial expressions were also found in studies that used less obvious facial manipulations. In Laird (1974), participants contracted specific facial muscles involved in smile or frown expressions while watching positive and negative slides (Study 1) or humorous cartoons (Study 2). “Smiling” participants felt happier while viewing positive slides, whereas “frowning” participants felt angrier while viewing negative slides. Incongruent expressions were shown to attenuate their feelings (see also Rutledge & Hupka, 1985).
Although most of this research demonstrates that facial expressions modulate emotions induced by emotional stimuli, several studies have shown that facial expressions can also initiate corresponding emotional experience in the absence of any emotional stimulus. For instance, using a muscle-to-muscle instruction procedure similar to Laird’s (1974), Duclos et al. (1989) instructed participants to adopt facial expressions of fear, anger, disgust, or sadness while listening to neutral tones. Participants then rated their feelings on several emotion scales. Self-reported fear and sadness were highest in the fear and sadness expression trials, respectively, and higher than in the other three expression trials. Equally high anger and disgust ratings were found in the anger and disgust expression trials, which were higher than in the other two expressing trials. Finally, evidence for the emotion-initiating power of facial expressions was found in other studies in which emotion-specific facial expressions, manipulated by muscle-to-muscle instructions, resulted in self-reports of the associated emotion (Duncan & Laird, 1977, 1980), especially for participants whose faces best matched the prototypical emotional expression (Ekman, Levenson, & Friesen, 1983; Levenson, Ekman, & Friesen, 1990), and for participants who were more responsive to their inner bodily cues than to external situational cues (Duclos & Laird, 2001; see also Soussignan, 2002).
Effects of Postural Embodiment
Sir Francis Galton (1884) believed that people’s attitudes and feelings are reflected in their bodily postures. In an anecdotal way, he suggested that observing the bodily orientation of people during a party could reveal their attraction or “inclination” to one another. Bull (1951) was one of the first to examine the relation between bodily posture and emotional experience. In one study she induced the emotions of disgust, fear, anger, depression, and joy through hypnosis and found that participants automatically adopted the corresponding bodily postures. Furthermore, when asked to adopt emotion-specific postures, participants reported experiencing the associated emotions.
Since the work of Bull, several experimental studies have directly explored the impact of bodily posture on emotional experience. For example, Duclos et al. (1989) studied the impact of emotion-specific bodily postures on participants’ feelings. All participants had to listen to the same series of neutral tones, which were not intended to induce specific emotions but were presented as part of a multiple-tasks procedure. In an unobtrusive way, they were also asked to adopt bodily postures associated with anger, fear, or sadness. As expected, posture facilitated the emotional experience of the corresponding emotion. Participants reported feeling sadder in the sad posture, more fearful in the fear posture, and angrier in the angry posture.
In Stepper and Strack (1993) participants’ bodily posture was manipulated in an unobtrusive way by either having them adopt a conventional working position or one of two ergonomic positions (upright or slumped posture) when receiving success feedback concerning their performance on an achievement task. Participants who received success feedback in the slumped posture felt less proud and reported being in a worse mood than participants in the upright position and participants in a nonmanipulated control group, who did not differ from one another (see also Riskind & Gotay, 1982).
Flack, Laird, and Cavallaro (1999) examined both separate and combined effects of facial expression and bodily posture related to anger, sadness, fear, and happiness on corresponding emotional experience. Repeating the results of Duclos et al. (1989), they found specific effects of expressive behavior on participants’ self-reported emotional feelings. Participants always felt the specific emotion they were enacting either with their face or with their body posture. Furthermore, they found that combined effects of matching facial and bodily expressions produced stronger corresponding feelings.
Effects of Vocal Embodiment
In a series of experiments Hatfield, Hsee, Costello, Weisman, and Denney (1995) instructed participants to listen to tapes with sound patterns that they then had to reproduce into a telephone. The sounds were designed to convey the characteristics associated with specific emotions (joy, love, fear, sadness, anger, neutral). Participants’ self-reported emotions were affected by the specific sounds they produced. This result demonstrated that emotion-specific tone of voice amplifies the corresponding emotional feeling. Siegman, Anderson, and Berger (1990), in turn, showed that vocal expression can be used, like
facial or postural expression, to regulate or control one’s emotion. Participants who were instructed to discuss an anger-provoking topic in a slow and soft voice felt less angry and their heart rate slowed. Those who had to speak loudly and rapidly felt angrier and became more physiologically aroused.
**Summary**
Taken together, the studies reviewed in this section demonstrate that people’s expressive behavior not only facilitates but can also produce the corresponding emotional experience. Facial expressions, bodily posture, and vocal expressions have emotion-specific, facilitative effects on self-reported emotional feelings, as well as effects on other measures of emotional experience. Facial, postural, and vocal embodiments not only modulate ongoing emotional experience but also facilitate the generation of the corresponding emotions. These findings strongly suggest that the embodiment or simulation of others’ emotions provides the meaning of the perceived event. Perhaps, then, this is a general rule. Perhaps emotional meaning is the partial or full embodied simulation of an emotion. If this were the case, then simulation in the absence of a triggering affective perception or stimulus would involve embodied responses. Furthermore, simulating a particular emotion would affect the ease of processing the symbols associated with affective meanings. It is to the evidence for these two proposals that we turn next.
**AFFECTIVE IMAGERY IS ACCOMPANIED BY EMOTION PROCESSES**
Numerous studies have used imagery related to simulations of past experiences to manipulate emotional states in the laboratory (e.g., Bodenhausen, Kramer, & Süsser, 1994; Schwarz & Clore, 1983; Strack, Schwarz, & Gschneidinger, 1985; Wegener, Petty, & Smith, 1995). However, in these studies, it is not clear whether the required imagery activated emotion processes or only primed information merely associated with specific emotion words, which then guided subsequent judgments that constituted a dependent variable of interest (Innes-Ker & Niedenthal, 2002; Niedenthal, Rohmann, & Dalle, 2003).
Research designed to test just this question has indeed found that physiological changes resulting from imagery parallel those obtained in the presence of the stimuli eliciting the same emotion. For instance, Grossberg and Wilson (1968) asked participants to imagine themselves in various situations. One half of the situations had been evaluated by each participant as fearful, and the other half were rated as neutral. Results indicated that significant changes in heart rate and skin conductance between baseline (as measured for each individual at the beginning of the experimental session) and presentation of the situation (read by an experimenter) were similar for neutral and fearful situations. However, the increase in physiological responses between presentation and simulation were more marked for fearful situations than for neutral (see also Lang, Kozak, Miller, Levin, & McLean, 1980; Vrana, Cuthbert, & Lang, 1989).
In a related experiment, Gollnisch and Averill (1993) extended these results to other emotions. They asked participants to imagine situations that involve fear, sadness, anger, or joy. Measures included heart rate, electrodermal activity, and respiration. Mean levels of heart rate were significantly higher during imagery than baseline but did not differ as a function of emotion. Mean respiratory rates increased significantly during imagery in comparison with baseline (as measured in 2-minute pretrial rest period), but only for fear, anger, and joy; sadness produced a decrease in respiratory rates. Skin conductance was unresponsive to the manipulation (Gehricke & Fridlund, 2002; Gehricke & Shapiro, 2000).
Vrana and Rollock (2002; see also Vrana, 1993, 1995) presented participants with emotional imagery scenarios related to joy, anger, fear, or neutral. Participants were asked to imagine they were actually in the scene, participating actively in it. As expected, facial expression (as measured by EMG activity at zygomatic and corrugator facial muscles) differed as a function of emotional tonality of the scenario (see also Dimberg, 1990). Corrugator activity was greater during fear and anger simulation than during neutral and joy scenarios. In contrast, zygomatic activity was greater during joy than during any other scenario.
Differences between imagery of sadness versus joy situations were also found. For instance, Gehricke and Fridlund (2002) found that the simulation of joy situations led to greater EMG activity in the cheek region than simulations of sad situations, whereas the reverse was true for EMG activity in the brow region.
Finally, similar results were found when participants were asked to imagine fictitious persons (Vanman, Paul, Ito, & Miller, 1997) or to think about persons whose descriptions were designed to covertly resemble those of significant others participants liked or disliked (Andersen, Reznik, & Manzella, 1996).
In sum, a sizable literature now demonstrates that when emotional events are simulated using imagery, and in the absence of the initial stimulus, individuals reenact or relive the emotions, or partial feelings of emotion, as indicated by a number of different measures of emotion. If it is the case that the mental processing of past experience can produce embodied emotion, then we can ask whether the process of embodying emotions
interacts with the processing of emotional meaning per se. In the next section we show that this is indeed the case.
**EMBODIED EMOTIONS MEDIATE COGNITIVE RESPONSES**
A growing body of research has demonstrated that embodied emotions influence cognitive responses to emotional information. In the following section, we present evidence of such an impact on stimulus identification, stimulus evaluation, and recall.
**Stimulus identification**
Neumann and Strack (2000, Experiment 1) instructed participants to indicate as quickly as possible whether adjectives presented on a computer screen were positive or negative. While performing the task, participants either pressed the palm of their nondominant hand on the top of the table (extension condition) or used their palm to pull up on the underside of the table (flexion condition). These motor movements were manipulated because they are associated with positive affect and approach (arm flexion) and with negative affect and avoidance (arm extension; e.g., Cacioppo, Priester, & Berntson, 1993). Arm flexion facilitated the identification of positive information, whereas arm extension facilitated the identification of negative information. These results suggest that affective movement facilitates the encoding of affective information of the same valence.
This kind of effect could be the basis of facial expression recognition (Zajonc & Markus, 1984; Zajonc, Pietromonaco, & Bargh, 1982). Indeed, Wallbott (1991) proposed that imitation of facial expression facilitates its recognition. He instructed participants to identify the emotion expressed in a series of face pictures. While performing the task, participants’ faces were covertly videotaped. Two weeks later, each participant was asked to watch the videotape of him- or herself while he or she performed the identification task, and to guess the identification of the facial expression being judged (which was, of course, not visible). The participants identified the emotion expressed in the pictures above chance level by seeing only their own facial expression while performing the task. These results are compatible with the idea that participants had partially simulated others’ facial expression while performing the identification task and that this simulation provided emotional cues for identifying the emotion presented in the picture (see also Niedenthal, Brauer, Halberstadt, & Innes-Ker, 2001; Adolphs, Damasio, & Tranel, 2002; Atkinson & Adolphs, Chapter 7, for convergent neuropsychological evidence).
**Evaluation**
Evaluation responses also seem to be mediated by embodied emotions (but for an alternative view, see Clore et al., Chapter 16). Cacioppo and colleagues (1993), for example, exposed participants to neutral Chinese ideographs, and participants rated each one on a liking scale. Participants performed the task while pressing their palm on the top (arm extension) or pulling it up from the underside (arm flexion) of the table. The ideographs were judged as more pleasant during arm flexion than during arm extension. Subsequent studies demonstrated that participants associated arm flexion with an approach/motivational orientation, but only when they performed the musculature contraction, not when they merely watched someone else performing it.
Using a different type of embodiment manipulation, Strack, Martin, and Stepper (1988) found that participants instructed to hold a pencil between their front teeth, thus unobtrusively expressing a smile, evaluated cartoons as funnier, compared with participants asked to hold a pencil between their lips, without touching the pencil with their teeth (which produced a frown expression), or participants instructed to hold the pencil in their nondominant hand (a control condition).
Ohira and Kurono (1993) asked participants to exaggerate their (negative) facial expressions while reading a text presenting a target person as somewhat hostile, under the cover story of transmitting nonverbal information to a person who was supposedly on the other side of a one-way mirror. These participants later judged the target more negatively than participants who had been asked to conceal their facial expressions or who were not given instructions concerning their facial expressions.
**Memory**
Laird, Wagener, Halal, and Szegda (1982) asked participants to read passages related either to anger or happiness. After an interpolated task, participants were instructed to recall as much information as possible about the presented stories while contracting specific facial muscles so that they expressed either a happy or an angry face (importantly, the instructions did not refer to happiness or anger). Participants expressing an angry face recalled more of the angry passages than participants expressing a happy face, whereas the reverse was true for happy passages. A second experiment generalized these findings to fear, anger, and sadness, thus ruling out the possibility that frowning leads to better recall of any negative information.
Moreover, by controlling facial expressions at encoding, Laird et al. were able to rule out another interpretation in terms of state-dependent
retrieval. That is, a possible account of the Experiment 1 findings is that participants reading, for instance, angry passages had felt anger, and that the manipulation of a facial expression of anger produced the same state, which then served as a retrieval cue (i.e., an example of state-dependent retrieval). In Experiment 2, they found that the facial expression at recall still affected memory performance in an emotion-congruent manner when controlling for the facial expression at encoding; that is, participants maintained the same emotion expression throughout the experiment.
Schnall and Laird (2003) also demonstrated that such effects could be obtained even when (1) the facial expression is not maintained at time of recall, and (2) when recall implied an autobiographical event that required long-term memory. Consistent with these findings, Riskind (1983) found that participants who expressed smiles were faster at recalling pleasant autobiographical memories and took longer to recall unpleasant memories than participants who expressed a sad face.
Similar results were found when emotional gestures other than facial expressions were manipulated. Förster and Strack (1996) instructed participants to listen to positive and negative adjectives while performing either horizontal head movements (shaking, associated with negative attitude), vertical movements (nodding, associated with agreement), or circular movements (control condition), following a procedure designed by Wells and Petty (1980). They found that recognition of positive words was better when the presentation of these words was associated with vertical movements (nodding), whereas recognition of negative words was better when presentation of these words was associated with horizontal movements (head shaking; see Förster & Strack, 1997, 1998, for replications).
We have reviewed existing findings that suggest that individuals embody others’ emotions, that such embodiment causes corresponding emotions in the perceiver, and that embodiment seems to be involved in facilitating and inhibiting the cognitive processing of emotional information more generally. In the next section we describe a recent theory of conceptual processing that can, we think, account for the ensemble of findings and the way we have linked and interpreted them to this point.
**THEORETICAL ACCOUNTS OF EMBODIED EMOTION EFFECTS**
How do we explain the roles of embodiment in emotional phenomena? What implications do these phenomena have for the emotion concepts that people use to interpret emotional experience? The standard answer to such questions is that amodal knowledge structures represent emotion concepts, and embodied states are peripheral appendages that either trigger or indicate the activation of the anodal structures. An alternative account is that embodiments constitute the core conceptual content of emotion concepts. That is, rather than serving as peripheral appendages to emotion concepts, embodiments constitute their core meanings. We address each of these two approaches in turn.
**Amodal Accounts of Embodied Emotion Effects**
*The Transduction Principle*
The amodal view of emotion concepts dominates the cognitive sciences and reflects a much wider view of knowledge. The key assumption underlying this view is the transduction principle, namely, the idea that knowledge results from transducing modality-specific states in perception, action, and introspection into anodal data structures that represent knowledge (Barsalou, 1999). To understand how the transduction principle works, first consider the modality-specific states that initiate the transduction process. Such states arise in sensory systems (e.g., vision, audition, taste, smell, touch), the motor system (e.g., action, proprioception), and introspection (i.e., mental states such as emotions, affects, evaluations, motivations, cognitive operations, memories).
The representation of these states can be thought of in two ways. First, these states can be viewed as patterns of neural activation in the respective brain systems. Consider the perception of a rose, which might produce patterns of neural activation in the visual, olfactory, and somatosensory systems. Reaching to touch the rose might produce neural activation in motor and spatial systems. Introspectively, the rose might produce neural activation in the amygdala. Together, these neural states constitute the brain’s immediate response to the rose. At a second level of representation, some of this neural activation may produce conscious states. Certainly, though, much of the underlying neural processing remains unconscious. For example, people may be unaware of the low-level processing in vision that extracts shape information, or the low-level processing in action that generates an arm movement. Nevertheless, some aspects of these neural states become realized as conscious images in experience. Two points to be noted, then, are (1) that the modality-specific states activated during a specific experience occur at both neural and experiential levels, and (2) the mapping between them is not one to one.
According to the transduction principle, knowledge about the world, the body, and the mind result from redescribing the types of modality-specific states, illustrated by the example of the rose, with amodal knowledge structures. Thus, in such accounts, modality-specific states themselves do not represent knowledge, but the amodal data structures transduced from them do. Knowledge about roses does not consist of the modality-specific states that they produce in perception, action, and introspection. Instead, knowledge about roses resides in amodal knowledge structures that describe these states.
**Examples of Amodal Representations**
Most of the dominant theories in cognitive science represent knowledge in this manner. For example, a list representing features of a rose might look like:
- Rose
- petals
- pollen
- thorns
- fragrance
Although words represent features in the theoretical notation, a key assumption is that amodal symbols actually represent each word in human memory, where there is a close correspondence between words and their amodal counterparts. For lack of a better notation, theorists generally use words to represent the content of amodal representations. Importantly, however, amodal symbols are assumed to constitute the underlying conceptual content in memory. During the processing of category members, these symbols are transduced from modality-specific states to represent their features. Later, when people need to communicate something about the category, they access the words associated with the symbols to do so.
A second important class of amodal theories integrates various types of conceptual relations with features to produce more complex representations (Barsalou & Hale, 1993). Theories in this category include semantic memory models, predicate-calculus representations of knowledge, frames, and production systems. Not only do such theories represent elemental features of categories, they also represent a variety of important relations between them. Rather than representing *pollen* and *fragrance* as independent features of roses, these theories might add the following relation between them:
Cause (pollen, fragrance)
Analogous to features, the relations between features are represented amodally. Specifically, as the relations arise in modality-specific states, amodal symbols for them are transduced, which then become bound to amodal symbols for the features that they integrate.
Finally, some (but certainly not all) connectionist theories implement the transduction principle. Feed-forward network theories offer one example. In feed-forward networks, a first layer of input units performs perceptual processing, extracting and representing features on a modality. The feature representations are then transduced into a second representation in the network’s hidden units, which is typically interpreted as a conceptual representation. Conceptual representations are amodal for two reasons. First, random weights are set initially on the connections linking the input and hidden units; this step is necessary for implementing learning. The consequence, though, is a significant degree of arbitrariness between input- and hidden-level representations. Second, the activation patterns on the hidden units redescribe the input patterns, such that the hidden unit patterns have a linear relationship to the output units (in contrast, the input patterns have a nonlinear relationship). For these reasons, the hidden units that represent conceptual knowledge are transductions of perceptual states, much like the transductions that underlie more traditional knowledge structures. However, connectionist architectures that use a common set of units to represent perceptual and conceptual states do not exhibit transduction.
**Representing Emotion Concepts Amodally**
The dominant approach to representing emotion knowledge similarly rests on the transduction principle (Bower, 1981; Johnson-Laird & Oatley, 1989; Ortony, Clore, & Foss, 1987). According to these theories, various types of amodal knowledge structures are transduced from emotional experience to represent emotion concepts. Furthermore, representing knowledge of an emotion in the absence of experiencing it involves activating the appropriate amodal representation. Once this representation is active, it describes various domains of information relevant to the emotion, thereby producing inferences about it.
In general, knowledge about emotion falls into three general domains. First, people have knowledge about the situations that elicit emotions. Thus, seeing a smiling baby produces positive affect, whereas seeing a vomiting baby produces negative affect. Second, people have knowledge about the actions that are relevant when particular emotions are experienced. Thus, a smiling baby elicits approach responses, whereas a vomiting baby produces avoidance, at least initially. Third, people have knowledge about the introspective states associated with the “hot” component of emotions, including both valence and arousal information (e.g., Barrett, Chapter 11; Feldman, 1995). Thus, smiling babies produce warm, mildly aroused
feelings, whereas vomiting babies produce negative, highly aroused feelings. Most importantly, amodal theories of emotion assume that amodal knowledge structures represent all three aspects of emotional experience. When people need to consult their knowledge of emotion, they activate and process such structures.
**Embodiment in Amodal Theories**
According to amodal theories, embodied states are peripheral appendages linked to amodal knowledge structures. Thus a positive emotion, such as happiness, might be linked with embodied states for producing the relevant facial expressions, postures, arm movements, vocal expressions, and so forth. Importantly, however, these embodied states do not constitute core emotion knowledge. Instead, each embodied state is linked to an amodal symbol that represents it. The embodied state of smiling, for example, is linked to an amodal symbol for smiling in the concept of happiness. When knowledge about happiness is processed, the amodal symbol for smiling becomes active, thereby carrying the inference that happiness includes smiling. Notably, however, embodied smiling is not necessary to represent the conceptual relation between smiling and happiness. Instead, actual smiling is only a peripheral state that can either trigger the concept for happiness or can result from its activation, mediated by the amodal symbol for smiling.
Amodal theories similarly peripheralize all other content in emotion concepts. The perception of another person smiling is represented by the same amodal symbol that represents the action of smiling, not by neural states in the visual system as it perceives smiling—which differ from neural states in the motor system that execute smiling. Similarly, the value and arousal of introspective emotional states are represented by amodal symbols, not by the neural states that underlie the modality-specific states. Thus, the modality-specific states that occur in emotion during action, perception, and introspection are peripheral appendages linked to core amodal symbols that stand for them. When these appendages are experienced, they can ultimately trigger an emotion concept via the intervening amodal symbols. When emotion concepts become active, they can ultimately trigger these appendages, again via the amodal symbols that intervene.
**Modal Accounts of Embodied Emotion Effects**
*The Reenactment Principle*
Whereas the transduction principle underlies amodal theories of knowledge, the reenactment principle underlies modal theories. According to the reenactment principle, the modality-specific states that arise during perception, action, and introspection are partially captured by the brain’s association areas (Damasio, 1989). Again consider the neural activation that arises in the brain’s visual, motor, olfactory, and affective systems when interacting with a rose. While these states are active, association areas partially capture them, storing them away for future use. Conjunctive neurons in association areas intercorrelate the active neurons both within and between modalities, such that a partial record of the brain’s processing state becomes established as a memory. Later, when information about the rose is needed, these conjunctive neurons attempt to reactivate the pattern of neural states across the relevant modalities. As a result, the neural state of processing is reenacted to represent the modality-specific states that the brain was in while processing the rose. By no means is the reenactment complete or fully accurate. Indeed, partial reenactment is almost certainly the norm, along with various types of distortion that could reflect base rates, background theories, etc. In this view, no amodal symbols are transduced to represent experiences of the world, body, and mind. Instead, reenactments of original processing states perform this representational work. For more detailed accounts of this theory, see Barsalou (1999, 2003a, 2003b, in press), and Simmons and Barsalou (2003).
**Representing Emotion Concepts Modally**
According to this view, modality-specific states represent the content of concepts, including those for emotion. Consider the three domains of emotion knowledge mentioned earlier: triggering situations, resultant actions, and introspective states. Reenactments of modality-specific states represent the conceptual content in these domains, not amodal symbols. Thus reenactments of perceiving smiles visually on other people’s faces belong to the situational knowledge that triggers *happiness*, as do the motor and somatosensory experiences of smiling oneself. Similarly, reenactments of valence and arousal states represent these introspective aspects of emotion concepts, not amodal symbols representing them (for a similar view, see Barrett, Chapter 11).
In this view, knowledge of the emotion is delivered via actual emotional states, some being conscious and some unconscious; knowledge of an emotion concept is not seen as a detached description of the respective emotion. Although these states may not constitute full-blown emotions, they may typically contain enough information about the original states to function as representations of them conceptually. Moreover, these partial reenactments constitute the core knowledge of emotional concepts. Embodied states are not merely peripheral events that trigger emotion concepts or that result from the activation of emotion concepts. Instead, embodied states represent the core conceptual content of an emotion.
**Explaining Embodiment Effects in Emotion Research**
As we saw earlier, embodiment enters ubiquitously into the processing of emotion. Viewing embodied states as the core elements of emotion concepts provides a natural account of these findings. When an embodied emotional response results from perceiving a social stimulus, this embodiment plays a central role in representing the emotional concept that becomes active to interpret the stimulus. For example, when the perception of a smiling baby activates embodied responses for smiling, approach, and positive valence in the self, these embodied states represent the emotional and affective concepts that become active, such as happiness and liking. Embodied states represent these concepts directly, rather than triggering amodal symbols that stand in for them. A similar account explains the embodiment effects reviewed earlier for visual imagery. As a person is imagining a social stimulus, the emotional categories used to interpret it are represented by the embodied states that become active.
A similar account explains the roles of embodiment in triggering emotion concepts and in their subsequent effects on cognitive processing. When a person’s body enters into a particular state, this constitutes a retrieval cue of conceptual knowledge. Because modality-specific states represent knowledge, an active modality-specific state in the body or mind triggers concepts that contain the state as elements of their representation, via the encoding specificity principle (e.g., Tulving & Thomson, 1973). As matches occur, the emotion concept that best fits all current retrieval and contextual cues becomes active and dominates the retrieval competition. Furthermore, once an emotion concept dominates, it reenacts other modality-specific aspects of its content on other relevant modalities, thereby producing at least a partial semblance of the emotion. In turn, other cognitive processes, such as categorization, evaluation, and memory, are affected. As an embodied state triggers an emotion concept, and as the emotion becomes active, it biases other cognitive operations toward states consistent with the emotion.
As this brief description illustrates, the embodied approach to emotion offers a plausible and intuitive account of embodiment effects. It is also a productive approach that makes specific predictions, several of which we outline here.
**Deep versus Shallow Tasks**
The modal account described here predicts that bodily aspects of emotion concepts are simulated only when necessary; that is, in deep, but not in shallow, conceptual tasks. A deep task requires recourse to meaning, whereas a shallow task can be accomplished by simple associative means. According to a strict reading of the amodal models (e.g., Bower, 1981), there should be no simulation—that is, physiological manifestation of the emotion—in shallow or deep conceptual tasks because individuals can simply “read off” amodal feature lists for both tasks. A generous interpretation of an amodal model might yield the prediction that physiological manifestations will occur in both deep- and shallow-feature generation tasks because thinking about the emotion concept automatically activates the highly associated nodes that represent the physiological aspects of the emotion. However, a selective prediction that physiological manifestations of emotion are evoked *only* in deep, but not in shallow, tasks cannot easily be derived from an amodal model. This is because, if anything, physiological nodes are most directly and closely associated with emotion and should be the first to be activated during the use of the emotion concept in a deep or shallow way.
**Partial Embodiment**
The simulation account predicts that only the needed parts of the bodily representation are simulated (i.e., simulations occur only in the modality required to perform the task). The notion of partial simulation is illustrated by results of recent functional magnetic resonance imaging (fMRI) studies that found a selective activation of relevant parts of the sensory cortex when property verification tasks were performed in different modalities (Kan, Barsalou, Solomon, Minor, & Thompson-Schill, 2003; Kellenbach, Brett, & Patterson, 2001). Again, a strict reading of amodal models does not generate any embodiment predictions, because individuals can simply read off abstract features of emotion concepts. A more generous reading of amodal models would yield the prediction that the processing of emotion concepts should nonspecifically activate the associated sensory basis via top-down links.
**Impairment/Facilitation of Sensory–Motor Processing**
Finally, the simulation account predicts that manipulations of sensory–motor processing have conceptual consequences. This prediction is supported by studies showing that categorization impairments can result from damage to neural systems representing sensory characteristics of the category (Farah, 1994; Simmons & Barsalou, 2003). Further, several studies show that recognition and categorization of emotion can be impaired by damage to, or blocking of the mechanisms of, somatosensory feedback. Associative models predict no effects (or, at most, nonspecific effects) of such bottom-up manipulations. In short, amodal accounts see embodiment
as irrelevant for conceptual processing. At best, they see it as a by-product of associations, not as a constitutive element of conceptual processing.
In sum, if these predictions were tested and evidence found in favor of modal models, this evidence would tell us much about the experience and reexperience of emotional states: how individuals ground emotion concepts, how emotion processes can be manipulated in the laboratory (or not), and how emotions and feelings can and cannot be regulated by the individual.
CONSCIOUS AND UNCONSCIOUS STATES OF EMOTION
The perspective presented here has a number of implications for conceptualizing emotion in general and defining its conscious and unconscious processes. First, consistent with William James, we have proposed that embodied states constitute the fundamental way of representing emotional information. For example, when we see a smiling face, we smile, and this response allows us to know the stimulus (see also Atkinson & Adolphs, Chapter 7; de Gelder, Chapter 6). Although James was criticized for not being able to specify why or when the perception of a given event or object would instigate the bodily state of an emotion in the first place, this is a less worrisome criticism now because good support for the notion of inherent affective “programs” (Tomkins, 1962), or bodily responding to signal stimuli, has been reported (e.g., Dimberg, 1986, 1990; Dimberg, Hansson, & Thunberg, 1989); although for a critical view, see Barrett, Chapter 11). Thus, as we have shown in our present review of the relevant research, the perception of certain stimuli, including—and perhaps especially—emotional expressions of other people, automatically produces specific bodily states in the perceiver. It is not necessary for such embodied states of emotion to be conscious, as in imitation for example, or even be available to consciousness. The states may be too subtle to gain consciousness, even if attention is directed to them. And potentially conscious embodiments may not become conscious because competing attentional demands simply win out (e.g., Neumann & Strack, 2000). One interesting implication of the notion of unconscious embodiment as stimulus encoding is that individual variability should be relatively low, within obvious morphological constraints.
When conscious attention is directed to the bodily state, and the bodily state is intense enough be consciously detected, we would suggest, consistent with James, that the individual experiences a feeling state. In the attention to, and interpretation of, a feeling state (e.g., in the service of self-report), variability and individual differences, including cultural rules of interpretation, can intervene. In an example of such variability, Laird and his colleagues (e.g., Laird & Crosby, 1974) documented stable individual differences in the extent to which expressive behavior influences feeling states per se (e.g., Laird & Bresler, 1992). Laird notes:
The differences in impact of behavior seem to reflect the type of cues on which individuals base their emotional experience. People who attend to their own bodily cues, their appearance, and their instrumental actions are more responsive to so-called “personal” or “self-produced” cues. In contrast, individuals who primarily focus on interpretations of the situation and infer responses from what is appropriate in their situation, are responsive to “situational” cues. (Schnall & Laird, 2003, p. 789; see also Feldman, 1995; Barrett, Chapter 11, for further examples and discussion)
Thus, although unconscious embodiments of incoming stimuli may be quite stable and even universal, as noted, subsequent conscious simulations should be quite variable in content because they rely on the represented feeling states; that is, conscious simulations reenact the biases introduced by directing attention to the bodily state and representing it in consciousness as a feeling state. The content of concepts of anger, joy, fear, and so forth, will vary across individuals and situations to the extent that the situation determines selective attention to parts of a represented feeling state or experience and thus helps choose the simulation to be performed.
Distinguishing the bodily state of emotion and the feeling state of emotion is useful in the interpretation of a number of findings that would appear to be inconsistent with the embodiment approach. For example, if biases and individual differences intervene in defining the conscious feeling state, and if the bodily states can occur outside of consciousness, then there is no reason why self-report of feeling states should be highly correlated with bodily states; and, indeed, they are often not correlated (see Barrett, Chapter 11).
Relatedly, in a series of studies, Rimé, Phillipot, and their colleagues examined people’s knowledge about the bodily states associated with different emotions, which they call schemata of peripheral changes in emotion (e.g., Rimé, Phillipot, & Cisamoldo, 1990). Results showed that such schemata, or sets of beliefs, were highly consensual and highly accessible. That is, individuals were in high agreement about the peripheral changes that occur during different emotions. Several studies were then conducted to evaluate the relation between these schemata and actual peripheral changes during an emotional state produced by watching emotionally evocative films. Some experimental participants reported their feelings and
peripheral changes during the emotional films, and another set of participants described the contents of their schemata of peripheral changes for the emotions that were said to be evoked by the film (Phillipot, 1997). These two sets of reports were highly correlated, such that reported peripheral changes by one set of individuals were the same as those believed to be produced in the emotional states of interest by another set of individuals. However, further work showed that the reports of peripheral changes by participants who watched the films were less highly correlated with actual peripheral changes. Thus the authors concluded that people tend to report their beliefs about embodied states of emotion rather than an accurate readout of those states. If we separate the notion of bodily states of emotions (as sometimes unconscious) and feeling states (as always the result of conscious attention to the bodily states), we can see that such biases are the norm. The fact that embodied states constitute emotional information processing does not mean that simulations are invariant reproductions of those states.
CONCLUSION
We have reviewed a number of studies that suggest that emotion knowledge is grounded in the somatosensory and motor states to which emotions give rise. We have suggested that the implication of this work is that perceiving someone else’s emotion, having an emotional response or feeling a state oneself, and using emotion knowledge in conceptual tasks all rely on the same fundamental processes. As we then demonstrated, recent theories of embodied cognition, which rely on the notions of modal representation of knowledge and the principle of reenactment, account for this accumulated knowledge quite well. Further, such models suggest much about what happens when people process emotional information, and can help generate testable hypotheses about conscious and unconscious states of emotion.
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On the Nature of Merge: External Merge, Internal Merge, and Parallel Merge
Barbara Citko
This article argues in favor of a new type of Merge, Parallel Merge, which combines the properties of External Merge and Internal Merge. Parallel Merge creates symmetric, multidominant structures, which become antisymmetric in the course of the derivation. The main empirical goal of the article is to revive a multidomiance approach to across-the-board *wh*-questions and to show that a number of otherwise puzzling properties of across-the-board questions follow naturally from such an account.
*Keywords:* Internal Merge, External Merge, Parallel Merge, multidomiance, Linear Correspondence Axiom, across-the-board *wh*-questions
1 Parallel Merge
The main theoretical goal of this article is to argue for a new type of Merge, called *Parallel Merge*, whose existence is a natural consequence of Chomsky’s (2001) view of phrase structure and movement. Parallel Merge creates symmetric, multidominant structures, which become antisymmetric in the course of the derivation. The main empirical goal is to provide new evidence in favor of a Parallel Merge approach to across-the-board (ATB) *wh*-questions and to show that a number of otherwise puzzling properties of ATB questions follow naturally from such an account.
Chomsky (2001) distinguishes between two types of Merge: *Internal Merge* and *External Merge*. External Merge, the “canonical” type of Merge, takes two distinct rooted structures and joins them into one.
(1) *External Merge*
\[
\alpha \quad \beta \quad \rightarrow \quad \begin{array}{c}
\alpha \\
\beta
\end{array}
\]
Internal Merge differs from External Merge in that it takes a subpart of an existing structure as one of the two objects. Internal Merge thus yields the effects of syntactic movement. The displaced element, such as $\beta$ in (2), instead of being copied and merged into a new position, is simply
I would like to thank two anonymous *LI* reviewers for very thoughtful comments and suggestions, which led to substantial improvements in this article. In various stages of the article’s development, I also benefited greatly from discussions with John Bailyn, Dan Finer, Ray Jackendoff, Richard Larson, Alan Munn, and David Pesetsky; I am very grateful to each of them. All remaining errors and omissions are my responsibility.
remerged/internally merged into its new position.\(^1\) In what follows, I will represent Internal Merge with a dashed line.
(2) a. *Copy theory of movement* (Chomsky 1995)
\[
\begin{array}{c}
\alpha \\
\backslash \\
\beta
\end{array}
\rightarrow
\begin{array}{c}
\alpha \\
\backslash \\
\beta
\end{array}
\]
b. *Internal Merge theory of movement* (Epstein et al. 1998, Gärtnert 1999, Chomsky 2001, Starke 2001, Zhang 2002)
\[
\begin{array}{c}
\alpha \\
\backslash \\
\beta
\end{array}
\rightarrow
\begin{array}{c}
\alpha \\
\backslash \\
\beta
\end{array}
\]
The existence of External Merge and Internal Merge predicts the existence of a third type, combining the properties of both. This third type, which I will refer to as *Parallel Merge*, is like External Merge in that it involves two distinct rooted objects (\(\alpha\) and \(\beta\)), but it is like Internal Merge in that it combines the two by taking a subpart of one of them, as shown in (3).\(^2\)
(3) *Parallel Merge*
\[
\begin{array}{c}
\alpha \\
\backslash \\
\gamma
\end{array}
\rightarrow
\begin{array}{c}
\alpha \\
\backslash \\
\gamma
\end{array}
\]
---
\(^1\) The Internal Merge theory of movement must be augmented with a proposal regarding the pronunciation and interpretation of the remerged element. For example, in cases of overt movement, it will be pronounced in the remerged position. An interesting issue that I will leave open for the time being is whether the pronunciation and interpretation sites can be derived from independently motivated principles, such as economy or feature checking. This is essentially what Nunes (1995), who works within the copy theory of movement, does to determine which copy is deleted and which one is pronounced.
\(^2\) The Parallel Merge operation proposed here bears some resemblance to Chomsky’s (2001) Pair Merge operation, which is involved in the derivation of adjuncts. Both create multidominant (or multiplanar) objects. The two proposals differ, however, with respect to how such multidominant objects are linearized. Chomsky derives the linear ordering of adjuncts from an operation Simplify, which converts Pair Merge objects to standard Set Merge objects. As we will see in the next section, Parallel Merge does not require any special mechanism to linearize multidominant objects.
Another logical possibility, brought to my attention by an anonymous reviewer, is that Parallel Merge targets subparts of two distinct objects. I do not see any conceptual reasons to exclude this possibility. For the purposes of this article, however, I will limit my attention to the kind of Parallel Merge illustrated in (3).
Since the existence of Parallel Merge structures is a theoretical possibility, it is important to ask whether there are any empirical arguments against it. A potential issue, which I will argue is only apparent, involves linearization. More specifically, the issue is how Parallel Merge structures are mapped onto a linear string. This is the topic of the next section, where I develop a way to make Parallel Merge structures compatible with perhaps the most restrictive proposal regarding the mapping between syntax and phonology, namely, Kayne’s (1994) antisymmetry proposal.
2 Parallel Merge and Linearization
Parallel Merge structures are clearly incompatible with Kayne’s (1994) Linear Correspondence Axiom (LCA), which derives linear precedence from strict asymmetric c-command, thus banning symmetric structures from syntax. An interesting issue that arises here, also discussed by Chomsky (1995), concerns the status of the LCA in a bare phrase structure theory, which I adopt here. Kayne’s original formulation of the LCA relies on the existence of intermediate nonbranching levels, which are banned in a bare phrase structure theory. The structures that the LCA applies to, such as (4a), simply cannot be generated. What results instead is (4b).
(4) a. \[ \begin{array}{c} XP \\ \hline YP & XP \\ \hline Y & X & ZP \\ \hline y & x & Z \\ \hline z \end{array} \]
b. \[ \begin{array}{c} x \\ \hline y & x & z \\ \hline x & z \end{array} \]
However, the basic insight of the LCA—namely, the intuition that linear ordering is part of the phonological component and can be unambiguously derived from asymmetric c-command—is fully compatible with bare phrase structure. Chomsky (1995:334–340) discusses precisely this issue and offers a “bare” reformulation of the LCA.\(^3\)
\(^3\) A related question, brought to my attention by an anonymous reviewer, is how the LCA works in a theory that replaces Move with Internal Merge. Again, it seems reasonable to believe that the basic insights of the LCA can be stated in such a system. All that is needed is to assume that for elements that have been both externally and internally merged, it is either the Internal Merge position or the External Merge position that will count for the purposes of the LCA.
The details of such a reformulation are not directly relevant to the present discussion.\(^4\) What is directly relevant is that the LCA fails to unambiguously and totally order Parallel Merge structures of the kind given in (5).
\[
(5) \quad x^{max} \quad y^{max}
\]
\[
x \quad z^{max} \quad y
\]
Irrespective of how \(x^{max}\) and \(y^{max}\) will ultimately end up ordered with respect to each other, there is a problem with \(z^{max}\). For the sake of concreteness, let us assume that at some later stage in the derivation, \(y^{max}\) will end up c-commanding \(x^{max}\). This means that the terminals of \(y^{max}\) will end up preceding the terminals of \(x^{max}\). Since \(z^{max}\) is part of both \(x^{max}\) and \(y^{max}\), it will be subject to contradictory linearization requirements; it will end up both preceding and following itself.
The solution to this problem lies in determining where exactly the LCA applies. Chomsky (1995), contra Kayne (1994), suggests that there is no reason for the LCA to order an element that will disappear at Spell-Out, such as a trace or an unpronounced copy.\(^5\) In other words, since the LCA is linked to pronunciation, there is no reason why it should have to apply throughout the entire derivation. Chomsky’s version of the LCA thus allows Parallel Merge structures as long as the shared element undergoes overt movement (more accurately, Internal Merge) into a higher position. In effect, this theory allows Parallel Merge as long as its effects are invisible at Spell-Out.\(^6\) This approach to the LCA is also the basic insight of Moro’s (2000) *Dynamic Antisymmetry* proposal, which allows symmetric structures, “‘points of symmetry’” in Moro’s terminology, before Spell-Out. Even though Moro, who focuses on small clauses, multiple specifiers, and clitic adjunction structures, does not include multidominant structures in the range of permissible symmetric structures, his theory certainly allows them.\(^7\)
---
\(^4\) Both the original formulation of the LCA and Chomsky’s “bare” reformulation derive specifier-head-complement ordering only for branching complements. In (4b), neither \(x\) nor \(z\) asymmetrically c-commands the other. Kayne (1994) bans such structures altogether; Chomsky (1995) allows them only if one of the offending elements (either \(x\) or \(y\)) moves out of the shared structure.
\(^5\) The question, brought to my attention by one of the reviewers, is whether the assumption that traces are subject to the LCA is crucial for Kayne (1994). Kayne notes the possibility that traces might be invisible to the LCA. However, he then concludes that the issue of their invisibility does not arise on the copy theory of movement (Kayne 1994:chap. 2, n. 3).
\(^6\) This opens up the possibility that Parallel Merge is possible also after Spell-Out, where linearization is no longer an issue. See Epstein et al. 1998 for a suggestion along these lines.
\(^7\) My proposal differs from Moro’s in how it handles movement. For Moro (2000), who wants to eliminate feature-driven movement from the grammar, the need for antisymmetry is the sole motivation for movement. I maintain a more “‘conservative’” approach, on which movement is driven by uninterpretable formal features, and antisymmetry is its consequence rather than its driving force. Even in Moro’s Dynamic Antisymmetry system, there is still a need for some form of feature-driven movement. The search for antisymmetry will determine why things have to move; it will not determine where they are going to land. Thus, features on the target of movement (such as the EPP-feature on T in the case of subject raising) will need to be involved in determining the landing site for moved elements.
The rest of the article focuses on the empirical side of Parallel Merge. It develops a Parallel Merge account of ATB *wh*-questions, questions involving what looks like simultaneous extraction of a *wh*-element from two (or more) conjuncts.
(6) What did John recommend and Mary read?
It shows that three otherwise rather striking properties of such questions follow naturally from a Parallel Merge approach: (a) the presence of the so-called matching effects, the requirement that a *wh*-pronoun simultaneously satisfy case requirements imposed by two distinct verbs (Dyla 1984, Franks 1993, 1995), (b) the lack of covert ATB *wh*-movement (Cho and Zhou 1999, Wu 1999, Bošković and Franks 2000, Citko and Grohmann 2000), and (c) the lack of ATB *wh*-questions with multiple fronted *wh*-words.
3 A Parallel Merge Approach to Across-the-Board *Wh*-Questions
The idea that ATB *wh*-questions involve parallel structures goes back to Williams 1978, where they are analyzed as involving parallel phrase markers, “factors” in Williams’s terminology (see also Goodall 1983, 1987, Muadz 1991, Moltmann 1992).
On the Parallel Merge view, the parallelism is captured in a different way, by allowing a single *wh*-phrase to merge with elements inside both conjuncts. The derivation of the embedded ATB *wh*-question in (7), for example, involves merging the *wh*-pronoun *what* with the verb *read* and subsequently parallel-merging the verb *recommended* with it, as shown in (8a–b).
(7) I wonder what Gretel recommended and Hansel read.
(8) a. *Merge* read and what, project read
\[
\begin{array}{c}
V^{\text{max}} \\
\text{read} & \text{what} \\
\end{array}
\]
b. *Parallel-merge* recommended and what, project recommended
\[
\begin{array}{c}
V^{\text{max}} & V^{\text{max}} \\
\text{read} & \text{what} & \text{recommended} \\
\end{array}
\]
The “flat” tree in (8b) does not portray linear order. A more perspicuous diagram is given in (9).
(9)
\[
\begin{array}{c}
V^{\text{max}} & V^{\text{max}} \\
\text{read} & \text{recommended} & \text{what} \\
\end{array}
\]
From this point on, the derivation proceeds in parallel until the two clauses given in (10) have been constructed. For the sake of clarity, the following discussion ignores base-generated positions of the subjects.
An interesting question that Parallel Merge raises involves Case checking: namely, how a single element can check the Case features of two distinct heads. The question does not arise if we assume the probe-goal Case system developed in Chomsky 2000, 2001, which replaces feature checking with feature valuation and treats Case not as a primitive feature but as a reflex of $\phi$-features on T and v heads. In this system, uninterpretable features enter the derivation unvalued. In (11), for example, both v heads contain unvalued $\phi$-features and the nominal *what* contains an unvalued Case feature.\(^8\)
The Agree operation provides values to unvalued features under appropriate structural conditions, as shown in (12).
\(^8\) Borrowing the convention from Pesetsky and Torrego (2001), I use the symbol [u] to represent unvalued features.
The probe-goal system does not exclude the possibility that a single goal can agree simultaneously with two (or more) probes. Since Case valuation is divorced from movement, nothing prevents a single element from entering into multiple Case valuation relationships.\footnote{This can be thought of as the conceptual reverse of Hiraiwa’s (2001) Multiple Agree mechanism, which allows a single probe to agree simultaneously with two goals. This is what happens, for example, when a single interrogative complementizer agrees simultaneously with features of two \textit{wh}-phrases in its c-command domain.}
This view of Case checking sets the present proposal apart from a conceptually quite similar account of ATB movement, namely, Nunes’s (1995) sideward movement account. Both accounts involve a single \textit{wh}-pronoun in an ATB question. Under Nunes’s account, this \textit{wh}-pronoun first merges into its $\theta$-position inside the first conjunct and then moves to the other conjunct in a sideward (rather than upward) fashion, before moving to Spec,C. Nunes has to assume that the Case features of the \textit{wh}-pronoun remain active after it has undergone Agree with the v head inside the first conjunct. Otherwise, there would be no way for the v head inside the other conjunct to have its features valued. It is not clear to me how the Case features of the \textit{wh}-pronoun “know” when to remain active after one Agree operation has taken place. They have to remain active if there is another Agree operation coming up. On the Parallel Merge view proposed here, the two Agree operations are simultaneous, which allows the shared DP to be active for both probes simultaneously without any look-ahead property.
The next two steps in the derivation involve merging the two clauses with the conjunction head. As a result, one becomes its complement, and the other its specifier, as shown in (13).
This structure assumes a fairly standard approach to coordination, in which the two conjuncts are in an asymmetric relationship with respect to each other and the conjunction *and* heads the entire projection. Evidence favoring such an approach comes from variable binding (Munn 1993), extraposition (Collins 1988, Munn 1993), and pro-form replacement (Zoerner 1995).\(^{10}\) Thus, the
\(^{10}\) For the purposes of this article, I will not try to choose among the various asymmetric approaches to coordination proposed in Munn 1993 (i), Progovac 1998 (ii), and Collins 1988 (iii), all of which are compatible with my proposal.
quantifier in the first conjunct can bind a variable inside the second conjunct but not vice versa, as shown in (14). Furthermore, the conjunction head forms a constituent with the second conjunct, as shown by the extraposition data in (15) and by the *etc.* pro-form replacement data in (16).
(14) a. Every professor and his spouse attended the convocation.
b. *His spouse and every professor attended the convocation.
(15) a. John read a book yesterday, and the newspapers.
b. *John read the newspapers yesterday, the book and.
(16) a. I bought jam, bread, etc.
b. *I bought jam, bread, and etc.
Next, the conjunction phrase merges with a complementizer head, and the complementizer head undergoes Internal Merge with the *wh*-pronoun. I assume that internally merged elements can be spelled out only once. In the case at hand, the *wh*-pronoun will be spelled out in Spec,C.
(17) Remerge (internal-merge) what with C
\[
\begin{array}{c}
C_{\text{max}} \\
/ \\
/ \\
C \\
/ \\
C & \&_{\text{max}} \\
/ \\
& \\
/ \\
& \\
/ \\
& T_{\text{max}} & T_{\text{max}} \\
/ \\
Hansel & T & Gretel & T \\
/ \\
T & v_{\text{max}} & T & v_{\text{max}} \\
/ \\
v & V_{\text{max}} & v & V_{\text{max}} \\
/ \\
read & recommended & what \\
\end{array}
\]
Note that the structure in (17) still contains a shared element, *what*. However, since the shared element has undergone Internal Merge into a higher position, which is the position where it will be pronounced, as far as the LCA is concerned, the structure in (17) is equivalent to the more ‘‘standard’’ one in (18).\(^{11}\)
(18)
\[
\begin{array}{c}
C^{\text{max}} \\
\text{what}_i \\
C \\
C & \& \\
T^{\text{max}} & \& \\
\text{Gretel recommended } e_i & \text{and} & T^{\text{max}} \\
& & \text{Hansel read } e_i \\
\end{array}
\]
The view that linearization is a consequence of movement sets the present proposal apart from many other multidominance proposals, which either do not address linearization at all, or enrich the grammar with rules designed specifically to handle linearization of multidominant structures. It is close in spirit to Wilder’s (1999) analysis of right node raising, which also explores the interaction of multidominant structures with the LCA. The specifics of the two accounts are quite different, however. On the Parallel Merge view advocated here, movement is what makes linearization possible. On Wilder’s (1999) view, multidominant structures can be linearized without movement of the shared constituent. Empirically, the two proposals make different predictions regarding linearization of multidominant structures of the type shown in (19a).
\(^{11}\) A reviewer inquires whether other processes besides movement could be involved in linearizing Parallel Merge structures. Ellipsis is a plausible candidate for such a process. I will leave further investigation of this intriguing possibility for future research.
(19) a.
\[
\begin{array}{c}
P \\
L \quad P \\
\beta \quad P \quad K \\
\alpha \quad \gamma
\end{array}
\]
b. \( \beta \gamma \alpha \gamma \)
On Wilder’s account, (19a) will be linearized as (19b). The shared element, \( \gamma \), will be pronounced in the final conjunct, and there will be a gap (a copy of \( \gamma \)) in the nonfinal conjunct. On the Parallel Merge account, (19a) is not linearizable at all because the shared element \( \gamma \) has not moved out of the shared structure (or been remerged in a nonshared position). As we will see in the next section, the properties of ATB \( wh \)-questions in \( wh \)-in-situ languages follow precisely because we posit that such structures are not linearizable.
4 Consequences of the Parallel Merge Approach to Across-the-Board \( Wh \)-Questions
4.1 Matching Effects
One of the most straightforward consequences of the Parallel Merge approach to ATB questions comes from the so-called matching effects, the requirement that the fronted \( wh \)-pronoun match in case the gaps inside the two conjuncts (Borsley 1983, Dyla 1984, Franks 1995).
(20) \([CP \ WH_{\alpha Case} [TP \ldots e_{\alpha Case} \ldots ]]\) and \([TP \ldots e_{\alpha Case} \ldots ]\)
The contrast between the Polish examples in (21a) and (21b) illustrates the case-matching requirement.
(21) a. Kogo Jan lubi \( e \) a Maria podziwia \( e \)?
who.ACC Jan likes \( e \).ACC and Maria admires \( e \).ACC
‘Who does Jan like and Maria admire?’
b. *Kogo/Komu Jan lubi \( e \) a Maria ufa \( e \)?
who.ACC/DAT Jan likes \( e \).ACC and Maria trusts \( e \).DAT
‘Who does Jan like and Maria trust?’
In the grammatical example (21a), the fronted accusative \( wh \)-pronoun kogo ‘who’ matches the gaps inside the two conjuncts, satisfying the case requirements of both verbs. Example (21b), on the other hand, is ungrammatical because the verbs inside the two conjuncts differ in their case requirements: the verb lubić ‘like’ requires an accusative object, whereas the verb ufać ‘trust’ requires a dative object. Therefore, neither the accusative \( wh \)-pronoun kogo nor the dative \( wh \)-
pronoun *komu* can match both gaps simultaneously. The Parallel Merge mechanism allows for a very simple account of this contrast in grammaticality. Since the *wh*-pronoun is merged with two verbs, it must simultaneously satisfy whatever category and case restrictions are imposed by both verbs. The derivation of the ungrammatical example (21b) would have to involve either of the structures given in (22). If the dative *wh*-pronoun *komu* undergoes Parallel Merge with the two verbs, the case requirements of the verb *lubi* ‘likes’ will remain unsatisfied (22a), and if the accusative *wh*-pronoun *kogo* undergoes Parallel Merge with the two verbs, the case requirements of the verb *ufa* ‘trusts’ will remain unsatisfied (22b).
(22) a. * \[ \begin{array}{c} V_{\text{max}} \\ \text{lubi} & \text{ufa} & \text{komu}_{\text{DAT}} \end{array} \]
b. * \[ \begin{array}{c} V_{\text{max}} \\ \text{lubi} & \text{ufa} & \text{kogo}_{\text{ACC}} \end{array} \]
Interestingly, there is one exception to the case-matching requirement; mismatches in case are possible as long as there exists an appropriate syncretic form. The syncretic *wh*-forms of Polish are given in (23).
(23) Case syncretism in Polish
| Case | Form 1 | Form 2 |
|------|--------|--------|
| Nom | kto | co |
| Gen | kogo | czego |
| Dat | komu | czemu |
| Acc | kogo | co |
| Loc | kim | czym |
| Instr| kim | czym |
The availability of an appropriate syncretic form is what accounts for the contrast in grammaticality between the examples in (24). Since there is no syncretic genitive/accusative *wh*-form in the inanimate series, the matching requirement cannot be satisfied in (24a). By contrast, since there is a syncretic genitive/accusative *wh*-form in the animate series, the matching requirement can be satisfied in (24b).\(^{12}\)
\(^{12}\) The ameliorating effects of syncretic forms are not limited to ATB questions. Coordinated Italian clitics show similar effects (Lori Repetti, pers. comm.).
(i) Mi \[ \begin{array}{c} \text{ha} \\ \text{me}_{\text{ACC}} \end{array} \] visto.
‘She/He saw me.’
(24) a. *Czego/Co Jan nienawidzi e a Maria lubi e?
whom.GEN/ACC Jan hates e.GEN and Maria likes e.ACC
‘Who does Jan hate and Maria like?’
b. Kogo Jan nienawidzi e a Maria lubi e?
who.ACC/GEN Jan hates e.GEN and Maria likes e.ACC
‘Whom does Jan hate and Maria like?’
The ameliorating effects of case syncretism are a puzzle if we assume that the lexicon contains two wh-pronouns, one accusative and the other genitive, which happen to sound the same. On this view, it would simply be a mystery why inserting a genitive wh-pronoun as a complement of a verb that requires an accusative object, which normally results in ungrammaticality, should become grammatical if the two case forms happen to have the same phonological form. A more promising alternative is thus to assume that the lexicon contains a single wh-form, underspecified in such a way that it is compatible with both genitive and accusative case features.\(^{13}\) For the sake of concreteness, I assume that lexical items are inserted postsyntactically during Spell-Out, following the Distributed Morphology framework (see Halle and Marantz 1993, Marantz 1995, among many others). In this framework, terminal syntactic nodes are purely abstract ‘‘feature bundles’’ with no phonological content. The example in (24b) thus involves the structure in (25) at Spell-Out.
\(^{13}\)For other underspecification approaches to syncretism, see Jakobson 1958, Chvany 1986, Neidle 1988, Franks 1995.
Since the lexicon contains a single form that is compatible with both accusative and genitive case features by virtue of underspecification, vocabulary insertion can proceed without any problems.\(^{14}\) The ungrammatical example in (24a), on the other hand, involves the structure in (26) prior to vocabulary insertion.
Since there is no single lexical item that can be inserted into this slot without a feature clash (there is no syncretic accusative/genitive form in the animate series), the result is ungrammatical.
### 4.2 Covert Across-the-Board Movement
Another interesting consequence of the Parallel Merge approach involves covert ATB movement. If movement is directly responsible for linearizing the structure, it must take place overtly. Covert ATB movement is thus predicted not to exist, since it takes place too late in the derivation to affect linearization.\(^{15}\) This prediction is indeed borne out. Corroborating evidence comes from
---
\(^{14}\) Late vocabulary insertion is not crucial to the present proposal. The ameliorating effects of case syncretism will also follow in a system with early vocabulary insertion, as long as the lexicon contains an appropriately underspecified element.
\(^{15}\) An interesting prediction, brought to my attention by an anonymous reviewer, is that there could be cases of covert Parallel Merge, which could feed covert ATB movement. It seems, however, that recoverability considerations would substantially restrict covert Parallel Merge.
wh-in-situ languages, which nevertheless have overt ATB movement, and from the absence of ATB quantifier raising. Let us first consider ATB wh-questions in wh-in-situ languages (examples are from Cho and Zhou 1999; see also Wu 1999, Citko and Grohmann 2000).
(27) Zhangsan xihuan shenme ren Lisi taoyan shenme ren? (Chinese)
Zhangsan like which person Lisi hate which person
‘Which person does Zhangsan like and which person does Lisi hate?’
(28) John-i enu salam-ul cohaka-ko Mary-ka enu salam-ul (Korean)
John-NOM which person-ACC like-and Mary-NOM which person-ACC miweha-ni?
hate-Q
‘Which person does John like and which person does Mary hate?’
(29) John-ga dono hito-o aisitei-te Mary-ga dono hito-o (Japanese)
John-NOM which person-ACC love-and Mary-NOM which person-ACC nikundeiru-no?
hate-Q
‘Which person does John love and which person does Mary hate?’
These examples are not ungrammatical. However, they lack the reading typically associated with ATB questions, the so-called single-individual reading given in (30a), on which the question is about a single individual. They only allow a family-of-questions reading, given in (30b), on which the question is about two distinct individuals.\(^{16}\)
(30) a. *which person x, Zhangsan/John likes x and Lisi/Mary hates x
b. which person x, Zhangsan/John likes x and which person y, Lisi/Mary hates y
For the single-individual reading to be available, the wh-phrase has to move overtly. This is rather puzzling since we are dealing with languages that are widely known to lack overt wh-movement.
(31) a. Shenme ren Zhangsan xihuan Lisi taoyan? (Chinese)
which person Zhangsan like Lisi hate
‘Which person does Zhangsan like and Lisi hate?’
\(^{16}\) Munn (1999) notes potential counterexamples to the generalization that ATB questions require single-individual answers.
(i) Which man did Bill kill on Tuesday and Fred kill on Wednesday?
(ii) Bill killed his first victim and Fred killed his second.
Such readings, however, involve functional wh-traces. Assuming the existence of functional traces yields pair-list readings without complicating (or abandoning) the ATB formalism. The pair-list reading depends on the sloppy identity of the argument index of the function.
(iii) Which man\(^x\) did Bill\(_x\) kill t\(_x\)\(^y\) on Tuesday and Fred\(_x\) kill t\(_x\)\(^y\) on Wednesday?
b. *Enu salam-ul John-i cohaka-ko Mary-ka miweha-ni? (Korean)
which person-ACC John-NOM like-and Mary-NOM hate-Q
‘Which person does John like and Mary hate?’
c. Dono hito-o John-ga aisitei-te Mary-ga nikundeiru-no? (Japanese)
which person-ACC John-NOM love-and Mary-NOM hate-Q
‘Which person does John love and Mary hate?’
The exact position to which the $wh$-phrases move is not important for our purposes; Cho and Zhou (1999) analyze this movement as scrambling, and Wu (1999) as $wh$-topicalization. It differs from canonical $wh$-movement in that it does not induce a weak crossover effect and does not reconstruct (Wu 1999).
(32) a. Shei$_i$ ta$_i$ de muqing hen xihuan? (Chinese)
who he DE mother very like
‘Who does his mother like?’
b. Shenme meigeren dou mai-le? ($\exists x \forall y$)
what everyone all buy
‘What did everyone buy?’
ATB quantifier raising also does not seem to exist, as shown by the lack of a wide scope reading for the existential quantifier in (33) (see Bošković and Franks 2000 for similar examples).
(33) Every philosopher read some paper and every linguist reviewed some paper.
The lack of a wide scope reading for the existentially quantified noun phrase in (33) cannot be attributed to a more general ban against covert movement out of coordinate structures. Such movement is generally possible, and it is subject to the Coordinate Structure Constraint (Ruys 1992, Fox 2000, Lin 2002). This is shown by the ungrammaticality of (34a), in which the $wh$-pronoun moves out of only one conjunct, and by the lack of a wide scope reading for the universal quantifier in (34b).
(34) a. *I wonder who took what from Mary and gave a book to Jeremy.
b. A student likes every professor and hates the dean. (*$\forall > \exists$, $\exists > \forall$)
However, as first noted by Ruys (1992), both quantifier raising and covert $wh$-movement may extract an element out of one conjunct as long as the extracted element establishes a binding relationship inside both conjuncts.
(35) a. I wonder who took what from Mary and gave it to Jeremy.
b. Jeremy will publish every book and write its author a check.
The contrast in grammaticality between (34a–b) and (35a–b) suggests that the Coordinate Structure Constraint is a constraint on representations, rather than derivations. Fox (2000), for example, derives it from a parallelism constraint that requires grammatical constraints to be checked independently in each conjunct.
If the analysis of overt ATB movement presented in the previous section is on the right track, the lack of covert ATB movement is to be expected. Since movement in ATB structures is crucial for linearization, it has to take place before Spell-Out. Covert movement out of the Parallel Merge structure happens too late in the derivation to be relevant for PF considerations.
4.3 Across-the-Board Wh-Movement in Languages with Overt Multiple Wh-Fronting
Another interesting consequence of the Parallel Merge account of ATB movement comes from the fact that it clearly shows that ATB *wh*-movement cannot be reduced to a parallelism constraint requiring each conjunct in a coordinate structure to contain a gap. If this were the case, we would expect the structure in (36), where the two conjuncts contain equal numbers of fronted *wh*-phrases and gaps, to be possible.
(36)
```
C^max
|
C
|
C
|
C
|
T^max
|
...e_i...
&
|
T^max
|
...e_j...
```
For languages of the English type, the reason why (36) is not available might lie in a ban against multiple specifiers (or whatever is responsible for the lack of overt multiple *wh*-fronting in English). This, however, cannot be the right explanation for languages of the Slavic type, which front all *wh*-phrases overtly in multiple *wh*-questions. However, even in Slavic, ATB *wh*-questions involve a single fronted *wh*-pronoun. This is shown by the ungrammaticality of the Polish example in (37), which contains two fronted *wh*-phrases, one extracted from each conjunct.\(^{17}\)
\(^{17}\) The ungrammatical status of (37) could perhaps be attributed to a constraint banning sequences of homophonous *wh*-forms. However, exactly the same grammaticality judgments result if one of them is replaced with a nonhomophonous *wh*-form such as the dative *komu*. Furthermore, the ungrammaticality of both (i) and (ii) on page 492 shows that superiority is not a factor, either.
(37) *Kogo\textsubscript{i} kogo\textsubscript{j} Jan lubi \(e_i\) a Maria kocha \(e_j\)?
whom whom Jan likes and Maria loves
‘Whom does Jan like and Maria love?’
On the Parallel Merge account, the reason why ATB \(wh\)-questions contain a single fronted \(wh\)-pronoun becomes straightforward. There is only a single \(wh\)-phrase in the premovement structure, which undergoes standard \(wh\)-movement to a single Spec,C position. In this sense, the Parallel Merge approach takes the magic out of ATB \(wh\)-movement. There is nothing special about ATB movement per se; what is “special” is the structure out of which the \(wh\)-pronoun moves, namely, the Parallel Merge structure.
4.4 Reconstruction Effects
The Parallel Merge approach to ATB \(wh\)-questions makes a clear prediction regarding reconstruction effects. Since a \(wh\)-phrase is shared between two conjuncts in an ATB question, it should reconstruct into both conjuncts simultaneously. The facts here are somewhat inconclusive. With respect to some diagnostics, both conjuncts are affected simultaneously. With respect to others, there is an asymmetry between the first and the second conjunct. This suggests to me that reconstruction diagnostics do not form a unified class, and sometimes linear precedence is also a factor.
Variable binding reconstruction affects both conjuncts. The variable contained in the fronted \(wh\)-pronoun has to be bound by the quantifiers inside both conjuncts, as shown by the contrast in (38), modeled after Nissenbaum’s (2000:44) examples.
(38) a. Which picture of his mother did every Italian like and every Frenchman dislike?
b. #?Which picture of his mother did every Italian like and Mary dislike?
c. #?Which picture of his mother did Mary dislike and every Italian like?
Idiom interpretation, strong crossover, and scope reconstruction all point toward the same conclusion. Both conjuncts allow the idiomatic reading of take pictures, as shown in (39a–b).
(39) a. Which picture did John take and Bill pose for?
b. Which picture did John pose for and Bill take?
Strong crossover effects arise within both conjuncts, as shown by the ungrammatical status of both (40a) and (40b).
(40) a. *Whose\textsubscript{i} mother did we talk to and he\textsubscript{i} never visit?
b. *Whose\textsubscript{i} mother did he\textsubscript{i} never visit and we talk to?
(i) *Kogo\textsubscript{i} komu\textsubscript{j} Jan lubi \(e_i\) a Maria się przygląda \(e_j\)?
who\textsubscript{ACC} who\textsubscript{DAT} Jan likes and Maria refl looks.at
‘Who does Jan like and Maria looks at?’
(ii) *Komu\textsubscript{j} kogo\textsubscript{i} Jan lubi \(e_i\) a Maria się przygląda \(e_j\)?
who\textsubscript{DAT} who\textsubscript{ACC} Jan likes and Maria refl looks.at
‘Who does Jan like and Maria looks at?’
A further argument in favor of simultaneous reconstruction into both conjuncts comes from the interpretation of *how many* ATB questions including quantifiers. Moltmann (1992:137–138) observes that such questions are multiply ambiguous, as shown in (41).
(41) a. How many books did every student like and every professor dislike?
b. Seven books. (*how many > & > every*)
c. Student A liked seven books and Prof. B disliked two books; Student C liked nine books and Prof. D disliked four books. (*& > every > how many*)
d. Every student liked seven books and every professor disliked three books. (*& > how many > every*)
*How many books* can have wide scope with respect to both *every* and *and*, in which case the appropriate answer is the one in (41b). It can also have narrow scope with respect to *and* and *every*, in which case a double family-of-questions reading results, given in (41c). Furthermore, it can have narrow scope with respect to *and*, but wide scope with respect to *every*, as shown in (41d). The reading that is crucial for our purposes would be the one in which *how many books* has wide scope with respect to *every* inside the first conjunct but narrow scope with respect to *every* inside the second conjunct (or vice versa), irrespective of its scope with respect to the conjunction. A nice way to bring out the relevant reading (or the lack thereof), suggested to me by an anonymous reviewer, is to replace *every professor* in the second conjunct with *almost every professor*, which obligatorily takes narrow scope.
(42) How many books did every student like and almost every professor dislike?
The prediction that scope affects both conjuncts simultaneously is confirmed. The fact that (43) is not a felicitous answer to (42) suggests that *how many books* cannot have narrow scope with respect to *every student* and wide scope with respect to *almost every professor*.
(43) #Student A liked seven books, and Student B liked three books, and Student C liked nine books, and almost every professor disliked six books.
While variable binding, scope, strong crossover effects, and idiom interpretation show that reconstruction affects both conjuncts simultaneously, anaphor binding shows an asymmetry between the two conjuncts.
(44) a. *Which pictures of himself$_i$ did Mary sell and John$_i$ buy?
b. Which picture of himself$_i$ did John$_i$ sell and Mary buy?
Similar asymmetries between the first and the second conjunct arise with respect to Principle C effects and weak crossover effects.\footnote{Alan Munn (pers. comm.) points out that the use of resumptive pronouns in Hebrew shows a similar first versus second conjunct asymmetry.} Thus, Principle C and weak crossover effects arise only inside the first conjunct, as shown in (45) and (46), respectively.
(45) a. *Which picture of John\textsubscript{i} did he\textsubscript{i} like and Mary dislike?
b. Which picture of John\textsubscript{i} did Mary like and he\textsubscript{i} dislike?
(46) a. *Who\textsubscript{i} did his\textsubscript{i} boss fire and John hire?
b. Who\textsubscript{i} did John hire and his\textsubscript{i} boss fire?
At present, I do not have a clear idea of why different reconstruction diagnostics yield different results in that with respect to some diagnostics both conjuncts are equally affected, and with respect to others precedence also seems to be a factor. The important point that I want to emphasize here is that reconstruction \textit{may} affect both conjuncts simultaneously.
5 Conclusion
To conclude briefly, I have argued in this article for a new type of Merge, Parallel Merge, which combines the properties of Internal and External Merge. Parallel Merge creates symmetric structures that become antisymmetric in the course of the derivation. This avoids the linearization issue faced by some of the other multidominance proposals. I have also argued that Parallel Merge is involved in the derivation of ATB \textit{wh}-questions, which accounts for the presence of the so-called matching effects in ATB questions, the lack of covert ATB movement, and the lack of ATB \textit{wh}-questions with multiple fronted \textit{wh}-forms.
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Department of Linguistics
University of Washington
Box 354340
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Analysis and Patterns of Unknown Transactions in Bitcoin
Maurantonio Caprolu*, Matteo Pontecorvi†, Matteo Signorini†, Carlos Segarra‡ and Roberto Di Pietro*
*Division of Information and Computing Technology, College of Science and Engineering
Hamad Bin Khalifa University, Qatar Foundation - Doha, Qatar
†NOKIA Bell Labs - 91620 Nozay, France
‡Imperial College, London, UK
Abstract—Bitcoin (BTC) is probably the most transparent payment network in the world, thanks to the full history of transactions available to the public. Though, Bitcoin is not a fully anonymous environment, rather a pseudonymous one, accounting for a number of attempts to beat its anonymity using clustering techniques. There is, however, a recurring assumption in all the cited deanonymization techniques: that each transaction output has an address attached to it. That assumption is false. An evidence is that, as of block height 591,872, there are several millions transactions with at least one output for which the Bitcoin Core client cannot infer an address. In this paper, we present a novel approach based on sound graph theory for identifying transaction inputs and outputs. Our solution implements two simple yet innovative features: it does not rely on BTC addresses and explores all the transactions stored in the blockchain. All the other existing solutions fail with respect to one or both of the cited features. In detail, we first introduce the concept of Unknown Transaction and provide a new framework to parse the Bitcoin blockchain by taking them into account. Then, we introduce a theoretical model to detect, study, and classify, for the first time in the literature, unknown transaction patterns in the user network. Further, in an extensive experimental campaign, we apply our model to the Bitcoin network to uncover hidden transaction patterns within the Bitcoin user network. Results are striking: we discovered more than 30,000 unknown transaction DAGs representing money flows never observed before. To the best of our knowledge, the proposed framework is the only one that enables a complete study of the unknown transaction patterns, hence enabling further research in the fields, for which we provide some directions.
1. Introduction
Known as the first successful virtual currency with the potential to disrupt the banking system and provide peer-to-peer payments, Bitcoin has been widely adopted in ransomware campaigns [9], such as Wannacry [19] and NotPetya [17], and many other illicit activities, such as botnet orchestration [12]. The main reasons being the relative diffusion of Bitcoin, as well as privacy [6]. Privacy is easily achievable with Bitcoin pseudonyms in the form of randomly generated addresses that can be used to send/receive money without being linked to any real identity [1]. Being organized into wallets, Bitcoin’s addresses can be easily and freely self-generated by end-users (neither banks nor trusted third parties are needed) without any limitation on their number. Indeed, using each address for a single transaction is a strongly advised common practice in the Bitcoin community and has always been its key component in providing privacy, since the resulting transactions’ network has always been assumed too complex to track money flows [7]. Such “privacy through complexity” approach has been enhanced in the last years by both academia [18] and online services, such as mixers and tumblers. Similar to the TOR project [10], aimed at concealing user’s location and network activities from anyone conducting network surveillance or traffic analysis, mixers and tumblers try to conceal users’ addresses that took part in some monetary transactions [8]. The functioning of such services is quite simple and, similarly to TOR, they require to bounce bitcoins through peers in order to make their tracking hard. Furthermore, the bitcoins that are bounced and returned to the user are not the same that were initially sent, since they come from other sources (i.e. other addresses). However, during the last few years, it has been shown that the above “privacy through complexity” approach can be attacked by clustering the addresses into groups that are likely to belong to the same entity (a user, a shop, a mixer etc.). In 2015, David Nick described [14] some of the most famous heuristics being used still to date for Bitcoin address clustering, such as the shadow, consumer, optimal-change, and multi-input. These heuristics, applied to transactions data previously extracted from the blockchain using parsing algorithms, produce in output the clustered user network. All such parsing algorithms suffer from the cognitive bias that Bitcoin transactions are just operations that link one address to another [13]. However, such address-based linkability is not enforced directly in the Bitcoin protocol:
the protocol only verifies that the locking and unlocking scripts do not produce any false statement [2]. This cited bias is also reinforced by the fact that most of the locking and unlocking scripts follow a specific pattern based on asymmetric encryption using randomly generated addresses. However, such a pattern is not mandatory. Consequently, transactions data parsed relying only on standard locking/unlocking scripts risk to be incomplete, and they often are. This incompleteness, in turn, causes a loss of reliability in all modern clustering and de-anonymization techniques. Moreover, intentionally crafted custom transactions could be used to hide illicit money flows, while being completely invisible to modern automatic parsers unable to decode output addresses. As an evidence, note that up to block with height 591,872, Bitcoin’s blockchain contains more than 22 million transactions with at least one locking script (or output) not following any well-known locking/unlocking script. We will often refer to these outputs as *unknown* transaction outputs.
**Contribution:** At glance, we are the first, to the best of our knowledge, to provide a navigation tool within the Bitcoin blockchain that: does not rely on addresses and explores all the transactions stored in the blockchain. In detail, our contributions can be summarized as follow:
- we introduce the general concept of *unknown* transactions, subsuming the less rigorous definition of non-standard transactions provided by the Bitcoin protocol;
- we design a novel (theoretically sound) parsing methodology to study, and likely understand for the first time, *unknown* transaction patterns by using a specific class of graphs called T-DAGs;
- we show that T-DAGs can be efficiently compared via isomorphism, offering a new mechanism for clustering similar transaction patterns.
- we test our algorithms over the Bitcoin network, collecting and analysing all unknown transactions in the ledger from Bitcoin origins until block 591,872;
- to the best of our knowledge, this is the first study of the Bitcoin transaction network involving patterns generated by non-standard transactions.
With reference to the Bitcoin context, our contribution can be used to collect and analyze existing *unknown* transaction patterns (by parsing the ledger) and those generated in the future (by continuously monitoring the network). These patterns, previously ignored by any Bitcoin transactions analysis work, can be used to complete the user network $\mathcal{U}$ and the transaction network $\mathcal{T}$ [16]. Our methodology can be applied to any clustering and de-anonymization technique to improve its effectiveness by leveraging a complete and reliable Bitcoin transactions database. Moreover, our novel solution can be extended immediately to any other system where transaction patterns can be modeled using T-DAGs.
## 2. Related Work
To the best of our knowledge, very few works have investigated non-standard transactions in the Bitcoin ledger. In [3], the authors analyzed 1,887,708 non-standard transactions containing the OP\_RETURN instruction. They found that 15% of them are empty transactions, generated by different activities on the Bitcoin network, such as stress tests or DoS attacks. The remaining transactions are not empty but, similarly to the previous ones, they are not used for transferring funds. In fact, they have a different, specific goal: to store data in the Bitcoin ledger. The OP\_RETURN transactions do not have a valid recipient, since they are not used to transfer funds. Therefore, they cannot be redeemed. For this reason, these transactions are not of particular interest for clustering and de-anonymizing techniques of Bitcoin users, i.e., they are present neither in $\mathcal{T}$ nor in $\mathcal{U}$. A more in-depth analysis of non-standard transactions in the Bitcoin network has been proposed in [4]. The authors explored the ledger collecting and classifying both standard and non-standard transactions to understand why users sometimes do not adhere to the protocol. To achieve this goal, they mainly focus on analyzing non-standard transactions, classifying them into nine different typologies.
Although these studies analyzed some non-standard transactions, their purpose is only to analyze the semantic, considering every transaction as a stand-alone object. Consequently, such transactions are still ignored in the construction of both the user network $\mathcal{U}$ and the transaction network $\mathcal{T}$, leading to incomplete and possibly unreliable data structures. To solve this problem, we first collected all the unknown transactions in the Bitcoin ledger, regardless of their semantic. We then focused on those that have a valid locking script as they have an impact on the de-anonymization and clustering techniques, neglected by all previous works in the field. By using the proposed methodology, our framework is able to correctly parse unknown transactions, identify their patterns, and complete the user network $\mathcal{U}$ and the transaction network $\mathcal{T}$ with additional data never considered before.
## 3. Unknown Transactions Recognition
In this section, we introduce the general concept of *unknown* transactions, their classification, and the theoretical model to identify patterns generated by *unknown* transactions.
### 3.1. Unknown Transactions and Working Framework
The Bitcoin protocol provides its community with standard templates that must be used to create the locking and unlocking scripts that make up a transaction. The use of such templates is then enforced by miners using two functions, isStandardTx() and isStandard(), which check the compliance of each transaction’s inputs and outputs, respectively. In fact, a transaction is considered standard, and therefore accepted
by the network, only if both functions return TRUE. If even one of them returns FALSE, the transaction is considered non-standard and discarded. This mechanism should prevent any use of Bitcoin transactions other than the ones conceived by the protocol, to avoid the spread of malicious transactions. However, even non-standard transactions can be included in the blockchain, thanks to miners who relax these controls [4]. Similar to the concept of non-standard transaction, we define unknown transactions as follow:
**Definition 1 (Unknown Transaction)**
*We call a transaction (TX) unknown if it contains an input or an output with a Null value address, i.e. not correctly identified by the Bitcoin Core client.*
This definition embraces a set of Bitcoin transactions, of which non-standards are currently a subset, regardless of what the protocol considers standard or non-standard. The concept of unknown transactions allows us to protect our framework from future variations of the Bitcoin protocol and guarantees compatibility with other blockchain-based systems. For elaborated blockchain analysis, it is a good idea to initially parse all the data from a running miner and, once the data is organized in a more accessible manner, apply further and more complex post-processing. However, we have discovered several issues in existing blockchain’s parsing process:
(i) **Excess of abstraction** Blockchain parsers such as BlockSCI [11] introduce a completely new level of abstraction over the one already specified in the reference implementation [5]. Defining new wrappers, lots of different classes, and incomplete references can make a parser difficult to use and debug.;
(ii) **Excess of identifiers** Bitcoin’s blockchain is an environment based on uniqueness. Every item must be uniquely identified and hashing algorithms already provide a way to do so. However, some parsers [11] insist on giving an alternative enumeration for transactions and addresses. This makes databases harder to navigate and makes it non-intuitive to mimic the client’s behavior or debug the processed data;
(iii) **Using Public Keys as Identifiers** As introduced in Section 1, to the best of our knowledge, existing works [1], [13], clustering Bitcoin Addresses to find real end-users, assume that each transaction output must have an address assigned to it. This is false. In fact, up to block with height 481823, Bitcoin’s blockchain contains 3255688 unknown transactions.
Our proposed framework aims to provide a reference for storing Bitcoin’s data in a database; minimizing the amount of abstraction involved, reusing whenever possible the identifiers provided by the reference implementation, and keeping the structure simple and clear.
To be consistent with both (i) and (ii), we only introduce the critical functionalities not covered by the Bitcoin core\(^1\).
---
1. The core client cannot find which transaction input is spending a given unspent output.
Further layers of abstraction depending on the application should be detached from the parsing phase to avoid situations where complex post-processing is discredited by incorrect data parsing. This means that all non-relevant information for blockchain navigation is not included in the framework.
### 3.2. The Framework
Our framework uses only minimal abstraction and provides a robust, reliable, and fast way to navigate through the Bitcoin’s blockchain. It is also easily portable: all applications that query or do some sort of post-processing with Bitcoin’s data can use it. To fulfill these conditions and to preserve minimality, only the necessary attributes are included. All other features included in the reference implementation, that provide key information about each transaction, but do not improve the exploration of the blockchain, are discarded. In fact, they can be easily obtained by using the identifiers provided by our framework, together with any Bitcoin client.
We present a database layout that only contains two types of entities: **block** and **tx**.
(i) **block**: represents a block in the blockchain. It is uniquely identified by two parameters: **hash** and **height**. Both the parameters can be used to retrieve a **block** element from the database without ambiguity. Each **block** element has an additional parameter, **tx**. **tx** is an array of hashes, each one referencing a transaction included in the block (see next item for a description on the **tx** entity). Each element in the array can be uniquely identified, and accessed, by the index of their position within the array. This way, the \(m\)-th transaction of the \(n\)-th block can be identified without uncertainty;
(ii) **tx**: represents a confirmed transaction (TX) in the blockchain. Since the Bitcoin’s ledger contains different cases of transactions with the same hash\(^2\), this attribute cannot be used as a unique identifier. We realized that the Bitcoin Core client still uses the hash attribute to uniquely identify a transaction, causing a loss of information: searching for a particular transaction hash, the Core client returns only the last occurrence of that hash in the ledger. As a result, any transaction stored in the blockchain with a hash equal to a more recent transaction will never be returned by the client. For this reason, we uniquely identify a transaction using its attribute pair <blockhash, hash> which represents the hash of the block they belong to and its hash, respectively. The **vin** attribute is an array of pairs <txID, txID[vout]>. It represents the set of inputs contained in the transaction. Each input can be uniquely identified by their index within the transaction input array. The **txID** attribute from the pair is the **hash** attribute of the TX that contains the output that the
---
2. Blocks 91812 and 91842 contain a transaction with hash: “d5d27987d2a3dfc724e359870cc6644b40e497bdc0589a033220fe15429d88599”.
input is spending and \( \text{txID[vout]} \) is the index of the spent output within the TX that contains it. Symmetrically, the \( \text{vout} \) attribute is an array of pairs \( <\text{txID}, \text{txID[vin]}> \) where, if the output is spent by some input in the future, the TX hash, and the index within the transaction where the output is spent, are included. Each output can be uniquely identified through the hash of the transaction they are contained in and their index in the output array (\( \text{tx.vout} \)).
The above introduced structure leads to Definition 2, which we will use often in the rest of the paper.
**Definition 2 (TIO)**
*A Unique Transaction Input-Output (TIO) is an identifier that can uniquely identify all the inputs and outputs contained in confirmed transactions within the blockchain. We denote the set of all inputs and outputs as \(<\text{TIO}>.\)*
A first contribution of our framework is the possibility to *travel to the future* in the blockchain. This allows us to easily identify the paths followed by bitcoins through the blockchain history. Definition 3 formalizes some new terminology related to our traveling mechanism.
**Definition 3 (Traveling the Blockchain)**
*Given a TIO, we define the current terms:*
(i) If the TIO corresponds to an **Input**:
(a) The **spending output** of TIO refers to the output that this input is using;
(b) The **funded outputs** of TIO refers to the outputs that this input is providing bitcoins to. By Bitcoin design, we assume that the funded outputs for an input are all the outputs contained in the same transaction than the input.
(ii) If the TIO corresponds to an **Output**:
(a) The **spending inputs** of TIO are all the inputs that funded this output. By Bitcoin design, we assume that all the spending inputs for an output are all the inputs contained in the same transaction than the output.
(b) If the output is spent, the **funded input** is the input that is spending the output. Note that, this input will appear in a more recent transaction than the one containing the output.
A brief summary of the data structure used in our framework is provided in Table 1.
**Locking Script.** In addition to its TIO, we are also interested in the locking script for an output. By *locking script*, we refer to the script that has to be redeemed in order to spend the output. In the Bitcoin Core reference implementation, it is referred as *scriptPubKey*.
In the later stages of our methodology, we will use TIOs to build the Unknown TX T-DAGs. Instead, the locking scripts will be used to filter our results by removing T-DAGs generated by transactions with purposes other than the transfer of crypto coins.
---
**Table 1: Summary table of our data structure.**
| block | tx |
|-------|----|
| * hash | * hash |
| * height | + blockhash |
| + tx := [+ hash] \(<n>(*)\) | + vin := \( \begin{bmatrix} + \text{txID} \\ + \text{txID[vout]} \end{bmatrix} \) \(<n>(*)\) |
| | + vout := \( \begin{bmatrix} + \text{txID} \\ + \text{txID[vin]} \# \end{bmatrix} \) \(<n>(*)\) |
**Legend:**
* := Attribute is a unique identifier for the entity.
+ := Attribute of a given entity.
\# := New attributes that do not appear in the reference implementation.
\[ \cdots \] \(<n>(*)\) := Array of elements with the attributes specified between brackets. These elements can be uniquely identified within their container by their position in the array (indexed by an integer \( n \)).
With both the TIO and the locking script for each output with a Null address, we move to the recognition phase.
### 3.3. Unknown TX T-DAG Construction
In this section, we lay the blockchain data in a graph using our framework, we introduce the concept of **Unknown TX graphs**, and we study the derived **T-DAGs**. The study of these directed graphs will enable us to describe, tailor and identify unknown transaction patterns on the Blockchain.
**Definition 4 (TIO graph)**
*Let \(<TX>\) be the set of confirmed transactions in the blockchain. Let \( G_{TIO} = (V, E) \) be a directed unweighted graph such that:*
(i) \( V = <TIO> \)
(ii) \( E = \left\{ \bigcup_{t \in <TX>} \left\{ E \left( K_{|I_t|,|O_t|} \right) \bigcup_{o \in O_t} \left( o, gFI(o) \right) \right\} \right\} \)
where \( gFI \) returns the funded input of a given output, given a transaction \( t \). \( I_t \) and \( O_t \) denote \( t \)'s set of inputs and outputs respectively, and UTXO is the unspent transaction output store.
**Lemma 1.** The TIO graph, \( G_{TIO} \), is a directed acyclic graph (DAG).
**Proof.** Nodes in the graph represent validated inputs or outputs in the blockchain. This means that, when they were broadcast to the network, each miner checked them. For an input or an output to be validated, they must always point to an event that happened in the past. Each edge then goes from an event that happened further in the past to a more recent one. This timestamp characteristic is sufficient to ensure that there are no cycles. \( \square \)
**Definition 5 (\(\alpha\)-nodes)**
*An \(\alpha\)-node is a set of vertices \( S \) from \( G_{TIO} \) such that, exists a transaction \( T \) such that its set of inputs \( I_T = S \) and*
(i) \( S \) is a coinbase\(^3\) transaction, or
---
3. A coinbase transaction is a special transaction in the Bitcoin protocol creating new coins as mining rewards [2].
(ii) \( \exists s \in S \) such that \( s \) is spending an output with a BTC Address.
**Remark 1.** For each transaction \( T \), its set of inputs \( I_T \) fulfills:
(i) \( I_T \) is an \( \alpha \)-node, or
(ii) \( \forall s \in I_T, \ s \) is spending an output with a None address.
The introduction of \( \alpha \)-nodes and the previous remark identifies a natural contracted graph of \( G_{TIO} \).
**Definition 6 (Contracted TIO graph)**
The Contracted TIO graph, \( G^*_{TIO} \), is the graph resulting of applying the following two transformations to \( G_{TIO} \):
(i) Identify (contract) all vertices [15] in an \( \alpha \)-node. Repeat for each different \( \alpha \)-node contained in \( G_{TIO} \).
(ii) For each transaction \( T \) fulfilling the second condition in Remark 1,
(a) for each spending output \( o \) of each input in \( I_T \), add an edge from \( o \) to each output in \( T \).
(b) remove every vertex in \( I_T \), as well as its inbound and outbound edges.
**Remark 2.** The transformations applied to \( G_{TIO} \) do not introduce cycles and, as a consequence, \( G^*_{TIO} \) is also a DAG.
To define the subgraphs in the TIO graph relevant for our research, we still have to introduce some more concepts.
**Definition 7 (Termination application)**
Let \( f \) be a function, \( f : < TIO > \rightarrow \{0, 1\} \) defined as follows:
\[
f(x) = \begin{cases}
0 & \text{if } x \text{'s address is None} \\
1 & \text{otherwise}
\end{cases}
\]
Given a weakly connected single-source DAG, we call all nodes that are not the source nor sinks internal nodes.
**Definition 8 (Unknown TX graph)**
An Unknown TX graph is a single-source, weakly connected, maximal induced subgraph of \( G^*_{TIO} \) such that:
(i) The source \( s \) is an \( \alpha \)-node.
(ii) Each sink \( t \) fulfills \( f(t) = 1 \).
(iii) Each internal node \( v \) fulfills \( f(v) = 0 \).
Unknown TX graphs will be our object of study for the rest of the paper. From their construction, we observe the following points.
**Definition 9 (T-DAG)**
A T-DAG is a single-source directed unlabeled acyclic weakly connected graph.
**Remark 3.** Lemma 1 and Remark 2 prove that an Unknown TX graph is a T-DAG.
From now on, we will refer to Unknown TX graphs as Unknown TX T-DAGs\(^4\).
---
**Remark 4.** If we fix a source \( s \), then there exists only one Unknown TX T-DAG with \( s \) as its root. We can then denote as \( G(s) \) the Unknown TX DAG generated by a given root \( s \).
**Definition 10 (Set of Unknown TX T-DAGs)**
We define the set of Unknown TX T-DAGs, \( D \), as follows:
\( D = \{G(s) : s \text{ is an } \alpha \text{-node and } G(s) \text{ has at least two vertices}\} \)
Algorithm 1 presents a procedure to generate the Unknown TX T-DAG given an \( \alpha \)-node \( s \).
**Algorithm 1 Unknown TX T-DAG Generation from its root.**
```
procedure T-DAG GENERATION(s)
G ← Graph()
S ← Stack()
G.addNode(s)
for all tx_out in getFundOutput(s) do
G.addNode(tx_out)
G.addEdge(s, tx_out)
S.push(tx_out)
while ! S.isEmpty() do
tx_out ← S.pop()
if ! f(tx_out) then
tx_in ← getFundInput(tx_out)
for all new_out in getFundOutput(tx_in) do
G.addNode(new_out)
G.addEdge(tx_out, new_out)
S.push(new_out)
```
An example of an Unknown TX DAG is presented in Figure 1. Note that, we attach the associated address for each node.
\(^4\) Unlike trees, a vertex in a T-DAG may have more than one parent.
A total ordering for T-DAG isomorphism classes. Let us first introduce the notation that we will use in this section. Let $T$ be a T-DAG (see Definition 9) with its root denoted by $t$. Given a T-DAG $T = (V, E)$, we say that $|T| := |V|$. Given a vertex $v \in V$, $\Gamma^+(v)$ is its outdegree. Lastly, given a T-DAG $T$ the children of the root $t$ are $t_1, \ldots, t_{\Gamma^+(t)}$. The set $(T_1, \ldots, T_{\Gamma^+(t)})$ denotes the maximal collection of sub DAGs induced on $T$ having $t_1, \ldots, t_{\Gamma^+(t)}$ as roots.
**Definition 11** ($\prec$ - relation)
*Given two T-DAGs, $S$ rooted at $s$ and $T$ rooted at $t$, we say $S \prec T$ if*
(i) $|S| < |T|$, or
(ii) $|S| = |T| \land \Gamma^+(s) < \Gamma^+(t)$, or
(iii) $|S| = |T| \land \Gamma^+(s) = \Gamma^+(t) = k \land$ for the first index $i \leq k$ for the ordered sets $(S_1, \ldots, S_k)$ and $(T_1, \ldots, T_k)$ (where $S_1 \preceq \cdots \preceq S_k$ and $T_1 \preceq \cdots \preceq T_k$) where $S_i$ differs from $T_i$, it holds $S_i \prec T_i$.
**Definition 12** ($\equiv$ - equality)
*Given two T-DAGs $T$ and $S$, we say $T \equiv S$ if neither $T \prec S$ nor $T \succ S$ hold.*
Let $\cong$ be the isomorphism operator. We derive the following lemma:
**Lemma 2.** Given two T-DAGs $T$ and $S$ with $|T| = |S| = n$, then $T \equiv S \Leftrightarrow T \cong S$.
*Proof.* We prove each implication separately,
$\Rightarrow$] Let $S_n$ be the symmetric group acting on the vertices of $T$, $V(T)$. Given $\sigma \in S_n$, we denote the action of $\sigma$ on $v \in V(T)$ by $\sigma(v)$. We can naturally extend the definition to sets of vertices, $S \subseteq V, \sigma(S) = \{\sigma(v) : v \in S\}$, and to the T-DAG itself $\sigma(T) := (\sigma(V), E')$, where $E' = \{(\sigma(u), \sigma(v)) : (u, v) \in E(T)\}$.
**Remark 5.** Let $S$ and $T$ be two T-DAGs, $|T| = |S| = n$. Then,
$$S \cong T \Leftrightarrow \exists \sigma \in S_n \text{ such that } \sigma(S) = T$$
We now prove this direction of the lemma by induction on the size of the T-DAG, $|T|$.
If $|T| = 1$: then both $S$ and $T$ are T-DAGs formed by a single vertex, hence they are the same graph and therefore isomorphic taking the identity permutation.
If $|T| = n$: to prove the inductive step we assume that for any pair of T-DAGs with size $< n$, then $T \equiv S \Rightarrow T \cong S$. If now $|T| = n$, $T \equiv S \Rightarrow |T| = |S| = n$, $\Gamma^+(t) = \Gamma^+(s) = k$, and $(T_1, \ldots, T_k) \equiv (S_1, \ldots, S_k)$ pairwise, where $S_1 \preceq \cdots \preceq S_k$ and $T_1 \preceq \cdots \preceq T_k$. That is, $\forall i \in 1, \ldots k \left\{ \begin{array}{l} T_i \equiv S_i \\ |T_i| = |S_i| < n \end{array} \right. \overset{Ind.H}{\Rightarrow} T_i \cong S_i \overset{R.5}{\Rightarrow} \exists \sigma_i \in S_{|T_i|} \text{ such that } \sigma_i(T_i) = S_i$. We now consider the following permutation: $\sigma = \sigma_1 \circ \cdots \circ \sigma_k \circ (t \rightarrow s)$, the composition of all the permutations that match each subtree and the map from a root to the other. $\sigma$ fulfills that $\sigma(T) = S \overset{R.5}{\Rightarrow} T \cong S$
$\Leftarrow$] We argue again by induction on the size of the T-DAG. The base case is the same as before so we do not repeat it. For the induction step, we have:
If $|T| = n$: $T \cong S \Rightarrow |T| = |S| = n \land \Gamma^+(t) = \Gamma^+(s) = k$. Additionally, ordering the subtrees $(T_1, \ldots, T_k)$, $(S_1, \ldots, S_k)$ such that $T_1 \preceq \cdots \preceq T_k$ and $S_1 \preceq \cdots \preceq S_k$ necessarily $T_i \cong S_i \forall i \in \{1, \ldots, n\}$ with $|T_i| = |S_i| < n \overset{Ind.H}{\Rightarrow} T_i \equiv S_i \Rightarrow (T_1, \ldots, T_k) \equiv (S_1, \ldots, S_k) \Rightarrow T \equiv S$.
**Remark 6.** The operators $(\prec, \succ, \equiv)$ induce a total ordering on T-DAGs isomorphism classes.
*Proof.* Given $T$ and $S$ two T-DAGs,
(i) **Antisymmetry:** $S \preceq T \land S \preceq T \Leftrightarrow \neg(S \succ T) \land \neg(S \prec T) \Leftrightarrow S \equiv T \Leftrightarrow S \cong T$
(ii) **Transitivity:** clearly holds by definition.
(iii) **Connex Property:** $S \preceq T \lor S \preceq T \Leftrightarrow \neg(A \succ B) \lor \neg(A \prec B) \Leftrightarrow \neg(A \succ B \land A \prec B) \Leftrightarrow \neg 0 = 1$
Canonical labeling for T-DAGs. We now introduce a canonical labeling for T-DAGs. We provide unique representatives for T-DAG isomorphism classes and their string representation.
**Definition 13** ($\Delta$-operator)
*The indegree operator* $(\Delta)$ *is a total ordering on equivalence classes of the $\equiv$-relation. Let $T$ be a T-DAG such that $T_1 \preceq \cdots \preceq T_{\Gamma^+(t)}$. That is, it takes a set of representatives of the $\equiv$-relation and orders it. Formally,*
$$\Delta : \{T_1, \ldots, T_{\Gamma^+(t)}\}/\equiv \longrightarrow \{T_1, \ldots, T_{\Gamma^+(t)}\}/\equiv$$
$$\{T_1, \ldots, T_{i+k}\} \longmapsto \Delta(\{T_1, \ldots, T_{i+k}\}) := \{T_1, \ldots, T_{i+k}\}, \leq_*$$
*where $k \in \mathbb{N}$ and $(\{T_1, \ldots, T_{i+k}\}, \leq_*)$ is the totally ordered set according to the following relation:*
$$\overline{T}_i \leq_* \overline{T}_j \Leftrightarrow \left( \{|T^-(t_{i+1})|, \ldots, |T^-(t_{i+\Gamma^+(t_j)})|\}, \leq \right) \leq \left( \{|T^-(t_{j+1})|, \ldots, |T^-(t_{j+\Gamma^+(t_j)})|\}, \leq \right)$$
*That is, $\overline{T}_i \leq_* \overline{T}_j$ iff the non-decreasing indegree sequence of $t_i$’s children is pairwise smaller than that of $t_j$.*
Naturally, applying the operator to the whole set (i.e. $\Delta(T)$) means applying it element-wise in the quotient set, reordering only elements that were considered $\equiv$-equal.
**Definition 14** (T-DAG isomorphism classes representative)
*Given a T-DAG, $T$, we reorder it so that $T_1 \preceq \cdots \preceq T_{\Gamma^+(t)}$. We denote the reordered T-DAG with $T^*$. The representative of $T$’s isomorphism class $\bar{T}$ is defined as $\bar{T} := \Delta(T^*)$.*
**Lemma 3.** Given $T$ and $S$ T-DAGs, $T \cong S \Rightarrow \bar{T} = \bar{S}$. Thus $\bar{T}$ is well defined.
*Proof.* Given a vertex $v \in V(T)$, the height of $v$ is the number of edges of the longest path between $v$ and one of its leafs. Let $V(T)_h \subset V(T)$, be the set of vertices with height equal to $h$. We prove that, given an $h$, the set of maximal induced T-DAGs rooted at $V(T)_h$ and $V(S)_h$, reordered with $\preceq$ and then with $\Delta$, are the same. In particular, when $h$ equals the height of the T-DAG (i.e. the height of its root),
this yields \( T = S \). We proceed by induction on the height \( h \).
**If the height is 0:** \( T \cong S \Rightarrow |\{v \in V(T) : \Gamma^+(v) = 0\}| = |\{v \in V(S) : \Gamma^+(v) = 0\}| = k \). In fact both T-DAGs have the same number of leafs and therefore \( \{t_1, \ldots, t_k\} = \{s_1, \ldots, s_k\} \).
**If the height is \( h \):** we assume that, for heights \( \leq h \), the set of T-DAGs reordered with \( \preceq \) and then with the \( \Delta \) operator are the same. \( T \cong S \Rightarrow |V(T)_{h+1}| = |\{v \in V(T) : \text{height}(v) = h + 1\}| = |\{v \in V(S) : \text{height}(v) = h + 1\}| = |V(S)_{h+1}| = k \). We now order \( V(T)_{h+1} \) and \( V(S)_{h+1} \) in non-decreasing outdegree order and we apply the \( \Delta \) operator to \( \{T_1, \ldots, T_k\} \) and \( \{S_1, \ldots, S_k\} \), the T-DAGs with roots in \( V(T)_{h+1} \) and \( V(S)_{h+1} \). We will refer to the before-mentioned roots as \( \{t_1, \ldots, t_k\} \) and \( \{s_1, \ldots, s_k\} \), and to the \( j \)-th sibling of the \( i \)-th root as \( t_i^j \), where \( j \in \{1, \ldots, \Gamma^+(t_i)\} \) (with \( T_i^j \) being the T-DAGs rooted at this nodes). \( \{T_1, \ldots, T_k\} \) and \( \{S_1, \ldots, S_k\} \) ordered in this manner satisfy \( T_1 \preceq \cdots \preceq T_k \) and \( S_1 \preceq \cdots \preceq S_k \). Furthermore, for each T-DAG \( T_i \), \( i \in \{1, \ldots, k\} \), with root \( t_i \) at layer with height \( h \), we have that
\[
\begin{align*}
\Gamma^+(t_i) &= \Gamma^+(s_i) \\
\forall j \in \{1, \ldots, \Gamma^+(t_i)\} & \left\{ \begin{array}{l}
\Gamma^-(t_i^j) = \Gamma^-(s_i^j) \\
\text{Ind. H } \Rightarrow T_i^j = S_i^j
\end{array} \right\} \Rightarrow T_i = S_i
\end{align*}
\]
All vertices with height \( h + 1 \) have as children the roots of T-DAGs with heights \( \leq h \).
If now we make \( h + 1 \) equal \( T \) and \( S \)'s height, we have \( V(T)_{h+1} = t \) and \( V(S)_{h+1} = s \). Therefore, the set of maximal induced T-DAGS are \( \{T\} \) and \( \{S\} \) respectively. We have proven that, reordering with \( \preceq \) and \( \Delta \), both sets are equal. Hence, \( \bar{T} = \bar{S} \).
**Remark 7.** It holds \( T \cong \bar{T} \).
**Proof.** From Definition 14 we observe that, in order to obtain \( \bar{T} \) from \( T \), we reorder the subtrees non-decreasingly and we apply the \( \Delta \) operator. Let then \( \sigma \) be a permutation such that \( \sigma(T) \) generates \( T_1 \preceq \cdots \preceq T_{\Gamma^+(t)} \). We then consider \( \mu \) as the permutation resulting of doing \( \sigma \) and \( \Delta \) one after the other in this order. From Remark 5 it follows that \( \mu(T) = \bar{T} \xrightarrow{R_2, R_3} T \cong \bar{T} \).
**Definition 15 (T-DAG labeling)**
*Given a T-DAG \( T \) we identify its vertices traversing \( T \) breadth-first with a FIFO queue and, starting from the root, for each new vertex (not identified that we dequeue) we assign it the current vertex count value, increment the count by one and queue its set of children. The labeling \( \text{lbl}(T) \), associated to \( T \), is the string result from traversing the identified \( T \) breadth-first with a FIFO queue and, starting from the root, for each vertex (not processed that we dequeue) we append each of its children identifier to the labeling and queue each of its children. We separate children of the same parent with a comma ',', sets of siblings with a colon ':', and we denote the end of the label with a semi-colon ';'.*
5. We are aware that these separators depend heavily on the labeling implementation.
will refer to the identifier (the label) of a vertex \( v \) obtained through this procedure as \( \text{id}(v) \).
**Definition 16 (T-DAG canonical labeling)**
*Given a T-DAG \( T \), the canonical labeling of \( T \), \( c(T) \) is the labeling of its isomorphism class representative, \( \bar{T} \). That is, \( c(T) := \text{lbl}(\bar{T}) \).*
In a nutshell, the canonical labeling is obtained with a total ordering for T-DAGs, an indegree-based operator and an additional labeling.
Before proving the sufficiency of the three operations, we introduce additional concepts regarding labelings.
**Definition 17 (Labeling clause)**
*Given a labeling \( \text{lbl}(T) \) of a T-DAG \( T \), a clause in the labeling is a set of identifiers contained within either two colons, a colon and a semi-colon, or the beginning of the labeling and a colon.*
Note that, given a labeling \( \text{lbl}(T) \), we can index the clauses by order of appearance starting from 0. Thus, we can think of \( \text{lbl}(T) \) as an ordered array of clauses: \( \text{lbl}(T) = [c_0, \ldots, c_n] \), where \( n = |V(T)| \). Thus, an upper-bound to get the length of each clause, by preprocessing the label, is \( O(m) \), where \( m = |E(T)| \).
Given a T-DAG labeling \( \text{lbl}(T) \), we can obtain an array \( \text{out\_deg} \) that in the \( i \)-th position contains the outdegree of \( v \in V(T) \) such that \( \text{id}(v) = i \). Algorithm 2 presents a pseudo-code to do so. The proofs of correctness (Lemma 4) and complexity (Lemma 5) are omitted for space reasons.
**Algorithm 2 Outdegree sequence from a label.**
```
1: procedure OUTDEGREE PARSING(lbl(T))
2: \( m \leftarrow \max(|\text{lbl}(T)|)
3: \text{out\_deg} \leftarrow \text{zeros-array}(m + 1)
4: \text{processed} \leftarrow \text{zeros-array}(m + 1)
5: Q \leftarrow \text{FIFO\_Queue}()
6: n\_id \leftarrow 0
7: \textbf{for} i : 1 \textbf{ to } \# \text{ clauses in } \text{lbl}(T) \textbf{ do}
8: \textbf{while} ! Q.\text{empty}() \textbf{ do}
9: n\_id \leftarrow Q.\text{dequeue}()
10: \textbf{if} ! \text{processed}[n\_id] \textbf{ then}
11: \textbf{break}
12: \textbf{if} ! \text{processed}[n\_id] \textbf{ then}
13: \text{processed}[n\_id] \leftarrow \text{True}
14: \text{out\_deg}[n\_id] \leftarrow \text{len}(c_i)
15: \textbf{for all} id \textbf{ in } c_i \textbf{ do}
16: Q.\text{queue}(id)
17: \textbf{return} \text{out\_deg}
```
**Lemma 4.** Algorithm 2 is correct.
**Lemma 5.** The Algorithm described in Algorithm 2 is linear in the number of edges of the labeled T-DAG \( T \). Thus, if \( m = |E(T)| \), the complexity is \( O(m) \).
**Lemma 6.** Let \( S \) and \( T \) be T-DAGs with \( |S| = |T| \) and \( \Gamma^+(s) = \Gamma^+(t) = k \). Let \( \bar{S} \) and \( \bar{T} \) be their isomorphism
class representatives.
\[ \bar{S} \not\cong T \Rightarrow \exists u \in V(\bar{S}), v \in V(T) \text{ s.t. } id(u) = id(v) \text{ but } \Gamma^+(u) \neq \Gamma^+(v) \]
where \(id\) is the identifier assigned to each vertex when labeled.
**Proof.** W.l.o.g. we assume \( \bar{S} \prec T \). This implies that either (i), (ii), or (iii) from Definition 11 must hold. Let us define the following set of indices, \(D := \{ i \in \{1, \ldots, k\} : S_i \not\cong T_i \} \). From the hypothesis we can ensure that \(D \neq \emptyset\). For each index \(i \in D\), we take \(u_i\) the first vertex traversing \(S_i\) breadth-first with a FIFO queue such that condition (ii) fails. Note that, from Definition 12 and Lemma 2, \(S_i \not\cong T_i\) implies that at some point of the recursion (i) or (ii) will fail. And if (i) fails, necessarily does (ii). Let \(U\) be, \(U := \{u_i : i \in D\}\), and \(u^*\),
\[ u^* := \arg\min_{u \in U} \{id(u)\} \]
Let \(v^*\) be the corresponding vertex in \(V(T)\) that made condition (ii) fail for \(u^*\). For all vertices with a smaller id, the outdegree is the same. Additionally, since \(S\) and \(T\) are both ordered non-decreasingly, when traversed breadth-first with a FIFO queue, we can affirm that \(u^*\) and \(v^*\) will be given the same identifier but they have different outdegrees. \( \square \)
**Lemma 7.** Given two T-DAGs \(T\) and \(S\), it holds \(T \cong S \Leftrightarrow c(T) = c(S)\). Thus, the canonical labeling presented in Definition 16 is well defined.
Using the constructions and the efficient labeling derived in this section, we can state our main theoretical result.
**Theorem 1**
The set of unknown inputs/outputs induces a family of subgraphs (patterns), within the Bitcoin User Network, which can be efficiently labeled and tested for isomorphism.
To the best of our knowledge, this is the first result that systematically addresses unknown transactions, which are often neglected in the current technical literature. In the next section, we will use our isomorphism algorithm to cluster TX T-DAGs that interact with the same patterns. Note that, while presented only for unknown transactions, our approach can be immediately extended to any transaction system where patterns can be modeled by T-DAGs.
### 4. Experimental Results
To validate our methodology, we first parsed the Bitcoin blockchain. Blocks and transactions information were retrieved by querying directly a Bitcoin full-node, importing data into a MySQL database. We then retrieved all the unknown transactions with a valid locking script from our database, and we applied our methodology to build TX T-DAGs and study their patterns. Finally, we clustered all the TX T-DAGs found in the previous step according to their isomorphism classes to group all similar patters that could have been created by the same entity. The above steps are described in more details in the following.
**Database:** Complete and reliable Bitcoin blockchain data are essential to correctly build the TX T-DAGs. The official software release used by the Bitcoin protocol, i.e. Bitcoin-core, is not suitable for this purpose as it is not designed for the analysis of the data contained in the blockchain. To the best of our knowledge, all freely available blockchain explorer tools suffer from the problems described in Section 3. That is, they do not properly handle custom transactions. For this reason, we have designed a MySQL database to store transaction data retrieved by parsing the Bitcoin ledger using our model. We imported all the Bitcoin blockchain data starting from the genesis block 0 (mined on 2009-01-03), up to block 591,872 (mined on 2019-08-26). Our database consists of more than 448 million Bitcoin transactions, over 1.1 billion transaction inputs, over 1.2 billion transaction outputs and around 550 million Bitcoin addresses. We hosted our MySQL database on a Dell Poweredge R740 Server, equipped with 2 CPU Intel® Xeon® Gold 6144 3.5G, RAM 512GB, running Ubuntu Server 18.04.4 LTS. To parse the Bitcoin ledger, we used Bitcoin Core Daemon v.0.18.0.0, running on a Dell XPS laptop equipped with an Intel® Xeon® CPU E3-1505M 2.80GHz, RAM 32GB - OS: Ubuntu 18.04.4 LTS.
**Unknown TX T-DAG Construction:** After the parsing phase, our database contains all the transactions included in the Bitcoin ledger, both unknown and standard. At this point, we started analyzing the unknown ones, identifying around 22 million \(\alpha\)-nodes that can generate an Unknown TX T-DAG (DAGs where the inner nodes are only unknown transaction outputs). We then built a forest by iterating Algorithm 1 for each \(\alpha\)-node. Each weakly connected component of this forest represents an Unknown TX T-DAG originating from one or more alpha nodes. We used the library networkx 2.3 (together with the Python 3.5 interpreter) to create and
manage the forest containing all the Unknown TX T-DAGs.
**Pruning Phase:** By construction, Unknown TX T-DAGs represent transaction patterns in the blockchain network generated by unknown transactions. The root denotes the set of (standard) inputs that generated the pattern. Each inner node represents an unknown transaction output, i.e. an output with a Null value, that has been spent. Finally, each leaf represents either a known transaction output (with a valid Bitcoin address attached to it) or an unspent transaction output (either with a valid or a null address). Therefore, an unknown TX T-DAG of height 1 is trivial: in fact, such graph represents a single transaction with an unknown output that has not been spent. An output of this type could be an invalid/unspendable output or simply a custom but valid output that has not been spent in the considered blockchain portion. In the first case, since its locking script is malformed, this output is impossible to redeem. Therefore, the corresponding Unknown TX T-DAG can never grow further. In the second case, however, if the unknown output is spent in the future, our methodology will capture this event during the update of our database, and the associated Unknown TX T-DAG structure will be updated and considered for further analysis. Following this observation, we pruned the forest by dropping the weakly connected components of height 1 as they do not represent a relevant pattern for either $\mathcal{T}$ or $\mathcal{U}$. Finally, we obtained a forest with 803,782 nodes and 797,432 edges, having 30,333 weakly connected components left, i.e., our Unknown TX T-DAGs. These T-DAGs can be easily integrated into the transaction network $\mathcal{T}$ and the user network $\mathcal{U}$. In this way, bot the blockchain analysis tools and the proposals in the literature which use these data structures will rely on complete information, never considered before.
**Isomorphism Detection:** In the last step of our methodology, we clustered the 30,333 Unknown TX T-DAGs, obtained in the previous phase, according to their isomorphism classes. For each T-DAG, we built its isomorphism class representative (definition 14) by using the total ordering introduced in Section 3.3. Before performing the clustering procedure, we augmented every TX T-DAGs with more than one root, such as the one depicted in Figure 2.2. In particular, for each graph of the cited type, we created a new root connected to each of the old ones. Consequently, each graph $g$ with multiple roots is converted into a new graph $g^*$ having a single root and the same nodes of $g$ plus one (the new root). Once all the Unknown TX T-DAGs were standardized to have a single root, we clustered them according to their isomorphism class representative. We identified 273 different isomorphism classes. Figure 2 shows the 10 most common classes, while Table 2 reports the height, cardinality, number of edges, and number of roots for the same classes and some other ones characterized by a more complex pattern.
**Discussion:** Our approach is, to the best of our knowledge, the only one capable of identifying transaction inputs and outputs without relying on Bitcoin addresses, providing a framework to correctly handle unknown transactions. This feature allowed us to detect unknown transaction patterns not captured by state of the art blockchain analysis techniques. The 30,000+ Unknown TX T-DAGs discovered, can be easily integrated into the Bitcoin User Network, finally providing a complete transaction history, taking into account also unknown transactions. It is worth highlighting that even the simplest of the identified structures, such as the one in Figure 2.1, that appears more than 29,000 times in the Bitcoin ledger, is sufficient to make current parsers not to consider potentially relevant data. Indeed, although the transaction contains the root (the payer address) and the leaf (the recipient address), the User Network built without considering unknown transactions will not contain the middle node (unknown output), hence breaking the connection between the two users. Instead, integrating the User Network with our T-DAGs, automatically increases the accuracy of any Bitcoin clustering heuristic used so far, as well as any deanonymization technique, by simply considering never-used before data. In addition, our isomorphism classes could lead to new clustering techniques: non-trivial patterns, i.e. transaction schemes not originated from a normal user behavior, can be used to cluster services/entities that exhibit the same patterns. Other than the 10 most common isomorphism classes shown in Figure 2, we found several other patterns that deserve particular attention from a semantic point of view. As an example, we discovered an Unknown TX T-DAG of height 2260, having 6878 nodes, and 7176 edges. This complex pattern has 10 roots, i.e., is generated by 10 different standard transactions and therefore potentially by up to 10 different entities. Started on 2014-02-19, and concluded on 2014-12-08, such a pattern moved a total of 247.36 Bitcoins that, according to the historical Bitcoin prices, were worth about 92,500 US Dollars at the time of the last transaction (December 2014)—a complete analysis of the just introduced graph, and other interesting ones, will be provided in future work.
## 5. Conclusion and Future Work
We have shown that the current assumption that each transaction output has an address attached to it, is false. We have identified transactions that violate the cited assumption, labelling them *unknown* transactions. These unknown transactions imply, among other, that current clustering techniques are incomplete. Starting from the above observation, we proposed a theoretical model rooted on sound graph theory to detect, study, and classify patterns of unknown transactions. Exploring the Bitcoin network via our new tool we unveiled non-trivial classes of transaction patterns never considered before. We were able to identify over 30,000 unknown TX T-DAGs. Each of them represents a money flow that is invisible to standard parsing techniques. Some of these patterns show a high level of sophistication, with a complex topology potentially associated with automated payment services. Our novel approach to the Bitcoin graph opens up a brand new vein of research. For instance, the semantic associated to the discovered patterns is still to be explored. Furthermore, by extending the theoretical model to every transaction (using for example flow theory to remove
cycles in the user network or, in general, focusing on transaction patterns that are represented by T-DAGs), it could be possible to study and cluster other types of non-standard behaviors within the Bitcoin environment. Moreover, our solution could be adapted to detect anomalous behaviour in the flourishing field of blockchain-based applications. In conclusion, we believe that the contribution provided in this work, from both a theoretical and practical point of view, other than being interesting on their own—providing for the first time a complete view of the bitcoin blockchain—, also pave the way for further research and applications in the Bitcoin domain and its spin-off technologies.
References
[1] E. Androulaki, G. O. Karame, M. Roeschlin, T. Scherer, and S. Capkun, “Evaluating user privacy in bitcoin,” in Financial Cryptography and Data Security. Berlin, Heidelberg: Springer Berlin Heidelberg, 2013, pp. 34–51.
[2] A. Antonopoulos, Mastering Bitcoin, 2nd ed. 5 St George’s Yard Farnham, Surrey: O’Reilly, 2017.
[3] M. Bartoletti and L. Pompiuau, “An analysis of bitcoin op_return metadata,” in International Conference on Financial Cryptography and Data Security. Springer. Cham: Springer International Publishing, 2017, pp. 218–230.
[4] S. Bistarelli, I. Mercanti, and F. Santini, “An analysis of non-standard transactions,” Frontiers in Blockchain, vol. 2, p. 7, 2019. [Online]. Available: https://www.frontiersin.org/article/10.3389/fbloc.2019.00007
[5] Bitcoin Community, “Bitcoin core,” https://bitcoincore.org/en/about/, accessed: June 2021.
[6] M. Conti, A. Gangwal, and S. Ruj, “On the economic significance of ransomware campaigns: A bitcoin transactions perspective,” Computers & Security, vol. 79, pp. 162–189, 2018. [Online]. Available: https://www.sciencedirect.com/science/article/pii/S0167404818304334
[7] M. Conti, E. S. Kumar, C. Lal, and S. Ruj, “A survey on security and privacy issues of bitcoin,” IEEE Communications Surveys & Tutorials, vol. 20, no. 4, pp. 3416–3452, 2018.
[8] J. Crawford and Y. Guan, “Knowing your bitcoin customer: money laundering in the bitcoin economy,” in 2020 13th International Conference on Systematic Approaches to Digital Forensic Engineering (SADFE). IEEE, 2020, pp. 38–45.
[9] R. Di Pietro, S. Raponi, M. Caprolu, and S. Cresci, New Dimensions of Information Warfare. Springer International Publishing, 2021, vol. 84, part of the Advances in Information Security book series.
[10] H. A. Jawaheri, M. A. Sabah, Y. Boshmaf, and A. Erbad, “Deanonymizing tor hidden service users through bitcoin transactions analysis,” Computers & Security, vol. 89, p. 101684, 2020. [Online]. Available: https://www.sciencedirect.com/science/article/pii/S0167404818309908
[11] H. Kalodner, S. Goldfeder, A. Chator, M. Müsser, and A. Narayanan, “BlockSci: Design and applications of a blockchain analysis platform,” ArXiv e-prints, vol. abs/1709.02489, Sep. 2017.
[12] D. Kamenski, A. Shaghaghi, M. Warren, and S. S. Kanhere, “Attacking with bitcoin: Using bitcoin to build resilient botnet armies,” in 13th International Conference on Computational Intelligence in Security for Information Systems (CISIS 2020), A. Herrero, C. Cambra, D. Urda, J. Sedano, H. Quintián, and E. Corchado, Eds. Cham: Springer International Publishing, 2021, pp. 3–12.
[13] D. Maesa, A. Marino, and L. Ricci, “Uncovering the bitcoin blockchain: An analysis of the full users graph,” in 2016 IEEE International Conference on Data Science and Advanced Analytics (DSAA). Alberta, Canada: IEEE, Oct 2016, pp. 537–546.
[14] J. D. Nick, “Data-Driven De-Anonymization in Bitcoin,” Master’s thesis, ETH Zurich, 2015.
[15] S. Pemmaraju and S. Skiena, Computational Discrete Mathematics: Combinatorics and Graph Theory with Mathematica. Cambridge: Cambridge University Press, 2003.
[16] F. Reid and M. Harrigan, An Analysis of Anonymity in the Bitcoin System. New York, NY: Springer New York, 2013, pp. 197–223. [Online]. Available: https://doi.org/10.1007/978-1-4614-4139-7_10
[17] C. SecTech, “Notpetya attack,” https://cyber-sectech.fandom.com/wiki/NotPetya_Attack, 2017, accessed: June 2021.
[18] D. A. Wijaya, J. K. Liu, R. Steinfeld, S.-F. Sun, and X. Huang, “Anonymizing bitcoin transaction,” in Information Security Practice and Experience, F. Bao, L. Chen, R. H. Deng, and G. Wang, Eds. Cham: Springer International Publishing, 2016, pp. 271–283.
[19] Wikipedia, “Wannacry ransomware attack,” https://en.wikipedia.org/wiki/WannaCry_ransomware_attack, 2019, accessed: June 2021. |
Introduction
Thank you for choosing the Hioki RM9004 Test Fixture. Preserve this manual carefully and keep it handy to make full use of this device for a long time.
Familiarize yourself with the RM2610 Electrode Resistance Measurement System Instruction Manual and the separate document entitled “Operating Precautions” before using the device.
Target audience
This manual has been written for use by individuals who use the product in question or who teach others to do so. It is assumed that the reader possesses basic electrical knowledge (equivalent to that of someone who graduated from the electrical program at a technical high school).
Safety notations
This manual classifies seriousness of risks and hazard levels as described below.
| Symbol | Description |
|--------|-------------|
| **CAUTION** | Indicates a potentially hazardous situation that may result in minor or moderate injury to the operator or damage to the device or malfunction. |
| **IMPORTANT** | Indicates information or content that is particularly important from the standpoint of operating or maintaining the device. |
| **NOT ALLOWED** | Indicates an action that must not be performed. |
| **MUST** | Indicates an action that must be performed. |
Warranty Certificate
| Model | Serial number | Warranty period |
|-------|---------------|-----------------|
| | | Three (3) years from date of purchase |
Customer name: ___________________________
Customer address: _________________________
Important
- Please keep this warranty certificate. Dual-tapes cannot be released.
- Compare the certificate with the model number, serial number, and date of purchase, along with your name and address. The manufacturer will provide on this form will only act to provide repair service and information about Hioki products and services.
- This document certifies that the product has been manufactured and tested to conform to Hioki standards.
- Please note that the manufacturer reserves the right of manufacture and design changes. In such case, Hioki will not be responsible for the product subject to the warranty terms described below.
Warranty terms
1. The product is guaranteed to operate properly during the warranty period (three [3] years from the date of purchase).
2. If the product fails to operate properly during the warranty period, please contact your authorized Hioki distributor or reseller (the part of merchandise as indicated by the first four digits of the serial number in YYMM format).
3. The warranty period begins on the date of purchase and ends three (3) years after the date of purchase.
4. The accuracy of measured values and other data generated by the product is guaranteed as described in the product specifications.
5. In the event that the product or its adapter malfunctions during its respective warranty period due to a defect of materials or workmanship, the manufacturer will repair or replace the product free of charge.
6. The manufacturer guarantees that the product will not fail during the warranty period and that it can be repaired or replaced:
- After malfunction or change of components, etc., after purchase of the product
- After malfunction or change caused by improper handling (including violation of instructions)
- After malfunction or change caused by improper handling (including violation of instructions) by user or third party
- After malfunction or change caused by a failure of performance parameters or specifications required by law or regulations
7. The manufacturer is not liable for any loss or damage resulting from improper installation, operation, maintenance, or storage (dropping voltage, frequency, etc.), or wear or arrest, contamination with moisture, or other acts of God.
8. The manufacturer is not liable for any loss or damage resulting from improper installation, operation, maintenance, or storage (dropping voltage, frequency, etc.), or wear or arrest, contamination with moisture, shock, noise or vibration (shock, falling of order, etc.)
9. Other than the above, no liability for damages for which Hioki is not responsible
10. The warranty will be considered invalid in the following circumstances, in which case Hioki will be unable to perform repairs:
- If the product has been repaired or modified by a company, entity, or individual other than the manufacturer
- If the product has been used in a manner inconsistent with the instructions provided in the instruction manual (specifications, etc.)
- If the product has been used in a manner inconsistent with the instructions provided in the instruction manual (specifications, etc.)
11. If you experience a loss caused by use of the product and have determined that you are responsible for the underlying issue, we recommend that you contact your authorized Hioki distributor or reseller for advice on how to proceed.
12. The manufacturer is not liable for any loss or damage resulting from improper installation, operation, maintenance, or storage (dropping voltage, frequency, etc.), or wear or arrest, contamination with moisture, shock, noise or vibration (shock, falling of order, etc.)
13. Damage to a device other than the product that was isolated when connecting the device to the product
14. Product failure due to improper installation, operation, or maintenance
15. Hioki reserves the right to decide to perform repair, calibration, or other service for products for which a certain amount of wear or deterioration has occurred, even though the product is still within the warranty period. Hioki may also require repair due to unforeseen circumstances.
Operating Precautions
Follow these precautions to ensure safe operation and to obtain the full benefits of the various functions.
**CAUTION**
Do not place the device on an unstable or uneven surface. Doing so could cause the device to fall or turn over, causing bodily injury or damage to the device.
Do not touch the tips of the probes. When an object other than the measurement target comes into contact with probes, they may be damaged.
Specifications
| Operating environment | Indoors, Pollution Degree 2, altitude up to 2000 m (6562 ft.) |
|-----------------------|---------------------------------------------------------------|
| Operating temperature and humidity | 23°C±5°C (73°F±9°F), 80% RH or less (no condensation) |
| Storage temperature and humidity | 0°C to 50°C (32°F to 122°F), 80% RH or less (no condensation) |
| Connector | Test fixture terminal (Connect to Model RM2610 by using the RM9005 Connection Cable) |
| Dimensions | Approx. 130W × 100D × 890H mm (5.12"W × 3.94"D × 35.04"H) |
| Mass | Approx. 770 g (27.2 oz.) |
| Number of probes | 46 |
| Probe (tip protrusion): | Approx. 250 μm |
| Probe diameter (reference value): | ø75 μm |
| Tip shape: | needle, tip SR |
| Probe load (reference value): | 0.044 N/per probe |
| Material: | tool steel, gold coating |
| Probe distance | 120 μm |
| Product warranty period | 3 years |
| Accessories | Probe are considered consumables and as such are not covered by the product warranty. |
| | Instruction manual |
| | Test fixture case |
| | Mounting screws × 4 |
| | Probe inspection board |
Overview
The RM9004 Test Fixture is designed exclusively for use with the Electrode Resistance Measurement System. It should be affixed to the RM9003 Press Unit prior to use.
Inspection
Check if there is any damage to the device occurred during storage or shipping and verify that device operates normally before using it.
See the RM2610 Electrode Resistance Measurement System Instruction Manual for how to inspect using the included probe inspection board.
Troubleshooting
If damage is suspected, read the “Before having your product repaired” section of the RM2610 Electrode Resistance Measurement System Instruction Manual before contacting your authorized Hioki distributor or reseller.
Precautions when transporting the device
Be sure to follow these precautions:
- To avoid damage to the device, remove the RM2611 Electrode Resistance Meter and RM9003 Press Unit from the device. Additionally, use the packaging in which the device was packed when you purchased it, and be sure to doublebox it. Hioki cannot guarantee that the device will not be damaged during transport.
- Attach a description of the issue when sending out your device for repair.
Assembly (RM9003, RM9004, RM9005)
**CAUTION**
To avoid equipment damage, turn off the RM2611 Electrode Resistance Meter before connecting or disconnecting the RM9005 Connection Cable.
**Preparations**
Remove the four mounting screws from the top of the RM9004 Test Fixture and remove the test fixture from the test fixture case.
After removing the test fixture from the case, do not place it on a surface with the probe surface facing down.
**Assembly**
1. **Place the RM9003 Press Unit’s up/down lever in the raised position.**
2. **Slide the RM9004 Test Fixture into position along the RM9003 Press Unit’s test fixture insertion rails.**
Push the test fixture toward the rear until it won’t go any further.
3. **Pull the test fixture lock lever toward you and downward and then let go to lock.**
The RM9004 Test Fixture will lock in place.
4. **Connect the grounding cable on the rear of the RM9003 Press Unit to the ground terminal on the RM9004 Test Fixture.**
5. **Connect the connector on the RM9004 (the female side) and connector on the RM2611 (the male side) using the RM9005 Connection Cable and screws that hold it in place.**
6. **Secure the RM9005 Connection Cable in place with the cable clamp.**
There are screws for attaching the cable clamp on the left and right sides of the RM9003 Press Unit. Choose the appropriate side based on the position of the device.
**IMPORTANT**
- When connecting the RM9005 Connection Cable, insert the cable into the connector firmly and tighten it in place with screws. If the screws loosen, the resulting poor contact could cause a measurement error.
- Exercise care not to lose the test fixture case’s mounting screws, which you will need in order to store the RM9004 Test Fixture during transport.
---
**Part Names**
**Front and top of the RM9004**
- Up/down lever
- RM9003 Press Unit
- Test fixture insertion rail
- Test fixture
- Case
- Mounting screws × 4
**Bottom and rear of the RM9004**
- Connector
- Ground terminal
- Probe guard
- Probe
- Maintenance plunger
---
**Cleaning**
**CAUTION**
- Use a compressed air pressure of 207 kPa (2.1 kgf/cm², 30 psi) or less.
- Wear a dustproof mask and dustproof goggles while cleaning the device.
**IMPORTANT**
The probes are extremely thin. Do not clean them with anything other than air. Tighten the test fixture clamp knob securely so that it is not loose.
**Cleaning the probe**
1. **Verify that the test fixture lock lever is in the lowered position.**
2. **Rotate the test fixture clamp knob counterclockwise to disengage the lock.**
While doing so, rotate the test fixture clamp knob toward the UNLOCK position until the screw is fully removed while holding the RM9004 Test Fixture still. The base (bottom) of the RM9004 Test Fixture will gradually move so that it faces toward the front of the unit.
3. **Once the base of the test fixture is fully facing toward the front, pull out the maintenance plunger to lock the RM9004 Test Fixture in place.**
4. **Remove dust from the probes using the compressed air gun or blower.**
5. **Repeat the above procedure in reverse after cleaning to return the test fixture to its original state.** |
SIGMA PHD: GENERAL INFORMATION
• “Sigma” is the administrative platform at UAM. Using Sigma requires navigating through several tabs that will open one after the other.
• In each window, if you want to change the content of a field, you must completely delete its content.
• In order to advance through the tabs, you must complete all the fields marked as mandatory (“obligatorio*”) and click on “Continuar” or “Siguiente”.
• If you want to go back to the previous tab, you should also complete the tab where you currently are.
• Input data will only be recorded once the application is fully complete, in the tab “Confirmar Solicitud”, so you should complete your application in only one session.
BEFOR STARTING YOUR APPLICATION
In order to start the application process, you should have a user and password in the system.
• If you have never been an student at UAM, you first need to Register in order to get your user and password ("Registro de usuarios") (anexo I).
• If you are a former UAM student you will need your user (NIA) and password. If you can’t remember your access information, you can get it back here (anexo II).
• If you are currently a student at UAM, you must use your user and password to submit your application through Sigma > Mis aplicaciones > Accesos > Inscripción Doctorados Oficiales > Nueva preinscripción. If you can’t remember them, you can get them back here. (anexo II).
In addition, it is essential that you have in hand all the documents that you will need to upload during the application process, as established in our website. These documents may vary depending on the way chosen to access the PhD Program.
Files must be uploaded preferably in .pdf, however there are other formats that can be accepted as well (.doc, .jpg). Size must be maximum 4 Mb each. In order to correctly locate your files, please name them following the template Surname_Name_Document (document being Passport, Aval, Language, Diploma, Certificate... etc. or a short name of...
APPLICATION FOR PHD PROGRAMS
The first step is applying for a PhD Program ("Admisión" or "Preinscripción").
If you have a working Sigma account because you are currently a student at UAM, you must complete your application in [Sigma](#) > Mis aplicaciones > Accesos > Inscripción Doctorados Oficiales > Nueva preinscripción
In addition, for every applicant, you can enter the application platform online, via:
- EDUAM website ([link to Application](#))
- Using the following link: [https://secretaria-virtual.uam.es/Navegacion/InicioAdmision.Posgrado.html#](https://secretaria-virtual.uam.es/Navegacion/InicioAdmision.Posgrado.html#)
- Clicking the following image:
Your browser will open a window with the application platform, where you should click **Entrar**. One more tab will open where you must log in using your login details (NIA, 1; password, 2). Click **Entrar** (3).
On the next window, please choose "Inscripción Doctorados Oficiales"
If there are no previous applications, the screen will be empty. Click on **Nueva preinscripción** to initiate your application.
You must complete tab after tab, always clicking on “Siguiente” through every tab until the end, in only one session. If you don’t complete your application in one session, your information will not be recorded.
“INICIO” TAB
Choose the PhD Program you want to apply to. (1)
In general, PhD studies are carried out full time (“tiempo completo”); however you can apply for part time (“tiempo parcial”) if you qualify for it (working full time, looking after a relative, professional athlete, disability benefit...) by checking the option “Tiempo parcial” (2). In this case you must upload the document “solicitud de cambio de dedicación” when you reach the Documents tab.
Click on 3 (“I have been informed and I understand that after finishing the application, any letter issued and sent via mail will be also available to download from the page <<Imprimir comprobantes>>”), and click on 4 if you are a professional athlete. Please complete the questionnaire about funding expectations during your studies 5. Finally, continue to the next tab clicking on 6.
“DATOS PERSONALES” TAB
The website will show automatically your personal data (1) included previously in the registration (“Registro”) or that where already included in your file if you were a former student at UAM.
Review this information, complete and/or modify the information if needed, to match the information in your Passport or ID.
You must keep in mind:
1.- If you are a Spanish national, please use your DNI number, including the final letter. If you don’t have a DNI, you can’t choose Spanish nationality. It is not possible to choose Spanish nationality but using your Passport as an identification number.
2.- If you are not a Spanish national, please use your Passport or your NIE (Residence permit). Numbers must be noted without blank spaces, or middle dash.
3.- First Name and Surname (s) must be written with capital first letter.
4.- If your surname has the words ‘de’ ‘la’ ‘del’, they must be written all in lower case after the First Name or the previous surname. (ex.: Pedro Sánchez de la Cuesta will be introduced as [Pedro] [Sánchez de la] [Cuesta])
5.- Accent marks in Spanish names should be included, following the orthographic rules that apply.
6.- Capital letters must have accent marks if needed. (Ángel, Álvaro)
7.- Please don’t use abbreviations or short names (Mª, Fco., Fdez.)
8.- Combined surnames must be separated with a middle dash.
Once completed the information about birth place and current address (2), please click 3 to go to the next tab.
“ESTUDIOS PREVIOS” TAB
If you have obtained your access Diploma (Master’s or 300 ECTS Bachelor’s) at UAM
You will have the option to choose the Bachelor’s or Master’s (1a/1b) or start a new application (2).
If you chose the first option, a new window will open with different ways to access a PhD Programme, in which it will be marked (1) the option chosen before. Click “siguiente” (2) to get to the next tab.
**If you have obtained your access Diploma (Master’s, 300 ECTS Bachelor’s or equivalent) at universities other than UAM**
Depending on the Access way chosen (1), you must complete the required information about previous studies and later attach the required documents on the next tab.
- Bachelor’s + Master’s from a Spanish university ("Máster y Grado Universitario expedido por una universidad española"). The most common way. You must choose this option also if you have not finished your Master’s when you apply, but it will be finished by the time you enroll in the PhD Programme.
- Bachelor’s and/or Master’s from a non Spanish university ("Máster y Grado obtenido fuera del estado español"). Choose this option if you are in any of these situations:
- Foreign Diplomas from European Education Area (EEA) that confirm a level 7 EQF (including foreign PhD diplomas)
- Diplomas issued in foreign countries not belonging to the European Education Area (EEA) that qualify in the home country to access a PhD.
- Combinations of foreign Bachelor’s and Spanish Master’s or the other way around.
- Spanish Bachelor’s 300 ECTS or MECES3 ("Grados de 300 ECTS")
- Former Spanish Bachelor’s, ("Ingeniería/Licenciatura/Arquitectura, MECES 3")
• Homologation of foreign Higher Education Degrees and Spanish Ministry of Universities ("Estudios Homologados por el Ministerio del Estado Español")
• 2+ years of specialisation as a Health Professional ("2 años de evaluación positiva de Especialista en Ciencias de la Salud ECS")
• Spanish DEA Diploma ("DEA Estado Español, suficiencia investigadora")
• Spanish PhD ("Título español de doctor")
Depending on the option you choose, you will open a different form with fields in which you will have to identify the university or universities that issued your diploma(s) and the studies that you carried out.
In the drop-down menus, choose the **Spanish university** where you obtained your Master’s, Bachelor’s, DEA or PhD (1), depending on your application. If that’s your case, choose the hospital (2) where you are carrying out your specialisation as a Health Professional.
Identify the studies that you carried out in the chosen university. Click on (3) and in the pop-up window "búsqueda de estudios" click on (6, you can write down key words on the "Descripción estudios" field in order to narrow down the search); select the studies clicking on (7).
If you have obtained your Access diploma in a country other than Spain, you must search your university using (4). A pop-up window will appear, "búsqueda de universidad" with a drop-down menu in which you have to choose the country (8) and click on (9, you can write down key words on the "Descripción" field in order to narrow down the search). Choose the correct university clicking (10).
If you can't find your university, please contact firstname.lastname@example.org (in order to carry on with the application, choose any random university and we will later change it). Complete the fields on the form regarding the name of the studies carried out at the chosen foreign university.
In the lower part of the window “Estudios Previos”, and regarding the studies previously identified, you must choose the last academic year in which you were enrolled in said studies (1). Mark “Sí” (2) and search on the calendar (3) the date of issuing of the Diploma.
You can only mark “No” (2) if you are currently in your last year of studies in the moment of application, but you plan to finish before enrolling. You will have to prove that you have finished your studies before enrolling.
Click on (4) to go to the next tab, where you will have to upload the required documents, that may vary depending on the access way chosen.
“ADJUNTAR DOCUMENTOS” TAB
Depending on the chosen option in the previous tab, you will have to upload the documents that are required. Before starting, please consider the following:
- You will hugely help the process if you name your files like this: Surname_Name_XXX, where XXX is the document or abbreviation that identifies each document and that you can find in brackets next to the name of the document in the following list.
- It is very important that you upload each document in the correct field.
- There are some documents marked as “obligatorios”, that are mandatory and you can’t continue the application without them.
- Most of the documents to upload are related to the admission requirements, but you should also upload here your application for part time (Surname_Name_Parcial)
- If you wish to include additional documents, there is a field called “documentación complementaria”. You can upload the additional requirements of your PhD Programme (for more information please check the website of your PhD Programme), as well as other additional information that you consider relevant for your application, in one single file.
- Documents must be complete, including front and back of ID, Diplomas...
- You can only upload one file per field, but you can merge several documents in a single file.
- All documents submitted can be in Spanish, English, French, Italian or Portuguese. Documents in other languages must be accompanied by their sworn translation to Spanish.
Mandatory Documents
- DNI (Spanish nationals) / NIE or Passport (other nationalities) (_DNI)
- Curriculum vitae (_CV) (open format)
- Researcher’s confirmation “Aval de dirección en PD” (_Aval) (template available to be downloaded from the website)
- Statement of veracity “Declaración de veracidad” (_Ver) (template available to be downloaded from the website)
- Diploma used to access the PhD studies “Título de acceso” (_Acceso) (different according on the access way chosen)
If at the moment of application you are still finishing your access studies, Spanish or EEA, that grant access to PhD studies and you are planning to finish before enrollment period, you must upload your last enrollment instead of your Diploma. Keep in mind that you will be required to present your Diploma or equivalent before enrollment.
**Mandatory documents according to the chosen Access way to PhD Programmes:**
**Bachelor’s + Master’s from a Spanish university**
- **Título de acceso* (_Acceso):** Master’s Diploma, temporary receipt or equivalent. If for causes non attributable to the applicant it is not possible to upload said document during the application period (Master’s not finished), you can upload proof of enrollment on the last year of Master’s. You will be required to present your Diploma or equivalent before enrollment.
- **Certificado Académico de titulación de acceso (_CalAcc):** Official Transcript of Records of your Master’s (including grades and courses).
- **Certificado Académico de estudios previos (_CalPrev):** Official Transcript of Records of your Bachelor’s (including grades and courses).
**Bachelor’s and/or Master’s from a non Spanish university**
a) **Master’s or PhD from European Education Area (EEA) that confirm a level 7 EQF**
- **Título de Acceso* (_Acceso):** Master’s Diploma, temporary receipt or equivalent. If for causes non attributable to the applicant it is not possible to upload said document during the application period (Master’s not finished), you can upload proof of enrollment on the last year of Master’s. You will be required to present your Diploma or equivalent before enrollment.
- **Certificado Académico de titulación de acceso (_CalAcc):** Official Transcript of Records of your Master’s (including grades and courses).
- **Certificado Académico de estudios previos (_CalPrev):** Official Transcript of Records of your Bachelor’s (including grades and courses).
- **Certificación de acceso a doctorado (_SET):** Diploma Suplement or Statement from your home university, in which they declare that the Diploma qualifies you to access PhD studies at your home country..
b) **Bachelor’s issued by a foreign university + Master’s issued by a Spanish university**
- **Título de Acceso* (_Acceso):** Master’s Diploma, temporary receipt or equivalent. If for causes non attributable to the applicant it is not possible to upload said document during the application period (Master’s not finished), you can upload proof of enrollment on the last year of Master’s. You will be required to present your Diploma or equivalent before enrollment.
- **Certificado Académico de titulación de acceso (_CalAcc):** Official Transcript of Records of your Master’s (including grades and courses).
- **Certificado Académico de estudios previos (_CalPrev):** Official Transcript of Records of your Bachelor’s (including grades and courses).
c) **Diplomas issued in foreign countries not belonging to the European Education Area (EEA) that qualify in the home country to access a PhD.**
- **Título de Acceso* (_Acceso):** Diploma correctly legalised or apostilled*
- **Certificado Académico de titulación de acceso (_CalAcc):** Official Transcript of Records of the studies used to access PhD studies (including grades and courses), correctly legalised or apostilled*.
- **Certificado Académico de estudios previos (_CalPrev):** Official Transcript of Records of any previous studies (including grades and courses), correctly legalised or apostilled*.
- **Certificación de acceso a doctorado (_SET):** Statement from your home university, in which they declare that the Diploma qualifies you to access PhD studies at your home country.
*INFORMATION ABOUT LEGALIZATION AND APOSTILLE OF FOREIGN DOCUMENTS*
Academic documents (Diplomas and Transcripts) issued in foreign countries not belonging to the European Education Area (EEA) must be correctly legalised or apostilled, as follows:
- Countries suscribed to the Hague Apostille convention 1961: Apostille
- Other countries: Legalised documents, including:
1. Approval by the Ministry of Education on the home country of the signatures that appear on the original document.
2. Approval of the documents by the Ministry of Foreign Affairs on the home country.
3. Approval of the Spanish Consulate on the home country.
**Spanish DEA ("suficiencia investigadora")**
- **Título de Acceso* (_Acceso):** DEA Diploma or Certificate of Achievement ("Suficiencia investigadora").
- **Certificado Académico de estudios previos (_CalPrev):** Official Transcript of Records of your Bachelor's (including grades and courses).
**2+ years of specialisation as a Health Professional (ECS)**
- **Título de Acceso* (_Acceso):** Official Certificate of positive evaluation issued by the Teaching Unit of the Hospital.
- **Certificado Académico de estudios previos (_CalPrev):** Official Transcript of Records of your Bachelor's (including grades and courses).
**Spanish PhD**
- **Título de Acceso* (_Acceso):** PhD Diploma
- **Certificado Académico de estudios previos (_CalPrev):** Official Transcript of Records of your Bachelor's (including grades and courses).
**Homologation of foreign Higher Education Degrees by Spanish Ministry of Universities**
- **Título de Acceso* (_Acceso):** Foreign Diploma that has been recognized
- **Homologación del Título (_Homol):** Homologation credential
- **Certificado Académico de titulación de acceso (_CalAcc):** Official Transcript of Records of the recognized studies (including grades and courses).
- **Certificado Académico de estudios previos (_CalPrev):** Official Transcript of Records of any previous studies (including grades and courses).
**Ingeniería/Licenciatura/Arquitectura (pFormer Spanish Bachelor's, MECES 3)**
- **Título de Acceso* (_Acceso):** Bachelor's Diploma
- **Certificado Académico de titulación de acceso (_CalAcc):** Official Transcript of Records of your Bachelor's (including grades and courses).
**Spanish Bachelor's 300 ECTS or MECES3**
- **Título de Acceso* (_Acceso):** Bachelor's Diploma, temporary receipt or equivalent. If for causes non attributable to the applicant it is not possible to upload said document during the application period (Master's not finished), you can upload proof of enrollment on the last year of Master's. You will be required to present your Diploma or equivalent before enrollment.
- **Certificado Académico de estudios de acceso (_CalAcc):** Official Transcript of Records of your Bachelor's (including grades and courses).
**IMPORTANT!:** Only applications submitted with all correct documents within the deadline will be validated and later considered for admission by the Academic Committee of the requested PhD Programme.
Applications that are not complete should be corrected before validation, which does not affect the rest of admission deadlines. Applications corrected after the deadline could only be accepted if there are vacancies in the PhD
Please find below a chart with a summary of the needed documents depending on the access way chosen:
| Vía de acceso al doctorado | DNI (*) | CV (*) | Ver (*) | Aval (*) | Acceso (*) | CalAcc. | CalPer | SET | Homol | Idem | Compl | Parcial |
|---------------------------|---------|--------|---------|----------|------------|---------|-------|-----|-------|------|-------|---------|
| Grado y Máster universitario expedido por una universidad española | x | x | x | x | Título Máster | Calificaciones máster | Calificaciones grado | | Según PD | Según PD | … si la solicita |
| Máster universitario expedido por una universidad extranjera | | | | | Título Máster | Calificaciones máster | Calificaciones grado | | Según PD | Según PD | … si la solicita |
| a) Título extranjero del EEEES que acredita un nivel 7 del Marco Europeo | x | x | x | x | Título Master/Doctor | Calificaciones máster | Calificaciones grado | SET/Certificado universidad | Según PD | Según PD | … si la solicita |
| b) Título ajeno EEEES que acredita acceso al doctorado | x | x | x | x | Título Master/Doctor | Calificaciones máster | Calificaciones grado | Certificado universidad | Según PD | Según PD | … si la solicita |
| c) Título de grado en universidad extranjera y máster en español | x | x | x | x | Título Máster | Calificaciones máster | Calificaciones grado | | Según PD | Según PD | … si la solicita |
| DEA (suficiencia investigadora) | x | x | x | x | Título DEA: Certificado suficiencia investigadora | Calificaciones licenciatura/ingeniería | | Según PD | Según PD | … si la solicita |
| 2 años de evaluación positiva de especialistas en Ciencias de la Salud (ECS) | x | x | x | x | Certificado oficial de la evaluación positiva | Calificaciones grado | | Según PD | Según PD | … si la solicita |
| Doctor | x | x | x | x | Título Doctora | Calificaciones máster/grado/licenciatura/ingeniería, etc. | Calificaciones grado | | Según PD | Según PD | … si la solicita |
| Estudios extranjeros homologados por el Ministerio | x | x | x | x | Título homologado | Calificaciones máster | Calificaciones grado | Credencial homologación | Según PD | Según PD | … si la solicita |
| Ingeniería, licenciatura/Arquitectura (MECES 3) | x | x | x | x | Título Licenciado/Ingeniero/ etc. | Calificaciones licenciatura/ingeniería, etc. | | Según PD | Según PD | … si la solicita |
| Grados de 300 ECTS (MECES 3) | x | x | x | x | Título Grado | Calificaciones grado | | Según PD | Según PD | … si la solicita |
In order to submit the required documents, you must choose the kind of document you want to upload (1), click on **Seleccionar archivo** (2) to select the document from your computer and click on **+ Añadir** (3).
IMPORTANT! You can only and one file on each field of the drop-down menu, that must be under 4 Mb.
As you upload the documents, each one will appear in the lower part of the screen. If you have uploaded a file in the wrong field, you can delete it (4), choose it again from the drop-down menu and upload it again (2,3). After you have uploaded all the documents, click on **Siguiente** (5) and go to the next tab.
Fill out the information requested: Proposal of a personal supervisor “tutor”(1), proposal of a thesis supervisor(s) “director” (2) and line of research of your thesis (3).
Keep in mind the following:
- Proposed personal supervisor and Thesis supervisor(s) must match the ones that signed the Researcher’s confirmation “Aval de dirección” that you provided in the previous screen.
- Your personal supervisor (“tutor”) must be a Professor within the PhD Programme.
- You can add up to two Thesis supervisors (“director/es”). Exceptionally, when the Programme is managed by two or more universities (Co-supervised Thesis), national or not; within an Industry Mention; or when there are academic reasons, you can propose up to three Thesis Supervisors.
- If your Thesis supervisor(s) is not a Professor at UAM, you must fill out their personal data and attach their cv (either merged with the “Aval de Dirección” file or in the field “documentación complementaria”)
- Your thesis must be carried out within one or more lines of research of the requested PhD Programme, as shown in the application form. Please choose the closest one to your research.
IMPORTANT!: Your proposal will be sent to the Academic Comitee of the requested PhD Programme and they will either accept or deny your application, and they will assign you a personal supervisor (“tutor”) and a Thesis supervisor/s (“director/es”), which can be the ones you proposed or other ones.
Proposal of personal supervisor (“tutor”) (1) and Thesis supervisor/s (“director/es”) (2) are quite similar. Click on to open a pop-up window where you have to choose whether the person is a Professor at UAM or not. You must also choose the line of research using the button (3).
If your personal supervisor or your thesis supervisor (1) are Professors at UAM, you can add them using (2), using key words to find them (3) and clicking on (4).
Thesis supervisors from institutions other than UAM must be added filling their personal data (5) (Surname1 Surname2, Name) and their email address.
Click on (6).
You must choose also your research line clicking on (7), you will open a pop-up window with available research lines for your requested PhD Programme. Select the line closest to your research using (8) and click on (9).
Only if your Thesis’ name is final, complete the field called “Descripción”.
Once you are done, click on to get to the next tab.
**“RESUMEN” TAB**
Here you will be able to see a summary of your application, with a list of the uploaded documents. Please check that everything is correct. Once you are sure, click on to get to the last tab, where you will confirm your application.
**“CONFIRMAR SOLICITUD” TAB**
Remember that you must reach this tab in order to successfully apply for a PhD Programme. Here you can print your application or send it via email to the email address you indicated in the tab “Datos personales”.
APPLICATION FOLLOW UP AND MODIFICATION
In order to modify your application or track its progress, you have to enter Sigma again. You will find the option to print (1), modify (2) or consult the application (3).
You can also see the stage of your application (2) which can be:
- **Solicitada por el alumno**: The application was successfully submitted and is pending to be revised by the Administrative Unit at the Doctoral School.
- **Validada por la Administración**: Your application has passed the first part of the procedure (administrative review) and is waiting to be considered by the Academic Committee of the requested Programme.
- **Solicitud Incompleta**: Your application requires additional documents to be valid. We will indicate which documents have to be added or corrected.
- **Denegada por la Administración**: The documents submitted are not valid.
- **Admitida**: Your application has been approved by the Academic Comitee. You will receive an email with the Admission Letter and enrollment instructions. If you do not complete your enrollment within the deadlines provided, it will be considered as a resignation.
- **Concedido**: Your application has been approved and your profile is open for enrollment, following the instructions sent to you via email.
- **Lista de espera**: After being reviewed by the Academic Committee, your application will be accepted as long as there are vacancies available after the enrollment period.
NEW APPLICATION
From the same screen you can start a new application for a different PhD Programme, clicking on (3).
You can submit up to three applications, and you will have to choose their priority order.
IMPORTANT!: Documents uploaded in the latest application will replace the documents uploaded in previous applications, in common fields.
ANNEX I. REGISTRATION FOR NEW STUDENTS
Registration ("Registro") it’s only necessary if you have never been a UAM student and your data is not in our system.
Using the link "Registration" (or clicking on the image on the right) you will get to a window where you must introduce your personal data.
Enter your identification data: nationality, Spanish DNI, NIE or Passport (1)
1.- If you are a Spanish national, please use your DNI number, including the final letter. If you don’t have a DNI, you can’t choose Spanish nationality but using your Passport as an identification number.
2.- If you are not a Spanish national, please use your Passport or your NIE (Residence permit). Numbers must be noted without blank spaces, or middle dash.
Enter your personal information (2).
3.- First Name and Surname (s) must be written with capital first letter.
4.- If your surname has the words ‘de’ ‘la’ ‘del’, they must be written all in lower case after the First Name or the previous surname. (ex.: Pedro Sánchez de la Cuesta will be introduced as [Pedro] [Sánchez de la] [Cuesta])
5.- Accent marks in Spanish names should be included, following the orthographic rules that apply.
6.- Capital letters must have accent marks if needed. (Ángel, Álvaro)
7.- Please don’t use abbreviations or short names (Mª, Fco., Fdez.)
8.- Combined surnames must be separated with a middle dash.
Confirm your contact details (3). Please verify that the information is correct, because this information will be used by UAM for any notification (until you have a student’s email address, after enrollment).
Create your password (4).
- At least 8 characters, at least one capital letter, one lower case letter and one number.
- You can only choose alphanumeric characters (A-Z), (a-z), (0-9) except accent marks or Ñ.
- It must not contain your ID number, name or surname.
Click on (5) and you will open a new tab with the introduced information.
After verifying the information, click on (1)
On the new pop-up window, please note your NIA number (1), which you will need later on to enter the application platform, together with your password.
Click on **Finalizar** (2) to finish your registration.
ANNEX II. RECOVERING YOUR NIA AND/OR PASSWORD
If you have been a student at UAM or you have already registered before but you can't remember your user or password, you should not register again. You can get them back here.
In the pop-up window, please introduce your ID number (Spanish DNI, NIE or Passport) (1) and your birth date (2) and click on (3). Next window will show your NIA (4) and you will be able to create a new password (5) that you must verify (6).
- At least 8 characters, at least one capital letter, one lower case letter and one number.
- You can only choose alphanumeric characters (A-Z), (a-z), (0-9) except accent marks or Ñ.
- It must not contain your ID number, name or surname.
Click on (7) to create your new password (it may take some time to load).
If you are currently a student at UAM (you are enrolled), you must use your user and password to complete your application.
You can submit your application through Sigma > Mis aplicaciones > Accesos > Inscripción Doctorados Oficiales > Nueva preinscripción.
If you can't remember your access information, you can get it back here. Click on "¿He olvidado la contraseña?" (1), write your UAM ID (email@example.com) (3) and click on "Aceptar" to create your new password. |
Thou Art the Potter, I am the clay.
BSA — The Bible Sabbath Association
...the Gentiles besought that these words might be preached to them the next Sabbath.
FEATURES
4 The Potter and the Clay
by Daniel Botkin
17 Quiet, Personal Faith
by Brian Knowles
DEPARTMENTS
3 Editorial—The Priests of the Religion of Evolution
5 Explanation of the 2005 Scholarship Essay Contest
by June Narber, Essay Scholarship Chair
6 The Scholarship Winners and their Essays
15 In the News: Catholic Church Says Portions of the Bible Untrue
18 Meet John Nesterenko, Activist for the Sabbath
21 Sabbath Morning Companion:
What Would the Good Samaritan Do?
by Lenny Cacchio
22 The Church in the World
Executed for Distributing Bibles
23 Notices and Advertisements
Our Cover: “Nay but, O man, who art thou that repliest against God? Shall the thing formed say to him that formed it, ‘Why hast thou made me thus?’ Hath not the potter power over the clay, of the same lump to make one vessel unto honour, and another unto dishonour?”—Romans 9:20-21
(Photo by iStockphoto, www.istockphoto.com)
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The Sabbath Sentinel is published bimonthly by The Bible Sabbath Association, 3316 Alberta Drive, Gillette, WY 82718. Copyright © 2005, by The Bible Sabbath Association. Printed in the U.S.A. All rights reserved. Reproduction in any form without written permission is prohibited. Nonprofit bulk rate postage paid at Rapid City, South Dakota.
Editor: Kenneth Ryland, email@example.com
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Donations are gratefully accepted and are tax deductible in the United States. Those who choose to voluntarily support this international work to promote the Sabbath and proclaim gospel of the kingdom of God are welcomed as contributors.
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The Bible Sabbath Association is dedicated to promote the seventh day Sabbath. As a nonsectarian association for Sabbath-observing Christians, BSA accepts members who acknowledge Jesus Christ (Yahshua the Messiah) as their Savior, believe the Bible to be the Word of the Eternal, and uphold the seventh day Sabbath. BSA takes no official position on other theological issues, and publishes The Sabbath Sentinel as a forum to promote understanding and to share items of interest to Sabbath observing groups and individuals.
Opinions expressed in The Sabbath Sentinel are those of the writers and do not necessarily reflect the opinions of the Editorial Staff or of The Bible Sabbath Association.
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Address Service Requested
The Priests of the Religion of Evolution
Many readers of this column will recognize the names and the issues involved in the science standards debate before the Kansas State Board of Education (BOE). We here in America’s hinterland (or “fly-over country” as some refer to it) are in the middle of a battle over whose god will be served.
Of course, the way this row over science standards for the state’s public schools has been portrayed in the press is very reminiscent of the battle that took place during Elijah’s time. The prophet Elijah summoned Israel to Mount Carmel (1 Kings 18) and told the people that they must choose which god they would serve, the LORD (YHWH) God of Israel or the pagan god Baal. The press corps of Elijah’s day, the 450 priests of Baal (and their political cheerleaders, King Ahab and Queen Jezebel), made a lot of noise about how their god was the true god. They shouted, danced, cut themselves, and, in general, made utter fools of themselves, in order to promote a lie, that Baal was the true god. Elijah, on the other hand, was a political action committee of one. He stood his ground on behalf of the real God, and the power of that real God proved to be on his side. He totally vanquished the priests of Baal. Elijah succeeded for one reason; truth, hence God, was his ally, and the truth proved to be more powerful than the lie of a false god.
So it is with this brouhaha over science standards. Just like the priests of any false god, the clerics of the religion of evolution will go to any length to prevent the truth from being known or even discussed. Like the sacred writings of the followers of some quirky ancient deity, the scrolls of modern secular science are considered holy writ. As such, any thoughtful examination of these “sacred” writings is considered blasphemy. Doubters of the secular gods of evolution are punished, or worse yet, banished to the outer reaches of academia. Research funds are cut and the labs are purged to cleanse the collegiate temples of any vestige of the infidels.
As to the specifics of the Kansas case, there is nothing in the new science standards for the state that even mentions Intelligent Design (ID) or Creationism. During the hearings prior to the writing of the standards, the Kansas state BOE let it be known that they were going to allow a discussion of Intelligent Design at the hearings. Proponents of ID, including a number of scientists, were allowed to speak to the BOE. The board also issued an invitation to evolutionists to present their critique of ID and the presentations made by Intelligent Design advocates. The evolutionists refused to present their case; they issued a call for a general boycott of the meetings. In short, they were never heard from (except for their uninformed and distorted proclamations about the proceedings to the newspapers and television cameras). They felt it was beneath them even to consider the subject of Intelligent Design.
The press coverage of the Kansas state BOE’s attempt to put together new science standards was so perverted and patently false that state BOE chairman, Dr. Steve Abrams, had to issue a press release (that was given scant attention by the secular media) in order to let the public know the truth about the hearings and the new science standards. Dr. Abrams writes:
...The critics also claim that in the scientific community, there is no controversy about evolution. They then proceed to explain that I ought to understand something about this, because surely I can see that over a period of time, over many generations, a pair of dogs will “evolve.” There is a high likelihood that the progeny several generations down the line will not look like the original pair of dogs. And then some of the critics will claim that this proves that all living creatures came from some original set of cells.
Obviously, that is one of the reasons that we tried to further define evolution. We want to differen-
Continued on Page 20
The Potter and the Clay
"Thou Art the Potter, I am the clay."
by Daniel Botkin
"Nay but, O man, who art thou that repliest against God? Shall the thing formed say to him that formed it, 'Why hast thou made me thus?' Hath not the potter power over the clay, of the same lump to make one vessel unto honour, and another unto dishonour?"—Romans 9:20-21
God is likened to a potter, not only in Romans 9 but also in Jeremiah 18. No doubt these passages of Scripture were the inspiration for the lines of a well-known hymn written nearly one hundred years ago: "Thou art the Potter, I am the clay. Mold me and make me after Thy will, while I am waiting, yielded and still."
Clay is a good material to represent man. The very first man, Adam (whose name means "man"), came out of the ground (adamah in Hebrew). Adam was a piece of lifeless clay until God breathed into his nostrils the breath of life. Thus clay reminds us of our humble origins and of the fact that we owe our existence to our Creator.
The frailty of clay vessels reminds us that human life is fragile. When my wife and I did volunteer work on the archeological dig around the Temple Mount in Jerusalem in 1976, we discovered, while sifting through the soil of New Testament times, that the most common archeological finds are usually bits and pieces of broken pottery. The millions of broken clay jars that lie buried in the earth remind us that the ground is not only our origin, it is also the destiny of our fleshly body." In the sweat of thy face shalt thou eat bread, till thou return unto the ground; for out of it wast thou taken: for dust thou art, and unto dust shalt thou return" (Gen. 3:19).
Pliancy is another characteristic that clay shares with man. Clay is flexible; it can be easily manipulated and molded. This can be either good or bad, depending on who is molding and shaping us. We are either going to yield to the pressure of the world, the flesh, and the devil, and be conformed to the world, or we are going to yield to the hand of the Heavenly Potter, and be transformed by the renewing of our minds. There is no such thing as a truly "self-made man." Every man is molded and shaped to some extent by his personal experiences, by others around him, and by God if he yields to the hands of the Heavenly Potter.
When I was an art student at Illinois State University, I took three semesters of ceramics. Learning to be a potter helped me to understand a little bit about how God labors as the Heavenly Potter. The various steps from preparation of the clay to the final firing of the finished piece reveal how God works on us.
To prepare the clay, all foreign objects must be removed from the lump of clay. Even a very small chip of wood or a tiny pebble can ruin the vessel at some point in the process if it is not removed at the very beginning. The foreign object that exists in man is sin, and it must be removed by the Potter. If sin is not removed, it will eventually destroy us. We will be a vessel that is not fit for the Potter's use. Sin is removed by the Potter through the sacrifice of His Son Yeshua, Jesus of Nazareth. Allowing the Potter to take away our sin is the prerequisite to being shaped into a vessel for His use.
The clay is further prepared by kneading. It is very important to get every air bubble out, because an air bubble inside the wall of the vessel can cause it to crack or explode during the firing. My pottery teacher taught us to knead the clay somewhat violently, occasionally throwing it down hard onto the table and punching it repeatedly. Sometimes the Heavenly Potter has to treat us that way in order to prepare us for His handiwork.
A potter has to continue kneading until the particle distribution is homogeneous. The texture of the clay must be consistent throughout. Our Potter kneads us until we have balance and consistency of character. Then we are ready to be put on the Potter's wheel.
When a lump of clay is put on the potter's wheel, it has to be centered. The potter does this by applying pressure to the outside of the lump as it goes round and round in circles. The Heavenly Potter likewise gets
Continued on Page 19
2005 Scholarship Essay Contest
This year’s contest was an exceptionally good one. We had 29 entries representing seven countries and at least twelve different Sabbath-observing fellowships and churches including, Seventh Day Adventist, United Church of God, Living Church of God, Church of God Seventh Day, Yahweh Assembly, and several others.
The judges this year were Bob Boley of Dallas, Texas (a former school teacher and long-time Sabbatarian), and Marsha Basner of Tulsa, Oklahoma (Marsha is a nutritionist, BSA board member and long time Sabbatarian). Both judges read the applications several times and took the necessary time to make sure each applicant met the requirements for the contest. They both did an extremely thorough job and an honest rendering of the rules of the contest. Thanks to both of them for their hard work.
It took a little longer this year to finish the entire judging process, and I would like to talk about this a little bit. When the deadline comes for the entries, they are first sent to Wyoming to Shirley Nickels, our office manager. She then puts them all in a package and sends them Fed Ex to me at my address in North Carolina. Once I receive them, I have to read through each application and enter the applicants’ names, addresses, Sabbath affiliation and check their date of birth to make sure they are within the age limits of the contest. Next, I read each application and confirm the reference letters and make sure the applicant is a Sabbath observer. Then I put all the applications in alphabetical order. At that point, if something is missing from an application, I give the applicant a courtesy call to see whether it is something that could be arriving later or was misplaced. This year, I did not give courtesy calls if one of the directions had deliberately been ignored, such as, including a typed copy of the essay along with the written copy. I believe one must be able to follow basic directions in order to be successful in life. However, if I couldn’t read their birth date or mailing address or something of that nature, I called the applicant to confirm the information I needed. I noted on my main spreadsheet what information was missing and whether it would require a deduction in points. Application items resulting in point deductions this year 1) two typed and handwritten essays 2) two reference letters 3) financial need statement 4) a photo. This is what I call the “precopy check point” which took me this year about ten hours to complete.
Next came the copying stage. I copied them personally which resulted in over 1500 copies being made as each judge needed a copy of the essays, the reference letters and the application. Due to a malfunction in the copy machine, I ended up copying them between two different copying places over three days. Next, I packaged them and sent them to each judge. This was before the Feast of Tabernacles that both of our judges observed, so they got them just slightly before the Feast.
After all the material was copied and sent to the judges, they started the process of reading, rereading, evaluating and judging of the application. Each judge prayed about this endeavor before beginning and took as much time as they needed to read through all of the material. First, they double-checked the spreadsheet I sent them which contained all of the data about the applicant. They then made sure the applications were complete. They then began the process of scoring the essays based on the 100 point scoring system I devised and reported their scores back to me. There were a couple of problems about the scoring because this year we took financial need into consideration, so the judges had to go back over and evaluate the applicants based on the financial data provided and award points according to this. Finally, the judging was complete and the scores were sent back to me for a final check and averaging the top three scores.
This year we experienced several delays in reaching a final tally due to health problems and serious computer problems, so I apologize for the delay. This was frustrating for all of us, and I’m sure it was for the applicants also.
All of us involved in the scholarship program are volunteers who are involved in work outside our duties to the BSA scholarship contest. I am very pleased with the job the judges did this year given the number of applicants and the hundreds of volunteer hours required to complete this task. We took our time in order to insure that the scoring was 100 percent fair.
Finally, we are giving away much larger scholarships this year. The prize for first place is $1500, second place is $1000, and third place is $500. Because of the larger prizes this year and the fact that donations were really down most of 2005, the BSA Scholarship Essay Contest is going to take one year off. During 2006 we will be trying to increase donations to the scholarship fund so that we can offer Sabbatarian college students enough prize money to make it worth their while to enter our contest in 2007.
I have been blessed in my working with the scholarship program the last six or so years, and I look forward to continuing with the program in the future. Please continue to support our efforts with your prayers and donations, and by helping us spread the word as this is a completely 100 percent volunteer operation. We need 1) new judges each year from the different sectors of the Sabbatarian community, 2) people to help us to promote both the BSA and the scholarship program, 3) fundraising and donations so that we can have the money for the scholarships, and 4) publicity among all the Sabbath-keeping groups in their magazines, newspapers, youth camps, church groups and websites to promote the scholarship program and bring more awareness of it and the work of BSA at large.
Thank you all for your support, prayers and dedication to this very important part of the work of BSA. Our young people are the future of the truth of the Sabbath and our faith. Help us support them through this scholarship effort.
June Narber
Essay Scholarship Chair of BSA
Winners of the 2005 BSA Scholarship Essay Contest
We are very pleased to announce the winners of our 2005 contest. The winners are as follows:
First Place: Miss Tinenenji Banda of South Africa
Second Place: Miss Leslie Schwartz of California
Third Place: Miss Ashley Drakes of Mississippi
Each contestant was required to answer two of three questions in essay form. The contestant had a choice between two questions for the first essay. The second essay was to answer a mandatory question. The choices for Essay No. 1 were,
Choice A: How do you think that attending a university or college will affect your ability and/or desire to keep the Sabbath? What goals have you set for yourself in order to continue keeping the Sabbath during your college years and beyond?
Choice B: How do you think we can reach the younger generation with the Sabbath truth? Give some witness tips for Sabbath keeping youth who want to tell other youth about the Sabbath truth. How can they go about it? What should they do and what should they not do?
Mandatory Question: Refute Sunday keeping using the Bible supported with your own wording as to why it is wrong to observe Sunday according to God’s law. Refute it based upon one of the major excuses Sunday keepers use to keep Sunday (for example: The Lord rose on Sunday morning; the Sabbath was for the Jews and the Old Covenant; Christ nailed the Sabbath to the cross, etc.).
First Place winner, Tinenenji Banda of Cape Town, South Africa, is a 22-year-old university student in the University of Cape Town Law School and a member of the United Church of God (UCGIA). Tinenenji keeps a very active schedule. She represented her school in the Model United Nations competition in Kenya and has been a representative of her university in the All Africa Annual Moot Court competition in Tanzania. She has worked as a pro bono legal aid advisor in the university legal aid clinic assisting indigent refugees, and has served as an aid at the Italian Orthopaedic Hospital in her native Zambia. Tinenenji is currently employed part time as a writing consultant in the Law Faculties Writing Center in the Cape Town Law School. In addition to these and many other activities, Tinenenji finds time to be a member of her church choir.
Essays
Choice A
As I am already in University and indeed in the final stages of my degree I can answer this question with the benefit of hindsight.
Personally, going to University posed a plethora of interesting challenges for my Sabbath observance. Away from the protective confines of home and the watchful eyes of parental authority, Sabbath observance for me necessitated a paradigm shift, one that involved moving away from Sabbath keeping because my parent’s “commanded it,” to keeping the Sabbath out of my own will, volition and desire to please GOD. Two specific challenges come to mind. The first of course was (and is) the incredible workload that inevitably comes with doing a law degree; Abstaining from schoolwork for the 24-hour period while fellow students were making headway, and not being able to attend tutorials and seminars scheduled for Saturday proved to be a test. Secondly, on the social front, being a fresher I was keen to forge friendships and ‘fit in’ during the first year of my university experience and on the whole, most socializing activities would happen on Friday night or Saturdays. It soon became clear that if I was to
hold fast to my faith and convictions I would have to set clear goals and standards that would enable me to continue with my Sabbath observance.
The goals I set for myself were as follows; from the onset I resolved to tell any potential friends or associates of my convictions so that they would respect my Sabbath observance and not pressure me to break the holy day. I also resolved to work efficiently during the week so I could afford to take out the 24 hours of commanded Sabbath rest. I resolved to get in touch with a local Sabbath keeping church to ensure that I keep the Hebrews 10:25 exhortation not to forsake meeting together with brethren of like mind. Most importantly I set the goal that I would be respectful but assertive with the university authorities concerning my beliefs well in advance so that if I had to write any tests on the Sabbath or attend any tutorials or teaching sessions an alternative arrangement could be made.
Beyond University, my goals to ensure that I continue to keep the Sabbath are similar. When I enter the working sphere I plan to inform my employer that I can diligently work 6 days of the week but the 7th day belongs to my Lord. I have also set the goal to continue regularly attending Sabbath services with my local congregation. Also, I have set the all-important goal not to be “unequally yoked” with an unbeliever as this may weaken my resolve to keep the seventh day Sabbath. I am praying that God will provide a mate in due season that will of his own accord respect and observe the Sabbath which I am convinced is an immutable and sacrosanct commandment of the living GOD.
**Mandatory Question**
To debunk Sunday keeping I am going to use the argument often used in mainstream Christianity circles, namely that the Sabbath is of the Old covenant, of the Jews and therefore obsolete and irrelevant for the Modern Day Christian.
As a point of departure the words of Jesus Christ himself (the initiator of the New Covenant) recorded in Matthew 5:18 are opposite. There, he unequivocally asserts that he did not come to destroy the law or the prophets (as he probably foresaw that some would in future contend that he did) but that “one jot or one title [would] by no means pass from the law” until all was fulfilled. Indeed Jesus Christ went on to say that whatever man would break the least of the commandments and teach others to do so, would be called least in the Kingdom of Heaven. This passage unambiguously states that The Sabbath (it is one of the commandments and part of the law) was not done away with. It is part and parcel of the new covenant and needs to be kept and observed as scrupulously as the other commands of GOD.
To justify Sunday keeping and dismiss the seventh-day Sabbath, the writings of the apostle Paul in Romans 14:5-6 where he states that “One person esteems one day above another; another esteems every day alike... He who observes the day, observes it to the Lord; and he who does not observe the day, to the Lord he does not observe it” are often used to suggest that Paul was insinuating that any day of worship is acceptable as long as the worship is “to the Lord.” I submit that this a gross misunderstanding of Paul’s writings; as the apostle Peter stated in his epistle, the writings of Paul are hard to understand and some men twist them to their own destruction. Nowhere in this passage does Paul indicate that the reference to days is to the seventh day Sabbath. Indeed it is Paul himself who stated that “the law is holy, and the commandment holy and just and good” (Romans 7:12).
The Sabbath is not only for the Jews. As Jesus said, the Sabbath was made for man (all men). Indeed, In Acts it is clearly recorded that the gentiles the so-called “New Testament Christians” were keeping the Sabbath. Acts 13:42 says this, “the Gentiles begged that these words be preached to them next Sabbath.” If the Sabbath were an Old Covenant requirement, irrelevant to the new covenant gentiles, then they would not have been keeping the Sabbath. They would not have waited for the words to be preached next Sabbath but would have advocated for any other day … perhaps a sooner day!
If there is any doubt as to whether the Sabbath is relevant, it is my belief that the book of Hebrews should lay all such doubt to rest. The author of Hebrews in chapter 4:3-11 emphatically states that “there remains then a Sabbath rest for the people of GOD.” Sunday keeping is not biblical and is a tradition of man not GOD. The Sabbath is as relevant today as it was at creation, at Sinai, in Jesus’ time and in the time of the Apostles. We must all aim to keep it vigilantly as “blessed are those who do his commandments, that they may have the right to the tree of life, and may enter through the gates into the city” (Revelation 22:14). Let us therefore as the book of Hebrews exhorts us “make every effort to enter that rest.”
Second Place winner, Leslie Schwartz of Fremont, California, is a 21-year-old university student at the University of California, Los Angeles (UCLA), and a member of the United Church of God. Some of Leslie’s activities have included performing arts, marching band, orchestra, chamber chorale, broadcast journalist for the UCLA television station, and Mortar Board Senior Honors Society. Leslie has also worked as a volunteer in peer counseling, Washington Hospital, UCLA Office of Students with Disabilities, and the UCLA Infant Development Program. In her church Leslie has often performed her music for church services and special events. She has been a Bible School instructor, camp counselor, and an article writer for her denomination’s magazines.
Driver’s licence photo
Essays
Choice A
I have grown up my entire life observing the seventh day Sabbath from Friday sunset to Saturday sunset as commanded and exemplified in the Bible. At a very young age, I understood that this time was special and very different from the rest of the week. My mom always cooked a nicer dinner and we lit candles and turned down the lights as classical music played softly in the background. My parents taught my little sister and me that this was “God’s time” that we devote back to Him through our rest and relaxation on the Sabbath and attending Sabbath services to learn more about Him and His ways. Yet as I grew into a teenager and entered junior high, I suddenly began to feel left out when my parents told me I couldn’t go to birthday parties, dances, or other outings on Friday night because it was the Sabbath. I didn’t understand why they were being so mean, and I became upset when I had to stay home when all my friends were out having fun. The Sabbath no longer held the magic it used to, and I became frustrated with all its “restrictions” and “limitations” on my social life. However, I still continued to go to services and teach Sabbath school because I appreciated the godly knowledge I received and, in turn, could teach that to the younger generation.
When I came to UCLA as a freshman almost three years ago, so much of my life changed and I had to quickly adapt to a new environment as I shared a tiny dorm room with two other girls, neither of which were religious or had any understanding of the Sabbath. In addition to learning how to do my own laundry and pay my credit card bills each month, I was now solely responsible for the manner in which I decided to keep the Sabbath and had to find a way to get to church services each week because I didn’t have a car in Los Angeles. When I tried to explain to my roommates that I couldn’t go out with them on Friday nights to clubs or frat parties, or even downtown to grab dinner and a movie, they just didn’t seem to understand. To them, the Sabbath was absurd. I grew confused and frustrated because they couldn’t understand why I kept the Sabbath, when it was something I valued so much. They even brought loud friends back to our room after they came home from parties, ignoring that I was trying to do Bible study and hibernate from the world for that 24 hour period.
Instead of conforming to the norms of college and sacrificing my values and religious convictions, I adapted and changed my familiar routine in order to keep the Sabbath in an acceptable manner. I began to eat dinner earlier to avoid the crowded dining halls, and even brought my Bible with me to read during the meal or went to a local coffee shop to do Bible study. It was in these quiet moments that I first began to really take ownership of my Sabbath observance, realizing that I was no longer keeping it for my parent’s approval so I could be considered “the good kid.” In college, no one is there to check up on your actions, enforce a curfew, or make sure you continue to keep the Sabbath in the right way. It is up to the individual to make the personal decisions about the best way to live a life away from home and choose how to keep the Sabbath and follow God in this new and challenging environment. During this transitional period, I began to analyze my true motivations behind keeping the Sabbath, and grew into a much more introspective, disciplined, and successful person as a result.
As I continued to keep the Sabbath in college, each year seemed to get easier. During my second year at UCLA, I got to know other seventh day Sabbath keepers and we began to get together on Friday nights to go to dinner and do Bible study in small groups. Now, in my third year
as a Resident Assistant (RA), I have my own room where I can relax without being disturbed on the Sabbath. I make a nice cup of tea, turn on some jazz or worship music, and tune out the world. I’ve learned to schedule early Friday classes so I can finish my work long before the sun sets to prepare for the Sabbath in a relaxed way, instead of rushing to get everything done by sunset. Additionally, as an RA I have been able to answer many deep questions about religion and share my faith with residents on my floor who show an interest in learning more about why I keep the Sabbath. This year, I also started a small girls’ study group that gets together weekly to talk about how to practically apply the Bible to our modern lives, as well as share our struggles, weaknesses, and successes with each other to motivate and encourage other Christians. These girls have become my closest friends through the times we’ve laughed, cried, but most of all, supported each other as we grow closer to God. All of these experiences have helped me strengthen my faith while keeping the Sabbath holy as God commands.
Moreover, I learned that while living on campus with new roommates can present challenges, it also provides numerous growth opportunities and experiences to be a “light” in a community filled with so much darkness (Matthew 5:14; Luke 11:35-36; Ephesians 5:8). While many students are out partying on Friday nights, I had the amazing opportunity to have deep religious discussions with other students on my floor and in my hall who were interested in why I was so “different.” From these talks, I was delighted to find that when you share your faith in an open, honest, and appropriate way, many people are receptive to listening to what you have to say and even respect you more as a result. Some of my closest friendships in college were formed from our late night Sabbath talks. I also have tried different ways of practically applying my Bible study in order to keep me actively involved and interested in what I’m learning. I began to write articles for two of our international church publications, *The Good News* and *Vertical Thought*, a new magazine published for the teenage audience. Additionally, I have started to use my Bible study notes to write a book about how to live a godly life and develop a growing faith in God as a young, Christian female. All of these endeavors help to keep me spiritually strong and continue to motivate me to reach out to others and share my faith. Many of my close friends and even people I never met have complemented my charisma and enthusiasm for my religious beliefs, especially how much I love the Sabbath.
While I used to feel “left out” of the fun in high school when I couldn’t go to Friday night dances or football games, I now realize what an awesome gift the Sabbath has become in my new college life. After working almost non-stop for six days during the week, going to class after class, balancing my three on campus jobs, and trying to squeeze in time for a social life, I know that when the sun sets on Fridays, I have a full 24 hours to relax, close my books, and focus on God, thanking Him for the wonderful blessings and opportunities He has given to me in my life. Instead of working straight through the weekend like many of my friends, I finally felt lucky and privileged to keep the Sabbath as it became the “delight” of my week (Isaiah 58:13). And many of my friends still marvel at how much more productive I am, even though I work a whole day less than them! I just smile, knowing that God has blessed my obedience by allowing me to use the time He has given me more efficiently.
I am no longer a “closet” Sabbath keeper. Rather, I am proud that I know God’s truth and can live a “set apart” life in such a chaotic world on a college campus. I no longer feel burdened when I “can’t” go out, but instead rejoice in keeping the Sabbath. I am proud of the deepening faith God has helped me develop over these past few years in college. I figure that with all the time God gives us to live our lives, the very least we can do is give one seventh of it back to Him, resting and honoring Him on His Sabbath day as He commanded. I have seen what living a lifestyle consumed by the world and its temporary pleasures has brought to so many of my friends at college, and it isn’t anything compared to the godly blessings I continually receive.
When talking to high school students who are concerned about keeping the Sabbath in college, I always encourage them to seek God’s advice and continually pray for guidance and direction when considering what decisions to make. Also, finding other college students who keep the Sabbath nearby will help keep you motivated as you remain faithful together. Above all, I encourage college Sabbath keepers to not become frustrated with the ways of this world when everyone and everything seems to be against you. God knew it would be this way and told us that the world would hate us and be against us because we are different (John 15:18). Think of how the world hated Jesus when He was on the earth; yet Jesus told us that He has “overcome the world” and sets an example for us to follow (John 7:7, John 16:33). Our present suffering is far less than what Jesus suffered while on earth, and can teach us important lessons in patience,
humility, and godly character through the trials we endure. We should use His example and not love the ways of the world (1 John 2:15-17) or try to become part of it, but rather “be transformed by the renewing of our minds” (Romans 12:2) as we follow God and the wonderful things He has laid before us (Luke 12:34). And remember that we are not alone in our trials because we always have God and each other to lean on for strength and encouragement, and have the ability to rise above the wrong ways we see exemplified in the world and persevere (Matthew 19:26, Ephesians 6:10, Philippians 4:13). Remember that God will not challenge us beyond what He knows we can handle (1 Corinthians 10:13) and we always have the wonderful opportunity to learn from the trials we are handed and become stronger lights to the world as Christians (Matthew 5:14, Romans 5:3-4, Philippians 2:15). We will be rewarded for following God’s ways and laws at the return of Jesus Christ (Proverbs 3:5, Matthew 16:27, Philippians 4:8), even if the world does not understand or accept us now. This is the hope that I hold as I live my daily life striving to become a better person and Christian.
As my younger sister enters college this upcoming fall, I know she, too, will have to make some tough decisions regarding her religious convictions and how she chooses to keep the Sabbath away from home. I hope that through sharing my personal experiences and how I have made the Sabbath work so wonderfully in my college life, not only as a day of rest, but also as a time to build a closer relationship with God, I will be able to motivate and encourage other peers and my sister who are struggling to keep the Sabbath in college, showing them that it is possible and even enjoyable! Now, every time I watch the sun sink below the horizon on Friday night I am reminded of God’s glory as the world seems to stop around me as the sky becomes illuminated in a sunset of beautiful colors, reflecting an earthly depiction of God’s magnificent Sabbath blessing. To me, there is no greater joy or promise.
**Mandatory Question:**
*A Classroom Analogy — Does It Really Matter What We Do?*
Imagine you are a student in an introductory English classroom your freshman year of college. It’s the first day of class and your professor passes out the syllabus for the course that outlines all of your assignments, including the major term paper you will have to complete this semester. The instructions say to write a 10-12 page analytical research paper on any of the American novels you will be reading in the course. It has to be size 12 font, Times New Romans, double spaced, one-inch margins, with a title page and footnotes and is due by the midterm date, in exactly five weeks. You scratch you head, thinking about how hard this assignment is going to be. You’ve never written a paper this long, and have never had so many specific guidelines to follow. A class that seemed so easy now seems impossible, and you leave the lecture hall feeling defeated.
Then a brilliant idea dawns on you! What if you decided to do a completely different assignment that would take less time and be so much easier? You could choose a book you already read, and write a five page paper (without doing research of course) and turn it in by the last day of class. That seems so much better, and besides, professors don’t *actually* read these long papers anyway, do they? That would take forever! Without considering your idea much further, you decide that this is the best thing to do and begin to create your own assignment instead of following your professor’s instructions. The date the paper is due comes and goes, and by the end of the course you proudly hand in your five page paper. Your professor looks at you sadly, shakes his head, and tells you that you’ve failed his course. You didn’t follow the instructions he gave you, and you didn’t pass. The reality of college hits you as you leave the lecture hall, feeling even more defeated than before.
*Choosing to Obey — The Ultimate Spiritual Assignment*
Most anyone would read the above description and wonder what the ignorant student must have been thinking that whole time; it’s common knowledge among students that if you fail to do an assignment correctly or follow the instructions you set yourself up for failure. And while failing a college course might seem catastrophic to some students today, failing God by not obeying and following Him has even harsher consequences. This classroom analogy directly relates to our spirituality, and is especially relevant to how Christians today choose to follow God and keep His commandments. Like the English professor and his detailed syllabus, God has given us specific instructions on how and when to worship Him through what is written in His Holy Bible; it is up to us to choose to obey and follow Him or choose to disobey Him and do our own thing, following the world.
When God gave us His commandments and Law (Exodus 20:1-17), which we are instructed to keep throughout our generations (Leviticus 23:14, 21, 31, 43), He did not want or expect us to add to or take away from His instructions (Revelation 22:18-19). So when God tells us when and how He wants to be worshipped, He expects us to follow Him, just as the English professor expects a paper that meets all his requirements. God’s Law means so much to Him that He sacrificed His own son, Jesus Christ, to die for our sins, the sins of the world, and the sins of generations to come (John 3:16-17). If God’s Law could be altered, changed, or even deleted from our religious practices, why would Jesus have had to die for an imperfect or changeable Law? The main point is that He wouldn’t and didn’t. The Law was established to be kept forever — as a lifestyle that isn’t changed by the times, but is practically applicable at all times.
The Purpose of God’s Law — Making Sense of the Sabbath
Christ came to earth originally to fulfill the Law (Matthew 5:17), not to change it or do away with it like much of the world has done today. However, today so many Christians feel that He has “done away” with the Sabbath and the Old Covenant, and use this excuse to justify their Sunday observance. Instead of following God’s direct instructions regarding when and how to keep the Sabbath, many Christians decide to set their own standards for worshiping God. They do not question the traditional teaching of a Sunday service even when Jesus kept a seventh day Sabbath while on earth, setting the example for all of His followers on earth then and for generations to come. Rather, a majority of contemporary Christians try and uphold the false teaching of a Sunday observance through their misinterpretation of doctrine or lack of Biblical knowledge altogether.
It is important to examine the original intent of the Sabbath when it was first created. When God first instituted the Sabbath at the time of creation (Genesis 2:2-3), He sanctified it as a holy time to be kept from “evening to evening” — Friday night at sunset to Saturday night at sunset (Leviticus 23:32). The Sabbath is also a commanded weekly observance (Exodus 20:8-10), set apart from the rest of the week as a time of “solemn rest” and a “holy convocation” on which no work is to be done (Leviticus 23:3). God first established the Law and the Old Covenant with the Israelites (Exodus 19:5) and later introduced the New Covenant (Jeremiah 31:31) when Jesus came to earth to preach the gospel of the Kingdom of God and sacrifice Himself for the remission of sins (Matthew 26:28; Mark 14:24). Under the New Covenant, God’s Law and Sabbath observance did not change (Matthew 5:17), and the following discussion touches upon historical evidence and scriptural analysis proving that the observance of a seventh day Sabbath is still true for believers today who seek to follow God and the example Jesus Christ left for believers.
The Origin of Sunday Observance — What Does the Bible Say?
Bluntly stated, it is impossible to prove Sunday observance through the Bible; when met with opposition on this issue, I ask Sunday keepers to show me where in the Bible God changed the Sabbath day, yet no one has taken me up on the challenge. Not surprisingly, it wasn’t God who instituted a Sunday observance, but men in powerful positions throughout history who changed the day of worship through royal edicts and ordinances as a political move. After the New Testament was written, early followers of Christ continued to keep a Saturday Sabbath, modeling their worship after the Holy Days Jesus kept while on earth. It was not until 135 A.D. that references to Sunday as a day of Christian worship were found in the writing of Barnabas, appearing first during the reign of the Emperor Hadrian (117-135 A.D.).
At this time throughout the Roman Empire, Jews and early Christians were persecuted for keeping the Sabbath, as Hadrian prohibited Judaism and any similar religious practices. These oppressive measures influenced many early Sabbath keeping Christians in Rome to switch to Sunday worship, which was observed as a veneration of the sun (or “Son” of God as they said). The observance of Sunday instead of a Saturday Sabbath continued through the Protestant Reformation and became commonplace in both Roman Catholic and Protestant Christian denominations, who later justified Sunday worship as honoring Christ’s resurrection. Yet, through all of these historical changes over thousands of years, there is still no biblical support for changing the Sabbath observance from Saturday to Sunday.
It is also important to note that Jesus and His disciples kept the Sabbath and the biblical Holy Days (Leviticus 23:1-44) while they were on earth, setting an example for what He expects and when and how He wanted and still wants to be worshiped. This did not change after His death and resurrection,
and should not change today. If God wanted to change the Sabbath or any of His laws, these changes should be clearly reflected in Scripture, rather than dictated by Roman authorities or sustained through traditions kept by contemporary church organizations.
*The Writings of Paul — Why the Sabbath Is Still Kept Today*
Paul is one of the most well-known Disciples of Christ. In his New Testament writings, he further upholds the Sabbath as one of God’s commandments. In Romans he says that “the law is holy, and the commandment holy and just and good” (Romans 7:12), and also states, “For I delight in the law of God according to the inward man” (Romans 7:22). These scriptures show how important keeping God’s commandments was to Paul, including honoring the Sabbath day.
In the New Testament, Paul writes on many topics to shed light on the proper way to obey and follow God. However, many contemporary Christians have misinterpreted his words in order to justify a Sunday observance. For example, some Christians today think keeping the Sabbath or the many laws commanded in the Bible is obsolete if they believe in Jesus in faith and are “saved.” However, Paul refutes this version of shallow faith without works when he says the law is established through faith (Romans 3:31). Paul tells all believers that “for not the hearers of the law are just in the sight of God, but the doers of the law will be justified” (Romans 2:13), showing how obedience is an important and essential component to faith. Therefore, it is impossible to follow God in the way He intended and not just have faith without keeping His commandments, including the Sabbath.
Furthermore, some argue that Paul contradicts himself later in Romans when he writes, “One person esteems one day above another; another esteems every day alike. Let each be fully convinced in his own mind” (Romans 14:5). Many Christians believe that in this verse Paul abolishes keeping one day over another, justifying a Sunday observance. Yet upon closer scriptural analysis, the entire passage of Romans 14 says nothing about the Sabbath specifically; by reading the context around verse 5, we see that Paul is discussing eating meat and vegetarianism (verses 2-3, 6), and setting apart days for feasting and fasting, not for Sabbath observance or worship. Also, by comparing this passage with other passages on the same topic, such as 1 Corinthians 8, we can see that the word “unclean” in Romans 14:14 is referring to meat sacrificed to idols that is made unclean by this practice.
In another passage, Paul writes, “Therefore let no one judge you in food or in drink, or regarding a festival or a new moon or sabbaths, which are a shadow of things to come, but the substance is of Christ” (Colossians 2:16-17). Like Romans 14:5, some have interpreted this verse to mean that what day you keep is unimportant as long as you are worshiping God; yet when you think about this faulty logic, the interpretation makes no sense at all! Why would God specifically set apart and sanctify a certain day in His honor if it was that easy to abolish? Likewise, this was not Paul’s intent either; he only said, “let no one judge you,” which is very different from saying these practices are unnecessary or obsolete. Based on this close analysis of these two passages, and the fact that Paul would not contradict himself regarding keeping God’s commandments as a disciple of Christ (compare to Romans 7:12-22); it seems rather unlikely and impractical to believe that Paul would disregard or devalue suggestions or options for following Him — they are a binding contract that is sealed through our ongoing obedience to His way.
When God created the world and humankind, He thought of everything. He knew we would find ways to become so busy and overworked that we would need a time to relax and focus on Him and the blessings He has brought to us in our lives. The Sabbath gives us this time every week. He created the Sabbath for us, placing Jesus as the Lord of the Sabbath (Mark 2:27-28). We show our love to God by keeping His commandments that are not burdensome and should not be viewed as restrictions on our life (John 14:15. 21; 1 John 5:3). Rather, His commandments were designed to benefit our lives, showing us how to live life to the best of our ability, and becoming a true “delight” to keep in God’s honor (Isaiah 58:13). The Sabbath was designed for this very purpose. Honoring and observing the Sabbath in the manner by which God designed is a primary way to show our love back to God, growing closer to Him through our obedience and desire to form a stronger relationship built upon His spiritual truths (1 John 2:3). And obedience to God is a choice we have to continue to make in order to strengthen our faith and deepen our spiritual relationship throughout our lives.
Third Place winner is Ashley Drakes. Ashley is from Greenville, Mississippi, and is a member of the Worldwide Church of God. Ashley is 20 years old and is studying Political Science at Tougaloo College in Tougaloo, Mississippi. After graduation she intends either to go on to law school or to pursue a master’s degree in public policy so that she can help the underprivileged. Ashley is a Presidential Scholar and a McNair Scholar. She has been a youth counselor at camp, a childcare volunteer, and has worked with the homeless.
Driver’s licence photo
Essays
Choice A
Having attended college for three years, I have direct experience with the effect college has on Sabbath-keeping. My college attendance has tremendously affected my desire and ability to observe the Sabbath like I should. I can honestly say that handling the issue on my own has forced me to make decisions and choices that I was not used to making. Prior to going to college, keeping the Sabbath was second nature. It was part of a family tradition that I had been accustomed to every since I could remember. My family and I would come home from work and school on Friday evenings, have dinner together at sundown, and sit and have family discussion or Bible study for the rest of the night. On Saturday mornings, we would all attend church, and relax at home until sunset. That tradition was all I knew. Naturally, sometimes my siblings and I wanted to go to Friday night dances and football games, but we understood that in our household keeping the Sabbath was not an option and we accepted the fact that we had to do as our parents instructed. All in all, we appreciated the Sabbath and understood that it was a day of rest and worship.
When I started to attend college, however, I was introduced to an environment outside of my comfort zone. I no longer had my parents to advise or reprimand me if I chose not to keep the Sabbath. Not only was I confronted with the usual societal challenges of not succumbing to the pressuring media, drugs, alcohol, and other negative worldly influences; but I was also faced with the issue of observing God’s holy Sabbath as I know I should or yielding to the enticements of the world. Pressure from friends, the innate desire to be accepted, and the longing to have fun can be overwhelming. So much pressure can weigh heavily on even the most disciplined person’s shoulders, however, what I came to learn was that keeping the Sabbath should not be one of those burdens. The Sabbath is a day of rest and worship, not a burden or hindrance. I cope with the pressure of peers and other influences by praying to God for strength and determination to have the desire to do what is right and have the willpower to do it. By praying and holding steadfast to my beliefs, I have managed to continue keeping the Sabbath. I also realized that surrounding myself with friends and peers who also keep the Sabbath makes keeping the Sabbath while in college easier.
In my journey towards self-discovery, I have realized that keeping the seventh day is part of who I am. Of course, there have been some instances where I have not observed the Sabbath like I should, but I have had to repent and ask God for forgiveness for those times. All in all, I have come to understand that God does not compromise in protecting and blessing me, so I should not compromise in observing His holy day.
Mandatory Essay Question
The most common argument I have encountered with in regard to my Sabbath keeping is that the seventh-day Sabbath is done away with and that it is was designed for the Israelites of the Old Covenant. It is clearly evident that the Bible’s Old Testament establishes the seventh day as God’s Sabbath. In Genesis 2:2-3, God blessed the Sabbath and sanctified the day. Deuteronomy goes on to explain that the seventh day is a Sabbath to the Lord God and that on that day, no work should be done.
The New Testament doctrine continues to support the observance of God’s holy days, including the Sabbath. In Mark 2, when Jesus’ Sabbath activities were questioned by the Pharisees, Christ proclaimed that He was the Lord of the Sabbath and that the Sabbath was made for man
and not man for the Sabbath. If the Sabbath was strictly for the Jews and the Old Covenant, why was Christ keeping it? The New Testament clearly establishes that the apostles kept the Sabbath (Acts 13:14) as well as the Gentiles (Acts 13:42, 18:4). What most people fail to realize is that Christ did not come to destroy the Sabbath or make it obsolete. The purpose of His coming was to fulfill God’s law spiritually and show His followers how to properly observe the Sabbath and all of God’s holy days.
Both the Old and New Testament doctrines explicitly clarify that God’s followers should keep His commandments and refrain from pagan traditions. It is evident in several sources of reputable research that Sunday-observance was enforced by Emperor Constantine and has pagan origins dating back to Nimrod and his mother Semiramis. Sunday-worship derived as a day of sun worship and the worship of pagan gods. It later evolved into a day modern-day Christians have come to accept as the Lord God’s day of worship. Babylonian history clearly documents the pagan origins and the Bible clearly instructs us to refrain from keeping pagan days. The Bible gives detailed instruction as to what day to keep holy and how to keep it holy. Christ was not above keeping God’s seventh-day Sabbath and neither are we. It is our responsibility as God-fearing Christians to not succumb to worldly traditions that are clearly forbidden by God and realize that keeping Sunday as a day of worship is in violation of God’s law and is actually not representative of worshipping Him at all, but a day of giving commemoration to pagan gods. The seventh-day Sabbath is binding in both the Old and New Covenants and should thereby be observed as God’s holy day.
Catholic Bishops of the United Kingdom rate the following biblical passages as untrue, followed by several that they consider to be true.
**UNTRUE**
Genesis 2:21-22 — “So the Lord God caused a deep sleep to fall upon the man, and while he slept he took one of his ribs and closed up its place with flesh; and the rib which the Lord God had taken from the man he made into a woman and brought her to the man.”
Genesis 3:16 — “God said to the woman [after she was beguiled by the serpent]: ‘I will greatly multiply your pain in childbearing; in pain you shall bring forth children, yet your desire shall be for your husband, and he shall rule over you.’”
Matthew 27:25 — The words of the crowd: “His blood be on us and on our children.”
Revelation 19:20 — “And the beast was captured, and with it the false prophet who in its presence had worked the signs by which he deceived those who had received the mark of the beast and those who worshipped its image. These two were thrown alive into the lake of fire that burns with brimstone.”
**TRUE**
Exodus 3:14 — God reveals himself to Moses as: “I am who I am.”
Leviticus 26:12 — “I will be your God, and you shall be my people.”
Exodus 20:1-17 — The Ten Commandments
Matthew 5:7 — The Sermon on the Mount
Mark 8:29 — Peter declares Jesus to be the Christ
Luke 1 — The Virgin Birth
John 20:28 — Proof of bodily resurrection
Catholic Church Says Portions of the Bible Untrue
The *Times Online* reports from the U.K. that the hierarchy of the Roman Catholic Church in Britain has published a teaching document instructing Catholics that some parts of the Bible are not actually true.
The bishops warn their five million parishioners and anyone who desires to study of the Scripture, that they must not expect “total accuracy” from the Bible.
“We should not expect to find in Scripture full scientific accuracy or complete historical precision,” they say in *The Gift of Scripture*.
The document is timely, coming as it does amid the rise of the religious Right, in particular in the US.
Some Christians want a literal interpretation of the story of creation, as told in Genesis, taught alongside Darwin’s theory of evolution in schools, believing “intelligent design” to be an equally plausible theory of how the world began.
As many begin to take a serious look at teachings on Intelligent Design and challenges to Darwin’s theory, the Catholic bishops assert that the first 11 chapters of Genesis present two different and at times conflicting stories of creation, and, therefore, cannot be historical; rather, these chapters may contain “historical traces.”
The bishops caution that the Bible must be approached in the knowledge that it is “God’s word expressed in human language” and that we give proper acknowledgement both to the word of God and its “human dimensions.” They insist that the gospel must be communicated in ways “appropriate to changing times, intelligible and attractive to our contemporaries.” Although they believe that the Bible is true in passages relating to human salvation, they say, “We should not expect total accuracy from the Bible in other, secular matters.”
The bishops condemn fundamentalism for its “intransigent intolerance” and warn of “significant dangers” involved in a fundamentalist approach. “Such an approach is dangerous, for example, when people of one nation or group see in the Bible a mandate for their own superiority, and even consider themselves permitted by the Bible to use violence against others.”
In giving examples of passages that should not be taken literally, the bishops mention the early chapters of Genesis. They say that these chapters are comparable to early creation legends from other cultures, especially those from the ancient East. They contend that the main purpose of these chapters was to offer religious teaching, but that they could not be described as historical writing.
The bishops also took a jaundiced view of the prophecies of Revelation, which describe the work of the risen Jesus, the death of the Beast and the wedding feast of Christ the Lamb. In the words of the bishops: “Such symbolic language must be respected for what it is, and is not to be interpreted literally. We should not expect to discover in this book details about the end of the world, about how many will be saved and about when the end will come.”
In their foreword to the teaching document, the two most senior Catholics of the land, Cardinal Cormac Murphy-O’Connor, Archbishop of Westminster, and Cardinal Keith O’Brien, Archbishop of St Andrew’s and Edinburgh, explain its context.
The new teaching was presented as part of the 40th anniversary celebrations of *Dei Verbum*, the Second Vatican Council document which explains the place of Scripture in revelation.
In the box to the left are just a few examples of what the bishops believe are historically untrustworthy passages in the Bible, followed by several that they consider to be truthful.
What Would the Good Samaritan Do?
It’s a difficult situation. You see someone obviously in need, and he asks you for money. He hasn’t eaten in two days, he says. Any cash you might give him sure would help. Jesus once said, “Give to him who asks you, and from him who wants to borrow from you do not turn away” (Matthew 5:42 NKJV). Solomon wrote, “Do not say to your neighbor, ‘Go, and come back, and tomorrow I will give it,’ when you have it with you” (Proverbs 3:28 NKJV). You might decide to give him the cash, knowing you did your duty. If he betrays your trust by buying a bottle instead of a burger, you rationalize it will be his responsibility before God. But I bet you won’t be totally comfortable about your decision, and you’ll question your own wisdom.
I once heard about someone who asked the man on the corner, “How do I know if I give you this money that you won’t just gamble it away?” The man replied, “Well, I already got gambling money.”
This is the quandary: Do you hand cash to the man on the street corner, or do you assume a scam and walk on by? What would the Good Samaritan do?
Before answering that question, let’s refer back to Proverbs 3. I quoted verse 28 above. But you can’t understand verse 28 without the context of verse 27, and that earlier verse hints at what the Good Samaritan would do.
Verse 27: “Do not withhold good from those to whom it is due, when it is in the power of your hand to do it.”
So let’s look at what that proverb says. You should not withhold good when you have the ability to offer it. I have extra cash and somebody else has none. It’s in the power of my hand to help him. Therefore I must help him, right?
Before jumping to that conclusion, look at another phrase in that proverb: “Withhold not good TO WHOM IT IS DUE.” Ask yourself this: By withholding cash from someone who asks you for it, are you denying him something that is due him? The proverb gives the clear guideline that you don’t owe every person a handout. If you decide to give, it would be out of generosity and not obligation. That’s what “to whom it is due” means. I know that runs contrary to the culture of entitlement too often espoused these days, but it does have a ring of sense to it.
So let’s bring the Good Samaritan into the picture. Many have claimed that this parable of Jesus is the best known of them all. The lesson Jesus taught penetrates our psyches precisely because we can identify with each of the characters. What would I do if I were one of the three passing by, and why would I do it? And if I were the man who legitimately needed help, would I expect a man of God to give me a few bucks?
The correct course for helping the beggar on the corner is right there in that parable. The Samaritan, once he got the man to a safe place, took out two silver coins and gave them to the innkeeper with instructions to look after the man. He did not give the cash to the man. Rather he gave it to someone whom he knew would use it wisely on the man’s behalf.
Here is how that translates into modern America. If someone claims to be hungry, buy him lunch. If you want to help but can’t conveniently get the guy to a restaurant, give him a gift card from Burger King where you know he can’t buy booze.
Respect his dignity and offer him work in exchange for money. (I haven’t yet heard of a case where the guy with the sign on the corner actually accepted the job, but I suppose it has happened a time or two.)
Search out worthy charities that are in the business of helping those in need, such as City Union Mission or the Salvation Army. They will play the part of the Samaritan’s innkeeper who will take care of him, and more than that, help him address any issues that caused his condition in the first place. Their goal is to make him whole again.
The Samaritan helped the man in need, but not with cash. The innkeeper continued the Samaritan’s work, but didn’t place the cash in the victim’s hands. Rescuing the walking wounded takes more than a few silver coins.
—Lenny Cacchio
Quiet, Personal Faith
by Brian Knowles
When you reach a certain point in your own spiritual development, you begin to take certain things as axiomatic. You realize, for example, the futility of arguing doctrine with anyone. You can’t change people’s basic ideas. Once they’ve internalized them, they’re ensconced for life. The more you want someone to “see” your point of view, the less likely they are to see it.
You realize that you can’t re-engineer people to conform to your own ideas of how they should be – and that includes your children, your husband, your wife or even your parents, friends and employees. We are who we are, and that’s that. Apart from the work of the Holy Spirit on the inside of us, the dye is pretty much cast from an early age. Once you get to know people, they tend to act predictably.
We all tend to hunker down in comfort zones. Once there, we flood the moat, pull up the drawbridge and try to insulate ourselves from the chaos that’s going on in the world around us. Change is threatening, so we resist it.
Leadership is largely about effecting behavior change. This is why we tend to find ourselves in adversarial relationships with leaders. We have to ask the question: are they operating in their interests, or ours? Who is truly looking out for us? Who cares whether we live or die?
The Ebb and Flow of Power
When someone gains power, someone else usually loses it. When the government gains power, the power of the people is reduced. In our time, governments at all levels are gaining power and we the people are losing it. The socialists on the Left want to micromanage our lives to produce an envisioned Utopia of socially engineered, easily controlled, human cattle governed by an elite that “knows best” what is good for the rest of us.
As Christians, we live in an increasingly hostile environment. Organizations like the ACLU and others are zealously working to eliminate the Christian faith from public discourse and expression. Even the imagery of crosses on city plaques is under attack around the nation. Incrementally, we are being painted into an ever-smaller corner. One might say the “spirit of anti-Christ” is in the air.
Denominations in Chaos
Increasingly of late, I have heard Christian ministers, and ex-ministers, express growing disillusionment with “organized religion.” It’s too much about personalities, relentless fundraising, church politics, empire building, marketing, building programs, numbers, church government, hidebound traditions and doctrinal intransigence, they say. I tend to share their views.
I’d love to have a “church home,” but I simply can’t find one with which I feel even a little bit comfortable for the above-stated reasons. At the same time, I know many Christian individuals with whom I feel utterly comfortable. I know of a significant number of Christian scholars and teachers at whose feet I would gladly sit to learn. I am also greatly blessed to be a part of two large, largely Christian, families – my own, and my wife’s.
I know of congregations, or study groups, to which I’d want very much to belong, but none of them is close to where I live. One is in Jerusalem, on Narkis Avenue in the Old City. Another is in Dayton, Ohio. These are rather long commutes from the Los Angeles area.
Meantime, I have a small but qualitatively rich collection of excellent study materials off which I can feed for the foreseeable future. I can live my Christian life—at least for the moment—without interference. I can serve my families, my neighbors, and anyone whom God sticks in my face to serve. There is no shortage of people who are in need of our “good works.” I can freely attend any church I want to—with the exception of some of the more uptight, rigid groups—and those I wouldn’t want to attend anyway.
For me, these days, this is the best way – to have a quiet, personal faith that is constantly under construction and revision as need be. Spiritually speaking, we are all “works in progress.” As Paul told the Philippians, we need to keep in mind the fact that: “…he who began a good work in you will carry it on to completion until the day of Christ Jesus” (Philippians 1:6b). Our beliefs about doctrine we can keep between ourselves and God (cf. Romans 14:22). In time, the Lord will straighten us all out on the things about which we now disagree with each other.
Most importantly, we must live our faith. It isn’t enough to possess deeply-held beliefs. We must live them. It is how we live that is most important to God, not what we believe. Living the kind of life Jesus and the apostles taught us to live is no easy task, especially in our “post-Christian” world. It takes courage, faith and conviction. It’s not for the faint-hearted.
“Out of the Box” is a regular feature of the Association for Christian Development Web site (www.godward.org). Brian Knowles is an artist and writer.
Meet John Nesterenko, Activist for the Sabbath
John is a retiree from Cleveland, Ohio, who has been spreading the Word of the Lord since 1951. As the newspaper of his Local 1250 of the United Auto Workers Union reports: “Armed with sign boards containing scripture passages, he has walked the streets of major cities throughout the United States carrying his message. He began his mission in 1976 and has spread the word of the Gospel in cities like Philadelphia, Pittsburgh, Washington, Roanoke, Boston, Detroit, Chicago, New York, and Buffalo.
“He believes in a strict religious life and his desire is to spread the teaching of the Lord to as many people as he can.
“Local 1250 remembers and wishes him well in his quest. May God bless him and keep him safe on the streets of our country.”
Post Cards that Honor the Sabbath
$1.75 for 12 cards or $13.00 for a packet of 100 (non-members add $2.00 for S & H). Cards can be purchased by sending your check to the BSA at the address on the back of our magazine.
us into the center of His will by applying pressure. Sometimes He uses circumstances to push us in a direction that we do not want to go. We feel like we are just going in circles - and we are! It is necessary, though, if we want Him to mold us and shape us.
Once the clay is centered on the wheel, the potter uses one of his hands to invade the inside of the clay from the top of the lump. This creates what will be the opening of the vessel. With one hand on the inside and one hand on the outside, pressure is slowly but steadily applied to both the inside and the outside of the lump. All this time, the wheel continues to turn. The amount of internal and external pressure must be carefully balanced to maintain a uniform thickness so that the vessel will not crack or rip apart. As this internal and external pressure is applied, the potter is able to raise up the wall of the vessel. All this time, water must occasionally be poured on the clay to keep it wet.
Our Heavenly Potter does the same to us. After using external circumstances to get us in the center of His will, He then invades us internally from above. He puts His finger inside our soul and writes His Law on the tablets of our heart, giving us an internal desire to obey His commandments. This creates an “opening,” so that our mouth can later pour out words that will bless God and bless others. The Potter keeps us going in circles as He steadily applies pressure to us both internally and externally, being careful to not let us crack up mentally or be ripped apart emotionally. Then like a potter raising up the wall of a vessel, our Potter raises us up to experience heavenly realities such as dreams, visions, prophetic words, and revelations. All this time, the Potter occasionally pours out the water of His Holy Spirit upon us to keep us wet with “the dew of Hermon” (Ps. 133:3).
After the potter has brought the vessel to the shape he desires, he carefully removes it from the wheel and puts it on a shelf to dry. The pot must stay there until it is completely dry. Sometimes we feel like the Heavenly Potter has quit working in our life and has “put us on the shelf.” We feel like we are drying up spiritually. If you feel like you have been put on the shelf, don’t be discouraged. Maybe the Potter just has you drying out so that you will develop a true, deep thirst for Him. A classic example of someone who spent a long time drying out on the shelf was Moses. He had to stay in the dry desert of Midian for forty years before he was ready to be used by God.
Pottery that has been dried is called greenware. We might think that the process is finished when the Potter finally takes us off the shelf, but in reality, we are still green. Greenware has to go into the fire. “Beloved, think it not strange concerning the fiery trial which is to try you, as though some strange thing happened unto you” (1 Pet. 4:12). Greenware is very brittle and easily broken. The fire of the kiln makes the vessel firm and solid. Without fiery trials, we have no internal strength and stability. Without the fire, we will easily crumble and fall apart in shaky situations.
After we endure some fiery trials, we are no longer green. However, the Potter is not yet finished. The final step is to apply color glazes to the vessel and put it into the kiln for one more firing. This final firing causes the glaze to stick to the surface of the pot so that the beauty and the glory of the finished glaze become a permanent part of the vessel. I like to think of this final firing as taking place on the day the Apostle Paul wrote about in 1 Corinthians 3:13-15:
“Every man’s work shall be made manifest: for the day shall declare it, because it shall be revealed by fire; and the fire shall try every man’s work of what sort it is. If any man’s work abide which he hath built thereupon, he shall receive a reward. If any man’s work shall be burned, he shall suffer loss: but he himself shall be saved; yet so as by fire.”
This final firing will once and forever permanently bond to our eternal soul the glazes of God’s grace which He pours upon us throughout our lifetime. And just as the final firing brings out the true colors and the shining glory which are hidden in the dull, unfired glazes, so this final firing will reveal the hidden beauty and glory which God bestows upon us by His amazing grace.
“The word which came to Jeremiah from Yahweh, saying, Arise, and go down to the potter’s house, and there I will cause thee to hear my words. Then I went down to the potter’s house, and, behold, he wrought a work on the wheels. And the vessel that he made of clay was marred in the hand of the potter: so he made it again another vessel, as seemed good to the potter to make it. Then the word of Yahweh came to me, saying, O house of Israel, cannot I do with you as this potter? saith Yahweh. Behold, as the clay is in the potter’s hand, so are ye in mine hand, O house of Israel.”
—Jeremiah 18:1-6
Reprinted from “Gates of Eden,” September-October 2005, p. 14. “Gates of Eden” is a bimonthly newsletter produced by Gates of Eden, a Messianic Jewish ministry. Write to Gates of Eden, P.O. Box 2257, East Peoria, IL, 61611-0257.
tiate between the genetic capacity in each species’ genome that permits it to change with the environment as being different from changing to some other creature. We want to provide more clarity to this inflamed issue and we ask that the evolutionists reveal what they are doggedly hiding, but they prefer to misinform the media and assassinate the character of qualified scientists who are willing to shed some light. In our *Science Curriculum Standards*, we called this micro-evolution and macro-evolution—changes within kinds and changing from one kind to another. Again, as previously stated, evolutionists want nothing to do with trying to clarify terms and meanings.
Most of the critics that send me email send four basic comments: they claim that we are sending Kansas back to the Dark Ages, or that we are making a mockery of science, or that we are morons for putting Intelligent Design into the Science Standards, or that they also are Christian and believe in evolution.
The critics claim that we have redefined science to include a backdoor to biblical creation or the supernatural.
*From Science Curriculum Standards*, page ix:
“Science is a systematic method of continuing investigation that uses observations, hypothesis testing, measurement, experimentation, logical argument and theory building to lead to more adequate explanations of natural phenomena.”
Where does that say the field of science is destroyed and the back door opened to bring biblical creation into the science classroom?
Another claim that our critics promote through the media is that we are inserting Intelligent Design. Again, we go to the *Science Curriculum Standards*, Standard 3 Benchmark 3 Indicators 1-7 (pg. 75-77). This is the heart of the “evolution” area. Only 7 indicators:
1) understands biological evolution, descent with modification, is a scientific explanation for the history of the diversification of organisms from common ancestors.
2) understands populations of organisms may adapt to environmental challenges and changes as a result of natural selection, genetic drift, and various mechanisms of genetic change.
3) understands biological evolution is used to explain the earth’s present day biodiversity: the number, variety and variability of organisms.
4) understands organisms vary widely within and between populations. Variation allows for natural selection to occur.
5) understands that the primary mechanism of evolutionary change (acting on variation) is natural selection.
6) understands biological evolution is used as a broad, unifying theoretical framework for biology.
7) explains proposed scientific explanations of the origin of life as well as scientific criticisms of those explanations.
As anyone can see, Intelligent Design is not included. But many of our critics already know this. This is not about biblical creation or Intelligent Design, it is about the last 5 words of indicator: “scientific criticisms of those explanations.”
Evolutionists do not want students to know about or in any way to think about scientific criticisms of evolution. Evolutionists are the ones minimizing open scientific inquiry from their explanation of the origin of life. They do not want students to know that peer reviewed journals, articles and books have scientific criticisms of evolution.
So, instead of participating in the Science hearings before the State Board Sub-Committee and presenting testimony about evolution, they stand out in the hall and talk to the media about how the Ph.D. scientists that are presenting testimony about the criticisms “aren’t really scientists,” “they really don’t know anything,” “they obviously are in the minority and any real scientist knows there is not a controversy about evolution.”
Instead of discussing the issues of evolution, noisy critics go into attack mode and do a character assassination of anyone that happens to believe that evolution should actually be subject to critical analysis.
In spite of the fact that the State Board approved *Science Curriculum Standards* that endorse critical analysis of evolution (supported by unrefuted testimony from many credentialed scientists at the Science Hearings) and does NOT include Intelligent Design, and add to that the fact that scientific polls indicate that a large percentage of parents do not want evolution taught as dogma in the science classroom, what is the response from some of the superintendents around Kansas? They seem to indicate that, “We don’t care what the State Board does, and we don’t care what parents want, we are going to continue teaching evolution just as we have been doing.”
But, I guess we shouldn’t be surprised, because superintendents and local boards of education in some districts continue to promulgate pornography
as “literature,” even though many parents have petitioned the local boards to remove the porn. Obviously that is a different issue than the Science Standards, but it still points out the lack of commitment on the part of administration in some districts to allow parents to control the education for their own children.
I have repeatedly stated this is not about biblical creation or Intelligent Design—this is about what constitutes good science standards for the students of the state of Kansas. I would encourage those who believe we are promoting a back door to creation or Intelligent Design to actually do your homework—READ and investigate the Science Curriculum Standards (www.ksde.org) and base your comments on them and not on the misinformation critics have been plastering the print and clogging the airways with—unless of course, your only defense really is baseless character assassination.
I have known Dr. Steve Abrams for many years. He is a fine man, a devout Christian, and works in a scientific field. I have included much of Dr. Abrams’ press release because he is dealing with issues that face our children and grandchildren on a daily basis in the government-run school system. The money you pay to government officials, whether they work for the school system or in a federal or state government office, is being used to undermine the very basis of the Christian faith—that the One True God is the Creator of all we see. Our God is a personal God who cares for us and our children. The secular gods of our age care nothing for us or the truth. Their priests live on lies to perpetuate their myths, their doctrines and dogmas. Even though there is a great deal of money that changes hands for the purpose of immortalizing the myths of evolution, money is not the only reason they are desperate to hang onto the power vested in this secular religion. At the end of the day, if the existence of a Creator God is even considered, then the secular priesthood must also consider yielding its sovereignty to the One who brought all things into existence. If the secularists are forced to concede the possibility of the existence of a Creator God, they are also compelled to consider the likelihood that such a God might expect something of them, and that they might be answerable to Him to account for their beliefs and behavior. Yes, there might really be a Judgment.
When Francis Bacon in the early 1600’s outlined what we call the “Scientific Method,” his purpose for doing so was to give mankind an orderly, logical, and rational approach with which to examine a universe that he firmly believed was created by an Almighty God who put the resources of this universe at our disposal for the purpose of doing good and honoring Him. Dr. Abrams alludes to the Scientific Method and rational scientific inquiry in his press release when he states: “Science is a systematic method of continuing investigation that uses observations, hypothesis testing, measurement, experimentation, logical argument and theory building to lead to more adequate explanations of natural phenomena.”
What we see in the shrill, hysterical blather of the secular scientific community is really not scientific at all. They do not draw our intellect to observation and reason, yet they expect us to yield to their “superior learning” as a matter of faith—with no discussion. In a very unscientific and irrational manner, they take great umbrage that we do not genuflect before them. Demanding an explanation of these priests of modern alchemy is the most scientific thing we can do. It is they who fail to examine themselves.
They expect us to embrace their words just because they are who they are, yet they give us no explanation as to why there are no intermediate species. They can offer us no place in the universe where we can observe for ourselves that evolution is occurring over here or over there. The processes of “evolution” are neither repeatable nor observable, but they want us to accept them as truth based on blind faith. And why does their theory of evolution defy the second law of thermodynamics? Evolution presupposes that nature is evolving to a more usable form, but nothing else in the universe does.
Whether biochemist Michael Behe’s contention that there is an irreducible complexity in nature which the theory of evolution cannot explain (hence Intelligent Design) is a good scientific explanation for the existence of life, one thing is certain. Secular evolutionists cannot conjure up a cogent explanation by their stubborn (and unworkable) reliance on matter plus time plus chance. This does not work statistically, nor does it obey known laws of science. The scam in all this is that these white-robed priests of the order of Evolution 101 insist that we call their superstition and sham theory science.
What continues to baffle me is that many Christians are ambivalent at best and uninterested at worst about a form of thinking that is cutting the legs out from under them and their faith. They support it with their tax dollars and dare not lift a finger to protest this fraud. My question to these apathetic Christians is, how many of our children will this hocus pocus pseudo-science destroy for eternity before you show any concern?
—Kenneth Ryland
Executed for Distributing Bibles
When 34-year old Jiang Zongxiu went to her neighboring market last June in Guizhou Province, China, along with her mother-in-law, Jiang went to the marketplace taking the opportunity to hand out Bibles and Christian literature and tell people about Jesus. Only this day they had an encounter with the Chinese police.
The two Christian women were handcuffed together and brought to the police station. They were interrogated throughout the evening of the 17th. The next morning they were sentenced by the Public Security Bureau (PSB) to 15 days incarceration for “suspected spreading of rumor and disturbing the social order.”
Jiang and her mother-in-law knew the risk of spreading Christian literature in communist China. Both had been active in their church for more than 10 years and dared to go forth. Even when they were arrested, interrogated and sentenced to serve 15 days, they were willing to accept the consequences of their actions—all from a government that claims to have “freedom of religion.”
But it was not enough for the PSB to arrest and beat these two Christian women for the crime of passing out Christian literature. In the afternoon of June 18th, Mrs. Jiang Zongziu was pronounced dead by the PSB office of Tongzi County. They claimed she died of “natural causes.” The fact is she was beaten to death.
Voice of the Martyrs has received video testimony from the surviving family, photos of Jiang’s body showing her bruised body, and a copy of the actual arrest document. All of this had to be smuggled out of China as the authorities continue to attempt to hide their systematic persecution of Christians. An international campaign is now under way on behalf of the surviving family.
(Source: Voice of the Martyrs)
Hindu Extremists Claim Indian Pastor’s House
NEW DELHI, December 14 (Compass Direct) — Pastor Feroz Masih of the Believers’ Church in India (BCI), who had earlier received death and arson threats, was forced to vacate his house in the Kangra district of Himachal Pradesh, India, on December 7.
“The administration of Baijnath town had served us an eviction notice, and members of the Vishwa Hindu Parishad [VHP or World Hindu Council] also installed a Hindu idol on the verandah of our house,” Ramesh Masih, the pastor’s son, told Compass.
The VHP had earlier assaulted Masih and told him and about 60 members of the BCI that if they did not “re-convert” to Hinduism in a ceremony scheduled for November 20, they would be burned alive and their houses destroyed.
Police stepped in and prevented any physical harm to the believers and their homes.
Local authorities then served an eviction notice on the Masih family on November 30. When Masih pleaded for more time, the eviction date was extended to December 16.
The Masih family could have fought to stay in their home, but they were intimidated by the VHP.
Because of this intimidation, Masih’s family was forced to vacate the house even before December 16, he said. “Otherwise,” he said, “we could have taken a stay order from the court, asking the administration to arrange for alternative housing, since we have documented evidence that we have been living in the house for more than 20 years.”
**Book**
An eye-opening book about prophecy, Catholicism, and the last days. Has the view of the Church of Rome as the woman who rides the beast in Revelation 17 become outdated? Hunt carefully sifts through history and prophecy to provide an answer.
*(552 pages, $11.00. Non-members add $2.00 for S&H.)*
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**Video**
Based upon Dave Hunt’s best-selling book “A Woman Rides the Beast.”
Most of the discussion of the end times focuses on the coming Antichrist—but he is only half the story.
Many are amazed to discover in Revelation 17 that there is also another mysterious character at the heart of prophecy—a *woman* who rides the beast.
Who is this woman? Tradition says she is connected with the church of Rome. But isn’t such a view outdated? After all, today’s Vatican is eager to join hands with evangelicals and all religions worldwide. “The Catholic church has changed,” is what we hear.
Or has it? In “A Woman Rides the Beast,” biblical truth and global events present a well-defined portrait of the woman and her powerful place in the Antichrist’s future empire. At least ten remarkable clues in Revelation 17 and 18 prove the woman’s identity beyond any reasonable doubt.
*(58 minutes, $20.00. Non-members add $2.00 for S&H. Video may be rented for $5.00 for 14 days.)*
---
**LORD’S BIBLICAL CALENDAR, 2006**
“LEARN OF ME”
FREE, 12-1/2 x 21” contains those events of our Lord and Saviour, Jesus. He is the answer to our needs, know Him before He returns. Days marked we ought to do. Scriptures from the Old and New Testaments of the King James Version Holy Bible. For you and others who desire to have, and know Him. Limited to 15 outside the USA due to high airmail postage.
*Write to:*
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Holualoa, Hawaii 96725 USA
(April 2006)
---
**Notice to Pastors**
If you are a pastor, ask us for a free copy of our *Directory of Sabbath-Observing Organizations* for your church library. It is a handy tool for staying in touch with other Sabbath-keeping groups in your area and around around the world.
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**The BSA Address**
Because of postal regulations we have changed the address on the back cover to our Wyoming address. However, our address at HC 60 Box 8, Fairview, OK 73737, USA is our home address.
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Seventeen years in the making, this Sabbath promotional series was the dream of the late James Arrabito. You will learn much about the exciting history of the Sabbath. Narrated by: Hal Holbrook.
Five-part video series on the Sabbath. VHS (NTSC) or DVD. $20 for single copy, $18 for multiple copies, $90 for the entire five-part series. The Bible Sabbath Association, 3316 Alberta Drive, Gillette, WY 82718. Postage: $5 for entire set or add $2 per video for North America. International shipping $30 VHS, $10 DVD for set, OR $5 per video. Indicate the appropriate order code:
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Simulation of colloidal particles
Above is an image from a simulation performed with FFEA (Fluctuating Finite Element Analysis) of soft, deformable and compressible colloidal particles self-diffusing in a highly packed environment. These particles can move and rearrange in a way that hard particles cannot. This image was kindly supplied by Tom Ridley (Cohort 2) University of Leeds.
News from the Management Board:
SOFI$^2$ has got through the first stage of applying for further funding!
UK Soft Matter Showcase
The 3rd Soft Matter Showcase Conference, organized and hosted by the EPSRC SOFI CDT, was held at the beginning of July in Edinburgh. Over the course of two days, we had the pleasure of hearing about some excellent science.
Many of the presentations and posters were delivered by SOFI CDT students and academics, including mesmerizing videos shown by Prof Colin Bain, who demonstrated that there’s nothing boring about watching ink dry. Also included in the program was a series of keynote talks from invited speakers from a bit further south, including Prof Alex Routh from the University of Cambridge, and even further south, with Dr Stuart Prescott all the way from UNSW Sydney!
To make the event even more memorable, the conference concluded with a banquet in the exquisite Balmoral Hotel. Below is a picture of some of Cohort 1 looking really pleased after the dinner.
Industry day
The Industry Day, held on the Friday following the showcase, was a great chance for individuals from industry to engage with SOFI students and academics. Industrial partners were able to hear more about what SOFI CDT has to offer, perhaps inspiring future projects and collaborations.
We were fortunate enough to hear from Dr Sam Olof, Technical Director at OxSyBio and visiting scientist in Chemical Biology at the University of Oxford. He presented his work in self-assembled artificial cells with advanced microscopy techniques and 3D printing of artificial tissues.
As in previous years, after the talks and to make the most of the visiting speakers there was the possibility of requesting one to one meetings. After lunch, there was also a horizon scanning group activity in which students, academics and industry partners discussed together a range of questions.
New stage for Cohort 4
So far so good. Peers from cohort 4 are now getting used to their new location and projects. Just wanted to make sure you all know where to find them and go and grab a coffee if you have not met with them yet.
Durham University:
- **Colin Gibson** – Migration and Adsorption of Melt Additives to Polymer Surfaces; supervised by Dr Richard Thompson and Prof Mark Wilson. Co-funded by P&G.
- **Jack Williamson** – Synthesis and materials properties of charged, stimuli responsive liquid crystals; supervised by Dr Paul McGonigal.
- **Luke Chambers** – Understanding Lactam-Active Ingredient Co-phases; supervised by Prof Jonathan W. Steed. Co-funded by Ashland.
- **Matthew Litwinowicz** – Molecular migration in Polymer Matrices supervised by Dr Richard Thompson and Prof Mark Wilson. Co-funded by AkzoNobel.
- **Rachel Goodband** – Bio-mimetic polymeric membranes; supervised by Dr Margarita Staykova, Prof Colin Bain and Dr Paul Beales.
- **Richard Chilvers** – PolyNanoCat – Tailored Polymers for Heterogeneous Transition Metal Catalyst Assembly; supervised by Dr Phil Dyer, Dr Simon Beaumontand and Prof Lian Hutchings.
- **Sarah Goodband** – Harnessing Surface roughness and Ionic Effects for Liquid Repellent Surfaces; supervised by Dr Kislon Voitchovsky and Dr Halim Kusumaatmaja. Co-funded by AkzoNobel.
University of Edinburgh:
- **Carmen Morcillo Pérez** – Complex Formulations Drying on Complex Substrates - How ‘Coffee’ Dries on Plant Leaves; supervised by Dr Job Thijssean and Dr Tiffany Wood.
- **Hannah Jones** – Polymer Nanocomposites: tailoring thermomechanical properties; supervised by Prof Vasileios Koutso. With in-kind support from Impact Solutions.
- **Nia Verdon** – Bacteria in droplets: microfluidics to formulation; supervised by Dr Rosalind Allen, Dr Simon Titmuss and Dr Alex Lips.
- **Ryan Jackson** – Forensic soft matter science; supervised by Prof Wilson Poon. Co-funded by The Leverhulme Research Centre for Forensic Science, University of Dundee.
Continues...
SOFI Out and About
SOFI students have once again been travelling across the world presenting their research. Here are just a few conferences in which SOFI students have participated during the last few months. Click in the links for more information.
**Weybridge:** Ethan Miller, David Crosby and Denise Li attended the [GSK PhD Science Symposium](#), as shown in the photo. Congratulations to David for winning the pitch to panel workshop and Denise for winning oral presentation prize.
**Granada:** Jessica Andrews, Lorenzo Metilli and Luke Chambers jetted off to sunny Spain for the [International School of Crystallisation 2018](#) and presented their posters.
**Venice:** Phil Hope and Kasid Khan went to Italy for the [Multivelency, from Concepts to Applications in Chemistry & Biology](#) at the Universita degli Studi di Padova.
**Oxfordshire:** Rashmi Seneveratne attended the [Small Angle Scattering Training School](#) at Diamond.
**Pennsylvania:** June saw Laura Sawiak flying to Penn State for the [92nd ACS symposium on Colloid and Surface Science](#) where she gave a talk presenting her recently published work in [Frontiers in Chemical Engineering](#).
**Bristol:** Adam O’Connell, Carmen Morcillo Perez, Jason Klebes, Sam Stubley and Tom Ridley participated in the [Advanced School in Liquids and Complex Fluids: Solutions in Spring](#).
**Sorrento:** The [Annual European Rheology Conference 2018](#) had lots of SOFI Students and staff present. Ben Robertson and Rahul Chacko from Cohort 1 as well as Hugh Barlow and Tom Ridley from Cohort 2 all gave talks.
---
**SOFI Staff Profile: Dr David King**
“I am delighted to be part of the Chemistry Department at Durham University and welcome the opportunity to demonstrate my research and entrepreneurial background skills, dedication and enthusiasm to be used for the benefit of student research and innovation. I am confident that my style of hands on approach, communication, knowledge and directive skills will be positive assets for the real-world translation of scientific endeavours and provide the opportunity to build long-term links of industrial research and business in universities”
Dr David King is the Royal Society’s Entrepreneur in Residence at Durham University. Educated in the UK and USA he holds a PhD in polymer chemistry and an MBA from Harvard Business School. He is a highly experienced business executive and entrepreneur with an outstanding track record in product and process development, manufacturing, and business development. He spent over 35 years in the USA in executive level roles with major chemical and petrochemical companies including Exxon Mobil. David’s areas of expertise include research and development, business and marketing development, manufacturing and process improvements, plant start-ups, business incubators and business start-up, licensing, JV’s and alliances. He also possesses a significant concept to commercialization track record in a range of next generation polymer products and processes.
---
**Tom Ridley**
Hi, I’m Tom from Cohort 2. I did my undergraduate Degree in Theoretical Physics at Leeds, then followed that up by going on a grad scheme for 2 years with an IT Services company. Needless to say, that wasn’t making my brain hurt the way I’d like, so I decided to come back to science. I’m now working with Oliver Harlen, Daniel Read and Johan Mattsson on using a simulation method called Fluctuating Finite Element Analysis, developed at Leeds, to look at whether deformable models of soft colloids have differing dynamics from simpler soft spherically symmetric potentials and hard sphere models. In my spare time I like to run, and also play video games.
SOFI Industry Partners
Do you have an urgent, short-term science or technology challenge? If so, there is probably a SOFI CDT PhD student with suitable research expertise who can work with you to seek solutions. SOFI students are able to participate in (up to) a 3-month secondment from their studies to work with industry partners on such challenges. If this is something you would like to explore further, please contact SOFI CDT manager Lian Hutchings (email@example.com) for further information.
Soft Ball
It is becoming a tradition that Soft Matter Scientists dress up and celebrate with a ball. Last year it was held in Durham and this year in a surprisingly sunny Edinburgh. After a very busy day with industry we were treated to a delightful three course meal in the Royal Scots Club followed up with DJ entertainment. No need to say that we are all already looking forward to next time in Leeds but more important need to thank David Crosby for the brilliant organization, it was a complete success!
See above some pictures of the Soft Ball, Cohort 4 (top left), Cohort 3 (bottom left) and Cohort 2 (right).
Yujie Jiang
Hi my name is Yujie Jiang. I graduated from Fudan University with a degree in physics in 2016, I then joined the SOFI cohort 3. My final year project was about the cornstarch shear-thickening, and this was also my first time to learn about soft matter. Now I'm also doing a project weakly relating to shear thickening. Currently I am based in the University of Edinburgh, supervised by Prof Wilson Poon and Dr John Royer, Dr Louise Bailey and Dr Andrew Clerk from Schlumberger. My project aims to develop a model binary suspension containing both repulsive and attractive particles, and understand how its rheology relates with microstructure. With the help of rheo-confocal techniques here, I've got some nice progresses so far. I'm loving everything in Edinburgh, except the weather.
1st Annual Inter-CDT Formulation and Soft Matter Summer Forum
SOFI CDT and Formulations Engineering CDT held an inter-CDT conference at Birmingham university, hoping to find common ground in which to exchange ideas and collaborate in future work. Formulation engineering tackles industry-based production problems and can be seen as the next step on from the SOFI CDT’s more fundamental work. SOFI students learnt about industrial processes, such as the acoustic properties of fish batter and industrial cleaning using jets. SOFI showed the formulation CDT, amongst other things, muscle adhesive properties and lipid bilayer interactions with humectants. The event was well represented with SOFI students, with Denise Li winning one of the presentation prizes and Natasha Rigby and Daniel Day winning two of the poster prizes. The conference also included dinner at the Hilton Hotel, a science pub quiz and poster session. A big thank-you to Denise (Cohort 1), Sophie (Cohort 3) and Lia, Amy and Emily from the University of Birmingham for organising this fantastic student-led conference!
Next year Durham will be hosting the inter-CDT conference and in the spirit of interdisciplinary collaboration everyone is encouraged to attend. Details will follow in due course from the organisers, Rachel Goodband, Sarah Goodband and Natasha Rigby.
Check us out
Take a look at some of the new papers our SOFI students have published in the last few months...
- **Shear reversal in dense suspensions: the challenge to fabric evolution models from simulation data**, Chacko R. N., Romain Mari (a2), Suzanne M. Fielding (a1) and Michael E. Cates, *Journal of Fluid Mechanics*, **2018**.
- **Mixing Time, Inversion and Multiple Emulsion Formation in a Limonene and Water Pickering Emulsion** Sawiak, L.; Bailes, K.; Harbottle, D.; Clegg, P.S. *Frontiers in Chemistry*, **2018**.
- **Nucleation on a sphere: the roles of curvative, confinement and ensemble**. Law, J.O.; Wong, A.G.; Kusumaatmaja, H.; Miller,M.A. *Molecular Physics*, **2018**.
- **Dynamic Morphologies and Stability of Droplet Interface Bilayers**. Guiselin,B.; Law, J.O.; Chakrabarti, B.; Kusumaatmaja,H. *Physical Review Letters*, 120, 238001, **2018**.
Keep up with all the SOFI news online, find us on:
Facebook: [facebook.com/softmattercdt/](https://facebook.com/softmattercdt/)
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Please contact firstname.lastname@example.org
July 2018 |
Double-hit lymphoma of the male breast: a case report
Shaymaa Elgaafary\textsuperscript{1,2,3}, Inga Nagel\textsuperscript{1,2,4}, Cristina López\textsuperscript{1,2}, Susanne Bens\textsuperscript{1,2}, Monika Szczepanowski\textsuperscript{5,6}, Rabea Wagener\textsuperscript{1,2}, Wolfram Klapper\textsuperscript{6} and Reiner Siebert\textsuperscript{1,2*}
Abstract
Background: Whereas lymphoma of the female breast is already rare, lymphoma of the male breast has only anecdotally been reported. Within a study of 32 lymphoma of the breast reported between 1973 and 2014 as Burkitt lymphoma, we observed a single male case, which we report here.
Case presentation: A 72-years-old Caucasian man presented with a mass in his left breast. Clinical history included prior basal cell carcinoma, leiomyosarcoma, and administration of spironolactone. The reference pathology diagnosis at presentation was Burkitt lymphoma according to the Kiel Classification. The present re-investigation using fluorescence \textit{in situ} hybridization revealed an IGH-MYC translocation and a break in the \textit{BCL2} locus in the tumor cells. Thus, in light of the current WHO classification, the diagnosis was revised to high-grade B-cell lymphoma with \textit{MYC} and \textit{BCL2} rearrangement, Burkitt morphology (so-called “double-hit” lymphoma). Genome-wide chromosomal imbalance mapping revealed a complex pattern of aberrations in line with this diagnosis. The aberrations, including copy-number gains in chromosomes 3q and 18 and focal homozygous loss in 9p21.3, resembled typical changes of lymphomas affecting “immune-privileged” sites.
Conclusion: The present case adds to the understanding of the pathogenesis of male breast lymphomas, about which hardly any molecular characterization has been published yet.
Keywords: Lymphoma, \textit{MYC}, \textit{BCL2}, breast, male, Burkitt
Background
Primary lymphoma of the male breast is an extremely rare presentation affecting males in the fourth to seventh decades of life [1, 2]. To date, less than 50 cases of male breast lymphoma have been reported in the literature [1, 2]. Clinical presentation of breast lymphoma in men usually resembles the more common carcinomas with a mammographically solitary well-circumscribed painless mass in the breast and/or the ipsilateral axillary lymph nodes commonly unilateral [3–8]. Previous reports on male breast lymphomas focused mainly on the clinical and pathological features of the tumor [3–9]. Reports describing the genetic alterations of male breast lymphomas are, to the best of our knowledge, scarce. In the context of a retrospective study aiming at molecularly characterizing 32 lymphomas of the breast diagnosed historically between 1973 and 2014 as Burkitt lymphoma at the Lymph Node Registry in Kiel (Germany), we came across the case of a single male patient, which is presented here.
Case Presentation
The tumor tissue sample of the at diagnosis 72-year-old Caucasian man was obtained at the Lymph Node Registry in Kiel (Germany) more than 25 years ago. His main complaint was an asymptomatic unilateral progressive mass of his left breast persisting over 3 months. A
history of basal cell carcinoma and leiomyosarcoma was recorded 25 and 10 years prior to the lymphoma manifestation, respectively. Furthermore, long-term treatment with spironolactone was reported. A clinical examination revealed bilateral non-tender gynecomastia along with a painless swelling in his left breast and testis together with ipsilateral enlarged superficial inguinal lymph nodes. Bilateral mastectomy was performed and reference pathological analyses of the excised tissue led at that time to the diagnosis of Burkitt lymphoma of the breast according to the Kiel Classification. Neither data on treatment nor on outcome were available. During a retrospective survey of breast and ovarian lymphomas historically diagnosed as Burkitt lymphoma at the Lymph Node Registry in Kiel (Germany), archived tumor materials (formalin-fixed, paraffin embedded, [FFPE]) of the case described above were retrieved from the files and investigated applying up-to-date technologies. Use of the archived materials for molecular studies was approved by the Ethics Committee of the Faculty of Medicine, Christian-Albrechts-University of Kiel, Germany (D474/14 and D447/10). Interphase fluorescence *in situ* hybridization (FISH) studies were performed using the dual color break apart probes, LSI *MYC*, LSI *IGH*, LSI *BCL2* and LSI *BCL6*, as well as, the tri-color dual fusion probe LSI *IGH/MYC/CEP8* (all probes were obtained from Vysis/Abbott Molecular, Wiesbaden, Germany). Whenever possible at least 100 nuclei were evaluated for each probe. FISH analyses were evaluated and documented using the ISIS digital image analysis version 5.0 (MetaSystems, Altusheim, Germany). For histological evaluation, tumoral tissue was stained with Hematoxylin and Eosin (H&E), as well as with a panel of monoclonal antibodies for detection of CD20, CD10, BCL2, TdT and Ki67 expression. Moreover, Epstein-Barr virus (EBV) encoded RNA (EBER) *in situ* hybridization was performed. For the analysis of genome-wide imbalances, DNA was extracted from the FFPE material with the QIAmp DNA FFPE tissue kit (Qiagen, Hilden, Germany) and processed using the Oncoscan™ FFPE express 2.0 kit (Affymetrix, Santa Clara, CA, USA). Analyses of copy number aberrations (CNA) and copy neutral loss of heterozygosity (CNN-LOH) were performed using the TuScan algorithm of the Nexus Express for Oncoscan 3 software (Biodiscovery, El Segundo, CA, USA). Human reference genome GRCh37/hg19 was used. Gains and losses smaller than 100 Kb or encompassing less than 20 probes, as well as CNN-LOH smaller than 5000 Kb or including regions of losses were not considered.
Histopathological re-examination showed a diffuse proliferation pattern of malignant medium-sized B-lymphocytes (Fig. 1a), suggestive of mature aggressive B-cell lymphoma of Burkitt type in line with the historic diagnosis relying on the Kiel Classification. The tumor cells stained positive for CD20 and BCL2 (Fig. 1b and c) but negative for TdT, CD10 and EBER. Ki-67 showed non-representative staining most likely due to the aging effect of the stored material and thus, was considered not evaluable for technical reasons.
Molecular cytogenetic analyses using interphase FISH revealed the vast majority of cells in the tissue section to carry a chromosomal breakpoint affecting the *MYC* locus and an *IGH-MYC* fusion as well as a chromosomal breakpoint affecting the *BCL2* gene locus (Fig. 1d and e). In addition, we detected an extra signal of the non-rearranged allele suggesting a gain of the *BCL2* locus. Moreover, we observed a gain but no break of the *BCL6* locus. Based on these results and in the light of the current World Health Organization (WHO) classification of lymphoma the diagnosis was revised toward “high-grade B-cell lymphoma with *MYC* and *BCL2* rearrangements, Burkitt morphology”, commonly referred to as “double-hit lymphoma”.
Chromosomal imbalance mapping using the Oncoscan™ platform revealed copy number (CN) gains in 3q13.11-q29 and a trisomy 18 (in line with the observed FISH patterns) and CN losses in 1q41-q44, 2q31.1, 9p21.3, and 10q21.1. Moreover, CNN-LOH were detected in 3p26.3-q13.11, 9p24.3-p13.3, 15q21.1-q21.3, and 16p13.3 (Fig. 1f). Finally, attempts to perform whole-exome sequencing from the tumor unfortunately failed due to technical reasons likely caused by the limited preservation of the historic tissue.
**Discussion**
Primary lymphoma of the breast is extremely rare. In contrast to female breast lymphoma that is assumed to occur in up to 0.05% of women with breast malignancy [10], presentation of the lymphoma in the male breast has been reported only sporadically in rare cases worldwide [1, 2].
In the few reported male cases, like in the patient presented here, breast lymphoma mainly affected men in the middle-to-old age groups [2–8]. Being initially considered as Burkitt lymphoma, we here rendered the diagnosis of a so-called “high-grade B-cell lymphoma with *MYC* and *BCL2* rearrangements” also called “double-hit lymphoma” with Burkitt morphology. This re-classification sets a note of caution to historic studies on the incidence and biology of Burkitt lymphomas in elderly patients or with unusual presentation.
High-grade B-cell lymphomas with *MYC* and *BCL2* and/or *BCL6* rearrangements represent a quite recently defined entity of lymphoma with aggressive nature, high genomic complexity and poor prognosis [9]. Double-hit lymphomas
comprise between 32% and 78% of mature aggressive B-cell lymphoma cases with features intermediate between Burkitt lymphoma and diffuse large B-cell lymphoma [10, 11].
In line with the diagnosis of double-hit lymphoma the complexity of the genomic imbalances depicted by the Oncoscan™ array was high. The pattern of imbalances showing gains in 3q and trisomy 18 as well as homozygous loss in 9p21.3 (encompassing the region of CDKN2A/B) together with the lack of detectable CD10 in the presence of CD20 and BCL2 expression resembles other extra-nodal lymphoma. This holds particularly true for aggressive B-cell lymphomas at immune-privileged sites, like primary CNS lymphomas (PCNSL) or testicular lymphomas [12, 13]. The causes for this rare manifestation in the patient presented here remain unclear. Nevertheless, it is intriguing to speculate that there might be an association with the former spironolactone treatment, well known to induce gynecomastia. Alternatively, based on the clinical history of the patient with multiple neoplasia, a tumor predisposition syndrome could underly lymphoma development. Unfortunately, we could not investigate the latter hypothesis as the tumor material was of insufficient quality for whole-exome analysis.
**Conclusion**
In conclusion, we described a rare EBV-negative high-grade B-cell lymphoma with MYC and BCL2 rearrangements of the male breast. The similarities of the molecular findings to other types of non-nodal aggressive B-cell lymphoma affecting immune-privileged sites might indicate common pathogenetic mechanisms.
**Abbreviations**
BCL2: B-cell lymphoma 2; BCL6: B-cell lymphoma 6; CD20, CD10: Cluster of differentiation 20, cluster of differentiation 10 (markers of B-cell maturity); CDKN2A/B: Cyclin-dependent kinase inhibitor 2A/B; CEP8: Chromosome enumerator probe 8 (Centromeric probe of chromosome 8); CN: Copy number; CNA: Copy number aberration; CNN-LOH: Copy neutral loss of heterozygosity; DNA: deoxyribonucleic acid; EBER: Epstein-Barr virus-encoded
RNA; EBV: Epstein-Barr virus; FFPE: Formalin-fixed, paraffin-embedded; FISH: Fluorescence in situ hybridization; H &E: Hematoxylin and Eosin; IGH: Immunoglobulin heavy chain; ISIS: name of Software for FISH from MetaSystem; Ki-67: Marker of cell proliferation; Kb: kilobase; LSI: Locus-specific identifier; MYC: Cellular myelocytomatosis gene; NCBI: National Center for Biotechnology Information; PCNSL: Primary central nervous system lymphoma; TdT: Terminal deoxynucleotidyl transferase; USA: United States of America; WHO: World Health Organization
Acknowledgements
We acknowledge the excellent technical assistance of the members of the tumor genetics lab at the Institutes of Human Genetics in Kiel, particularly R. Zühlik-Jenisch, U. Schade, P. Kozak, C. Becher, G. Riesen, and L. Valles, and Ulm, as well as the team of the Lymph Node Registry Kiel, O. Batic, and S. Pietz.
Footnote
The present address of SE is: Gynecological Oncology, Nationales Zentrum für Tumorerkrankungen (NCT), University Hospital Heidelberg and Deutsches Krebsforschungszentrum (DKFZ), Heidelberg, Germany. The present address of RW is: Department of Pediatric Oncology, Hematology and Clinical Immunology, University Children’s Hospital, Medical Faculty, Heinrich-Heine-University Düsseldorf, Düsseldorf, Germany.
Authors’ contributions
SE identified the case, performed the analyses, and drafted the manuscript. IN reviewed the fluorescence in situ hybridization, interpreted data, corrected and approved the manuscript. CL reviewed the fluorescence in situ hybridization, interpreted data, corrected and approved the manuscript. SB reviewed the fluorescence in situ hybridization, interpreted data, corrected and approved the manuscript. MS reviewed of the histopathological analyses and immunohistochemical staining, interpreted data, corrected and approved the manuscript. RW reviewed the genome-wide copy number data, interpreted data, corrected and approved the manuscript. WK conceived and supervised the study, performed the histopathological review, corrected and approved the manuscript. RS conceived and supervised the study and drafted the manuscript.
Funding
This research has been conducted in the framework of the eBIO project Molekulare Mechanismen in Malignen Lymphomen mit MYC-Deregulation (MMML-MYC-SYS) funded by Bundesministerium für Bildung und Forschung (BMBF) via grant 03161166i. The DAAD (Deutscher Akademischer Austausch Dienst) and the KinderKrebstitiative Buchholz Holm-Seppensen are gratefully acknowledged for support. Open Access funding enabled and organized by Projekt DEAL.
Availability of data and materials
The datasets used and/or analyzed during the current study are available from the corresponding author on reasonable request.
Ethics approval and consent to participate
Ethical approval for the study was obtained from the Ethical Committee of the Faculty of Medicine of Christian-Albrechts University of Kiel (number D474/14 with reference to 447/10).
Consent for publication
We declare that the study was performed in accordance with the guidelines of the ethics committee but, based on the historic nature of this case, we cannot provide a signature of patient or relative.
Competing interests
The authors have no competing interest to declare.
Author details
1Institute of Human Genetics, Ulm University and Ulm University Medical Center, D-89081 Ulm, Germany. 2Institute of Human Genetics, Christian-Albrechts University Kiel and University Hospital Schleswig-Holstein, Campus Kiel, D-24105 Kiel, Germany. 3Division of Human Genetics and Genome Research, Department of Human Cytogenetic, Cairo 12622, Egypt. 4Institute of Experimental and Clinical Pharmacology, Christian-Albrechts University Kiel and University Hospital Schleswig-Holstein Campus Kiel, D-24105 Kiel, Germany. 5Department of Internal Medicine II (Hematology), Laboratory of Hematology, University Hospital, Schleswig-Holstein Campus Kiel, D-24105 Kiel, Germany. 6Hematopathology Section and Lymph Node Registry, Institute of Pathology Christian-Albrechts University Kiel and University Hospital Schleswig-Holstein, Campus Kiel, D-24105 Kiel, Germany.
Received: 18 June 2020 Accepted: 8 September 2020 Published online: 18 December 2020
References
1. Davies A. Double-hit lymphoma: So what? Hematol Oncol. 2019;37(1):19–23.
2. Lokesh KN, Satyanarayanan V, Lakshmaiah KC, Suresh TM, Lokanatha D, Babu KG, et al. Primary breast lymphoma in males—a report of two cases with a review of the literature. Encancermedicalsearch. 2013;7:347,1–4.
3. Luarow E, Kettler M, Slanetz PJ. Spectrum of disease in the male breast. AJR. 2011;196:W247–59.
4. Cheah CY, Campbell BA, Seymour JF. Primary breast lymphoma. Cancer Treat Rev. 2014;40(8):900–8.
5. Coroabe AB, Dumitru A, Sajin M, Poenaru R, Puscașu A, Chirita D, et al. Diffuse large b cell lymphoma in a male breast - a rare case report. Chirurgia (Bucur). 2017;112(4):477–81.
6. Sordi E, Cagossi K, Lazzaretti MG, Gusolfino D, Artioli F, Santacroce G, et al. Rare case of male breast cancer and axillary lymphoma in the same patient: a unique case report. Case Rep Med. 2011;2011:940803,1–4.
7. Yim B, Park JS, Koo HR, Kim SY, Choi YY, Kim JY, et al. Primary breast lymphoma in an immunocompromised male patient: a case report. J Korean Soc Radiol. 2015;73(4):264–8.
8. Zheng G, Yu H, Hemminki A, Fo A. Familial associations of male breast cancer with other cancers. Breast Cancer Res Treat. 2017;166(3):897–902.
9. Swerdlow SH, Campo E, Pileri SA, Harris NL, Stein H, Siebert R, et al. The 2016 revision of the World Health Organization classification of lymphoid neoplasms. Blood. 2016;127(20):2375–90.
10. Swerdlow SH. Diagnosis of ‘double hit’ diffuse large B-cell lymphoma and B-cell lymphoma, unclassifiable, with features intermediate between DLBCL and Burkitt lymphoma: when and how, FISH versus IHC. Hematol Am Soc Hematol Educ Program. 2014:e2014(1):90–9.
11. Barrans S, Crouch S, Smith A, Crouch S, Smith A, Turner K, et al. Rearrangement of MYC is associated with poor prognosis in patients with diffuse large B-cell lymphoma treated in the era of rituximab. J Clin Oncol. 2010;28(20):3360–5.
12. Batlevi C, Rapaport F, Wang L, Intlekofer AM, Copeland AR, Jungbluth AA, et al. Distinctive genomic alterations in testicular diffuse large b cell lymphoma. Blood. 2015;126(23):3655.
13. Chapuy B, Roemer MGM, Stewart C, Tan Y, Abo RP, Zhang L, et al. Targetable genetic features of primary testicular and primary central nervous system lymphomas. Blood. 2016;127(7):869–81.
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New Members
In spring, LEEP welcomed a new staff member in Nicola (Nic) Pensiero who joined us from University College London. Nic previously worked at UCL Institute of Education, where he joined in 2013 after completing his PhD at the European University Institute. He is an interdisciplinary researcher with a good record of leading externally funded education research projects.
His expertise lies in the use of analytical and choice-based approaches in studying social phenomena such as education programme effectiveness, comparative analysis of the effectiveness of education system characteristics, inequality in educational attainment, school segregation and income inequality.
Nic is currently the Principal Investigator for on a Nuffield foundation grant on Educational choices and social interactions. Reassessing Educational Strategies in a divided Society (ERESS) https://sites.google.com/view/nicolapensiero/new-project-eress, funded period: July 2020 - December 2021.
He is also a Co-I on a Nuffield foundation grant on Post-16 Educational Trajectories and Social Inequalities in Political Engagement. PI: Germ Janmaat, Other Team members: Funded period: April 2020 to September 2021.
About
The Leadership Educational Effectiveness & Policy (LEEP) centre brings together colleagues working and researching in the areas of leadership, school improvement, educational effectiveness and policy. We aim to influence policy, practice and research methodology across a wide spectrum of educational contexts and sectors including schools and further / higher education.
Centre members have a long and distinguished history of external funding from a range of sources including government agencies, charities and research councils, and have played leading roles in advising policy-makers in the UK and internationally. Members are very active in editing journals, serving on editorial boards and taking leadership roles within the academic community.
Departed Members
Best wishes to Prof Daniel Muijs who left us to take over as Head of Research at Ofsted. Daniel remains a visiting professor and continues to contribute to our centre.
Research News
James Hall has recently published an edited collection together with colleagues from Oxford which brings together chapters written by key authors in the field, including current colleagues from the LEEP and Southampton visiting professors:
Hall, J., Lindorff, A. and Sammons, P. (Eds) (2020) *International Perspectives in Educational Effectiveness Research*. Springer Nature: Switzerland. [https://link.springer.com/book/10.1007/978-3-030-444810-3](https://link.springer.com/book/10.1007/978-3-030-444810-3)
James has also given two keynote presentations in 2020:
- Early Childhood Education and Care: Promises and problems reconciling research evidence with policy. Trends in Education Development Conference. Keynote. (Moscow, Russia. February 2020)
- Key findings from the early learning goals pilots. Progress and lessons: Putting the pilot EYFS Profile & ELGs in context. Westminster Education Forum (London, UK. January 2020)
John Schulz has given a keynote paper eLearning – When does the learning start? for the 6th International Forum on Teacher Education, Kazan Federal University (9 June 2020). During this conference, John was also invited to a Round Table Discussion on Disseminating Research using Video.
Michael Tomlinson was a keynote speaker at Monash University’s (Australia) School of Education annual Graduate Alumni conference which attracted just over 200 recent Monash graduates (August, 2019). The overall theme of the conference was career development and employability.
Chris Downey and Maria Kaparou have both presented at ICSEI and AERA on the outcomes of their Ambitions School Leadership research project:
Downey, C. (2020). Identifying key actors in informal collaborative networks in schools. Paper presented at the International Congress for School Effectiveness and Improvement 33rd Annual Conference, Marrakech, Morocco.
Downey, C., Kaparou, M., Burg, D., & Kelly, A. (2019). Diagnosing school improvement priorities during the first year of a new Principal. Paper presented at AERA Annual Meeting, Toronto, Canada.
Kaparou, M., Downey, C., & Kelly, A. (2020). The role of MATs in supporting or intervening in less-performing schools to facilitate continuous improvement: Evidence from MAT schools in challenging contexts in England. Paper presented at International Congress for School Effectiveness and Improvement 33rd Annual Conference, Marrakech, Morocco.
Learning Inequalities During the Covid-19 Pandemic: how families cope with home Schooling (Pensiero, N. Kelly, A. & Bohkove, C., 2020)
The transition from face-to-face to distance (home and online) schooling is likely to generate educational loss. Using data from Understanding Society, the UK Household Longitudinal Study, the research team estimated loss to be more pronounced for children from disadvantaged socio-economic backgrounds than for other children.
The research found that children in the most advantaged families, where both parents work regularly from home, the main parent is in a ‘service class’ occupation (large employers, managers of professionals) and the children have their own computer, spent on average 2.9 hours per day on school work for primary and 3.8 per day for secondary education. More disadvantaged children in families where the main parent is not in a service class occupation, where the child has to share a computer with other family members and either parent does not work regularly from home, the hours spent per day on school work are 2.3 for primary and 2.6 for secondary education.
The findings estimated that children from the most disadvantaged group will have lost a year’s worth of progress across subjects by the reopening of schools in autumn, while children from the most advantaged group will have lost much less, especially in secondary education.
This project has generated much media interest, including in: The Guardian, MailOnline and phys.org.
Please contact one of the authors if you would like to read the research report.
Ambitions School Leadership Project (Downey, C, Kelly, A & Kaparou, M.
This research project, funded by the Ambition Institute (2019), presents findings from ten qualitative case studies of new-in-post headteachers working to secure school improvement in primary and secondary schools facing challenging circumstances. The range of data collected was based on two rounds of qualitative interviews with the headteachers and members of their senior leadership teams. In the first round, participants were asked questions about how they diagnosed, prioritised and carried out school improvement strategies. The second round was designed as follow up with the participants to inquire about the barriers to improvement that they experienced and their approaches to monitoring progress.
While each school had different needs and strategies based on their contexts, the findings indicate that multiple strands of school improvement activity were implemented concurrently, in a layered way. However, within the different strands of school improvement, many headteachers followed a common sequential set of steps to ensure those strands were working for the benefit of the students and staff in their school.
This study makes an important contribution to our existing knowledge through offering further insight into the complex and challenging first year in post of headteachers, whilst it will be of particular interest to current headteachers, prospective headteachers and others working in senior leadership positions in schools facing similarly challenging circumstances. This report is also highly relevant to the work of anyone who supports headteachers in their school leadership, together with those who work to provide high-quality training and professional development for current headteachers; and especially those aspiring to headship.
LEEP has a strong and dynamic doctoral community and its members have supervised many students to successful completion over the years. PhD graduate of the Southampton Education School, Amal Saleh Al Mugarashi, supervised by Prof. Tony Kelly and Dr Maria Kaparou, has been announced as the joint winner of the BELMAS Doctoral Thesis Award for 2019. BELMAS (the British Educational Leadership, Management & Administration Society) has for nearly fifty years been the UK’s leading academic body for research in educational leadership and the award is considered a very prestigious one for researchers in the field. Amal's thesis ('Group dynamics and the construction of identities in Omani Higher Education: a case study of cultural diversity using a social identity approach') was deemed by the selection panel to have made the most important contribution to our understanding of educational leadership and policy.'
Over the past year, the following students have successfully completed their doctorates:
**Lina Khalil's (2019):** International schooling: a sociocultural study, PhD in Education. Supervisors: Tony Kelly and Maria Kaparou.
**Moosavi, Salma (2019).** Moving through post-16 Education: A mixed methods study of the characteristics and perspectives of level 2 vocational learners in England. PhD in Education. Supervisors, James Hall and Michael Tomlinson.
**Lynsey Melhuish (2019).** Exploring student perspectives of employer engagement as part of their HE learner journeys. Doctorate in Education. Supervisors Michael Tomlinson and Melanie Nind.
**Manli Xu (2020).** Using graduate capital to understand Chinese doctoral students' The employability of Chinese doctoral students, PhD in Education. Supervisors, Michael Tomlinson and Chris Downey.
**Enas Alwarfi (2020).** Exploring pre-service teachers' engagement in an online professional learning community. PhD in Education. Supervisors, Gary Kinchin and Chris Downey.
**Meng Zhan (2020).** The post-study labour migration of non-UK domiciled postgraduate students: Flows in reflexive modernityPhD in Education. Supervisor Martin Dyke and Chris Downey.
Recent notable publications from LEEP
The following publications are written by LEEP researchers:
Hall, J., & Malmberg, L-E. (Eds.) (in press). The contribution of Multilevel Structural Equation Modelling to contemporary trends in educational research. International Journal of Research & Method in Education
Hall, J., Malmberg, L-E., Lindorff, A., Baumann, N., & Sammons, P. (2020). Airbag Moderation: The definition and implementation of a new methodological model. International Journal of Research & Method in Education [online first] https://doi.org/10.1080/1743727X.2020.1735334
Al Muqarshi, A., Kaparou, M., & Kelly, A. (2020) Managing cultural diversity for collective identity: A case study of an ELT department in Omani higher education. Educational Management Administration & Leadership. https://doi.org/10.1177/1741143220921187
Downey, C., Burg, D., Kaparou, M., & Kelly, A. (2019). School improvement in challenging contexts: insights from ten new headteachers. London: Ambition Institute. London, UK: Ambition Institute.
Kelly, A. (2019) A new composite measure of ethnic diversity: investigating the controversy over minority ethnic recruitment at Oxford and Cambridge universities, British Educational Research Journal. 45(1):41-82. Open Access - FREE to download at: https://onlinelibrary.wiley.com/doi/10.1002/berj.3482
Kelly, A., Azaola, M.C. & Schulz, J. (2020) Island Voices: choice, equity and opportunity in Jersey schools, Cambridge Journal of Education. 10.1080/0305764X.2019.1604626
Pensiero, N. (2020). To leave or not to leave? Understanding the support for the United Kingdom membership in the European Union: Identity, attitudes towards the political system and socio-economic status. Rationality and Society.
Pensiero, N., & Schoon, I. (2019). Social inequalities in educational attainment: The changing impact of parents' social class, social status, education and family income, England 1986 and 2010. Longitudinal and Life Course Studies, 10(1), 87-108.
O'Riordan, T, Millard, D and Schulz J. (2020 in press) Is Critical Thinking Happening? Testing Content Analysis Schemes Applied to MOOC Discussion Forums. Computer Applications in Engineering Education
Iskru, V. V., and Schulz, J. (2020). How Postgraduate Students Use Video to Help Them Learn. Contemporary Educational Technology, 12(2), ep276. https://doi.org/10.30935/cedtech/8400
Tomlinson, M. & Jackson, D. (2020) Professional identity formation in higher education students, Studies in Higher Education, doi.org/10.1080/03075079.2019.1659763
Jackson, M & Tomlinson, M. (2020) 'Investigating the relationship between career planning, proactivity and employability perceptions amongst higher education students in uncertain labour market conditions', Higher Education (Higher Education doi.org/10.1007/s10734-019-00490-5)
Alwafi, E.M., Downey, C. and Kinchin, G. (2020), "Promoting pre-service teachers' engagement in an online professional learning community: Support from practitioners", Journal of Professional Capital and Community, Vol. 5 No. 2, pp. 129-146. https://doi.org/10.1108/JPCC-10-2019-0027
Recent notable publications from LEEP
Kinchin, G.D. (2019). Entering secondary physical education student teachers' expectations of their program of initial teacher training. International Journal of Physical Education, Fitness and Sports, 8(1), 85-94.
LEEP seminars this semester
Tuesday 3rd Nov. 12-1 p.m
PISA, student achievement and perceptions: it's not just about schools. (Organised by the Math, Science & Health Education research centre.)
Dr Mary Oliver & Dr Mike Adkins (University of Nottingham). What can we learn from Big Data in Education? Large data sets, PISA and NPD, provide opportunities to explore associations between different variables. We were interested in exploring instructional strategies and different aspects of 'affect' and aspirations on the PISA / GCSE scores. Comparing instructional approaches shows a complex picture: inquiry-based teaching shows positive associations with interest and engagement in science and negative associations with achievement. This is a controversial and contested finding but consistent across countries. We will look at some of the headline representations of PISA and share our analyses of instructional strategies, students' awareness of environmental issues and consider geo-political contexts.
Tuesday 17th Nov. 12-1 p.m
The Networked School Leader: How to Improve Teaching and Student Outcomes using Learning Networks
Professor Chris Brown, (Durham University). Education networks can facilitate a more willing distribution of professional knowledge; enable the development of context-specific strategies for school improvement; and even facilitate schools and others to share resources. At the same time, to achieve such benefits requires school leaders to consider how best to connect network activity to the day-to-day practices of their school. To explore this area a mixed methods approach (interviews, survey data and social network analysis) was used to examine models of networked leadership within schools participating in a Research Learning Network in Hampshire, England.
Tuesday 1st December, 12-1 p.m
Ethnic disproportionality in the identification of Special Educational Needs (SEN): A national longitudinal cohort age 5-11
Professor Steve Strand (University of Oxford). The talk presents the results of a recent DFE-ESRC funded study into ethnic disproportionality in the identification of SEN in England. The results reveal substantial ethnic disproportionality for some SEN. For example, Black Caribbean and Mixed White and Black Caribbean pupils are twice as likely to be identified with Social, Emotional and Mental Health (SEMH) difficulties as White British pupils. Also, Asian (Indian, Pakistani, Bangladeshi and Other Asian) pupils are only half as likely to be identified with Autistic Spectrum Disorders (ASD) as White British pupils. To understand what might drive these outcomes, national administrative data are used to conduct a longitudinal analysis of the identification of SEN among over 550,000 pupils followed from age 5-11 years. Survival analysis is used to determine the Hazard Ratios (HRs) for time to first SEN identification, controlling for prior attainment and social-emotional adjustment at age 5 as well as socio-economic factors. For some SEN, like Moderate Learning Difficulties, ethnic over-representation can be accounted for by greater exposure to early risk factors. However, for SEMH and ASD the disproportionalities remain large even after adjusting for age 5 covariates. Both cultural factors and school processes that may contribute to disproportionality are discussed. |
Lest We Forget —
“The USSVI Submariner’s Creed”
To perpetuate the memory of our shipmates who gave their lives in the pursuit of their duties while serving their country. That their dedication, deeds, and supreme sacrifice be a constant source of motivation toward greater accomplishments. Pledge loyalty and patriotism to the United States of America and its Constitution.
Inside This Issue:
Meeting minutes 2
Lost Boats 3
Undersea Warfare Hist 3
SUBRON 8 5
ICEX 2022 6
Contact information 9
Application form 10
News Brief
1. Next Meeting: At 1100, third Saturday of each month at the Knollwood Sportsman’s Club. Mark your calendars for these upcoming dates:
a. March 19
b. April 16
c. May 21
2. Duty Cook Roster:
a. March – Bret Zacher’s Famous St. Patty’s Day Feast
b. April – Maurice Young
c. May – Chris Gaines
3. March Birthdays: Chris Gaines 13th; John Lindstedt 17th. Happy Birthday Shipmates!
4. Our Chicago WWII Submarine Veteran’s Memorial was damaged by graffiti recently. The City of Chicago alerted us and then cleaned the memorial. Some rust is apparent and the City will correct that too.
1) Call to Order 1115
2) Attendance –
a) Herman Mueller
b) Ted Rotzoll
c) Chris Gaines
d) Frank Walter
e) Scott Jaklin
f) Glenn Barts
g) Frank Voznak, Jr.
h) Maurice Young
i) Clay Hill
j) Bret Zacher
k) Manny Garmendez
3) Reports:
a) Secretary’s Report
i) Visiting Stanford University in California next month
ii) Tasked with Veteran’s project for UWM: collecting ideas
(1) Combat tank, cannon, sanitary tank, torpedo, memorial park with all services, stones similar to Great Lakes/Manitowoc, Burr Ridge Veterans Memorial (double ring memorial park)
(2) Sail passed up by Chicago: work with Zablocki VA for placement
b) Treasurer’s Report
i) Funds in GLCU: Checking $1,530.24; Savings $1,000.00
(1) Crash Dive Memorial: $11,089.31; Petty Cash: $100
ii) Received Memorial Fund interest payment: $1,089.31 (10.42% return)
iii) USSVI Annual Report – submitted to National 08 Feb 22; approved 11 Feb 22.
(1) Frank Walter selected Lucky Gentleman of the meeting
c) Committee Reports
i) Newsletter – Chris Gaines
(1) February completed to be posted today
(a) Thanks to Clay and Bret for links
ii) Membership – Chris Gaines
(1) Member dues report and outstanding
(a) 17 members paid, 5 life members, 24 members total on books
(b) 7 members still no contact, question to drop
(c) Clay searched death notices, but no public records
(d) Send final notice in mail before dropping; Chris email Clay with list
(e) Last Will addendum to contact base following passing: available on website (chaplain section)
iii) Community Outreach – Bret Zacher
(1) USSVI news handout with info about conventions, philanthropy, IL sub plates in legislation
(2) April 1st USSVI national website coming back, hopefully, with space for base info
(3) Page full of links to services and news articles
iv) Hospitality – Bret Zacher
(1) No report
v) Webmaster – Frank Voznak, Jr.
(1) Working on recovering pictures and troubleshooting pages
vi) Storekeeper – Herman Mueller
(1) Inventory list to Bret for sales
(2) Question about base patches and reordering if needed
vii) Eagle Scout – Ted Rotzoll
(1) 3 scout Courts of Honor coming up; doing presentations in person
(2) Invitation to attend and request to add notices of Courts scheduled to newsletter/email
(1) Opportunities to match donations toward Cobia (up to $3k/yr) or recent offer to match up to $500k (National Treasures)
ii) Previous recipients
(1) Toys for Tots
(2) Cobia Dry Dock
(3) Holland Club ($50 recommended)
(4) USO (no longer accepts toiletries)
(5) Submarine Sponsor for Boats (Submarine Magazine) $30
(6) Navy/Marine Relief Society – Combat Casualty Assistance pgm
(7) USSVI Brotherhood Fund
(8) Friends of Fisher House of IL
(9) Wounded Warrior Project
(10) Sea Cadets @ Rickover Academy
(11) Operation Santa via Cobia (used to be through Greg)
(12) Lutheran Church for Dogs
(13) Herman Motions, Glenn 2nds to donate about $50 to each BOLD, $250 total. Motion carries.
c) WWII Chicago Memorial - Plaque Dedication
i) Set a date and event plan & Participation
(1) Monday of Memorial Day Weekend, 30 May 2022, 11am
(2) Reach out to scouts to hold Court of Honor with ceremony
(3) Community outreach item to contact Rickover Academy
d) Cobia Dry Dock Status – Hand out
(1) Discussed with handout; memorial fund focused on such large, long-term project
e) Impromptu discussion about inter-base activities and projects (none held for past 10 yrs)
(1) To be fleshed out at staff meeting
2) Good of the Order
a) Duty Cook
i) March – Bret, St. Patrick’s meal
ii) April – Maurice, something good
iii) May – Chris
b) 786 Club
i) Next speaker: 23 Feb 22, VADM Bill Houston, ComSubFor and ComSubLant
(1) May be cut short or affected by tensions in Ukraine
ii) Trip to Pearl in June, outlook is better.
3) SOUND Klaxon
a) Next Meeting is 19March 2022 @ KSC
4) Adjourn 1309
Lost Boats
| Boat | Type | Date |
|---------------|----------|------------|
| USS Perch | SS 176 | 3/3/42 |
| USS Grampus | SS 207 | 3/5/43 |
| USS H-1 | SS 28 | 3/12/20 |
| USS Triton | SS 201 | 3/15/43 |
| USS Kete | SS 369 | 3/20/45 |
| USS S-4 | SS 23 | 3/25/15 |
| USS Tullibee | SS 284 | 3/26/44 |
| USS Trigger | SS 237 | 3/26/45 |
Undersea Warfare History
- March 1, 1959 – USS Harder (SS-568)
Harder participated in SUBICEX during which she cruised 280 miles beneath the ice packs off Newfoundland, further than any conventionally powered submarine had previously gone.
- March 4, 1944 – USS Tinosa (SS-283):
Tinosa ended her 5th war patrol at Pearl Harbor, HI.
- March 5, 1966 – USS Capitaine (SS-336):
Transferred (loaned) to Italy, 5 March 1966, where she was recommissioned in the Italian Navy as Alfredo Cappellini (S-507).
- March 6, 1982 – USS Atlanta (SSN-712):
Commissioned with CDR Robin J. White in command.
- March 7, 1945 – USS Rock (SS-274):
At the start of her 6th war patrol, she picked up 15 merchant seamen, adrift in a life raft for 32 days, and landed them at Exmouth.
- March 8, 1961 – USS Patrick Henry (SSBN-599):
When Patrick Henry surfaced off Holy Loch, Scotland, she had set a record for her type, cruising submerged 66 days and 22 hours.
- March 11, 1945 | USS Segundo sank the cargo ship Shori Maru.
- March 12, 1945 | USS Perch (SS-313):
Perch departed Fremantle on her 5th war patrol, carrying 11 Australian specialists trained in commando warfare. In the Makassar Straits, she contacted a coastal freighter. Using gunfire, Perch sank the freighter.
- March 13, 1945 | USS Crevalle (SS-291):
Crevalle put to sea on her 6th war patrol from Pearl Harbor, HI. Cruising in the East China Sea, she took up a lifeguard station during air strikes preparing for the Okinawa invasion.
- March 14, 1956 | USS Barbero (SS-317):
Barbero fired her first “Regulus” successfully from a point off San Clemente Island. Her second shot came off equally well two weeks later.
- March 15, 1945 | USS Spot (SS-413):
On the second night in her assigned patrol area, Spot expended all torpedoes
attacking a Japanese convoy. Spot sank the passenger cargo ship, Nanking Maru, and damaged a freighter. The attack was made in heavy weather and shallow water.
- March 16, 1944 | USS Silversides (SS 236) sank the cargo ship Kofuku Maru.
- March 17, 1959 | USS Skate (SSN 578) becomes the first submarine to surface at the North Pole, traveling 3,000 miles in and under Arctic ice for more than a month.
**U.S. Navy reestablishes Submarine Squadron Eight**
*by Commander, Submarine Force Atlantic Public Affairs*
18 February 2022
NORFOLK, VA --
Capt. Brian Hogan, commodore, Submarine Squadron (COMSUBRON) Eight, renders a salute to sideboys as he departs his command’s reestablishment ceremony at Naval Station Norfolk, Friday, Feb. 18. COMSUBRON Eight’s re-establishment is intended to distribute and align the responsibility for command and control of submarines assigned to Commander, Submarine Squadron 6, based in Norfolk, Va., during the submarines’ sustainment phase and maintenance shipyard periods. (U.S. Navy Photo by Mass Communication Specialist 1st Class Cameron Stoner)
The U.S. Navy reestablished Commander, Submarine Squadron (COMSUBRON) 8 during an official ceremony at Naval Station Norfolk, Friday, Feb. 18.
COMSUBRON 8’s re-establishment is intended to distribute and align the responsibility for command and control of submarines assigned to Commander, Submarine Squadron 6, based in Norfolk, Va., during the submarines’ sustainment phase and maintenance shipyard periods.
COMSUBRON 8 was initially disestablished in a ceremony on April 28, 2011, and the squadron’s original roles and responsibilities were merged with COMSUBRON 6.
This move returns the control of new submarine construction and ongoing submarine operating maintenance schedules of Los Angeles-class attack submarines and Virginia-class submarines homeported in Norfolk, Va. to COMSUBRON 8.
COMSUBRON 6 retains the operational responsibility of preparing Norfolk-based submarine crews in all facets of operations, to include tactical and operational readiness for war, inspection and monitoring duties, nuclear and radiological safety, and the development and control of submarine operating schedules and logistical support coordination of all submarine operations in the Virginia Capes operating areas.
Vice Adm. William Houston, Commander, Submarine Forces, was the keynote speaker for the establishment ceremony.
“Normally we have a change of command which can be upsetting as it means someone is moving on, but this ceremony is nothing but good news as we are reestablishing a squadron,” said Houston. “The reestablishment will give us a squadron that can concentrate on maintenance and new construction and that skillset, while we have another squadron that is focused on operational units.”
Capt. Brian Hogan took command of submarines previously under COMSUBRON 6, relieving Capt. Jason Pittman, commodore, COMSUBRON 6, of responsibility of new submarine
construction and ongoing submarine operating maintenance schedules.
“I would first like to congratulate Brian on assuming command of Submarine Squadron 8,” said Pittman. “He brings to the team a wealth of invaluable experience and I cannot think of anyone more right for the job than him. It is an important day for the entire Submarine Force and the entire Navy. We are building a dedicated team that will lean in and learn new and innovative ways to build and repair our submarines.”
After assuming command of COMSUBRON 8, Hogan gave remarks on reestablishing the squadron.
“Submarine Squadron 8 was established back in the 1940s, so we are simply restoring Submarine Force normalcy by reestablishing it here today,” said Hogan. “This time around, Squadron 8 is focused on shipyard readiness. It is difficult to transition a submarine and its crew into the shipyard and back out as the boat and crew both transform themselves for operational readiness. It is important we get these transitions right, and it is now our job to do it successfully.”
COMSUBRON 8 will step in to provide administrative, manning, logistical, training, operational planning and readiness support for Los Angeles-class attack and Virginia-class fast attack submarine during periods of maintenance and improvement.
Fast-attack submarines are multi-mission platforms enabling five of the six Navy maritime strategy core capabilities – sea control, power projection, forward presence, maritime security and deterrence. They are designed to excel in anti-submarine warfare, anti-ship warfare, strike warfare, special operations, intelligence, surveillance and reconnaissance, irregular warfare and mine warfare. Fast-attack submarines project power ashore with special operations forces and Tomahawk cruise missiles in the prevention or preparation of regional crises.
The Submarine Force and supporting organizations constitute the primary undersea arm of the Navy. Submarines and their crews remain the tip of the undersea spear.
Navy launches Ice Exercise 2022 in the Arctic Ocean
Courtesy Photo | BEAUFORT SEA, Arctic Circle (March 5, 2022) – Virginia-class attack submarine USS Illinois (SSN 786) surfaces in the Beaufort Sea, kicking off Ice Exercise (ICEX) 2022. ICEX 2022 is a three-week exercise that allows the Navy to assess its operational readiness in the Arctic, increase experience in the region, advance understanding of the Arctic environment, and continue to develop relationships with other services, allies, and partner organizations. (U.S. Navy photo by Mike Demello/Released)
02.28.2022
Story by Lt. Seth Koenig
Commander, Submarine Force Atlantic
U.S. NAVY ICE CAMP QUEENFISH – Commander, Submarine Forces (COMSUBFOR) officially kicked off Ice Exercise (ICEX) 2022 in the Arctic Ocean on Friday, March 4, after the building of Ice Camp Queenfish and arrival of two U.S. Navy fast attack submarines.
ICEX 2022 is a three-week exercise designed to research, test and evaluate operational capabilities in the Arctic region.
“The Arctic region can be unforgiving and challenging like no other place on Earth,” said Rear Adm. Richard Seif, commander of the Navy’s Undersea Warfighting Development Center in Groton, Connecticut, and the ranking officer of ICEX 2022. “It’s also changing and becoming more active with maritime activity. ICEX 2022 provides the Navy an opportunity to increase capability and readiness in this unique environment, and to continue establishing best practices we can share with partners and allies who share the U.S.’s goal of a free and peaceful Arctic.”
The Arctic is experiencing a trend of diminishing sea ice extent and thickness creating the likelihood of increased maritime activity in the region, including trans-oceanic shipping and resource extraction.
The Navy’s Arctic Submarine Laboratory (ASL), based in San Diego, serves as the lead organization for coordinating, planning and executing the exercise involving representatives from four nations and more than 200 participants over the five weeks of operations.
In addition to the U.S. Navy, Army, Air Force, Marine Corps and Coast Guard personnel who are participating in the exercise, personnel from the Royal Canadian Air Force, Royal Canadian Navy and United Kingdom Royal Navy are participating.
U.S. Marine Corps Capt. Dave Swensen is leading a team of six from the Marine Corps Mountain Warfare Center to assist in ICEX 2022.
“Any opportunities we can get to provide our personnel access to experience in extreme cold conditions will be force multipliers to our institution and ultimately to the Marine Corps,” said Swensen, who added that five of the center’s personnel taking part in ICEX are instructors at the Bridgeport, California, cold weather center for excellence. “We will come back among the most cold weather-experienced personnel at the base.”
A temporary ice camp is being established on a sheet of ice in the Arctic Ocean, known as an ice floe, to support testing submarine systems and other arctic research initiatives.
The camp, named Ice Camp Queenfish, will serve as a temporary command center for conducting operations and research in the Arctic region. The camp consists of shelters, a command center, and infrastructure to safely house and support more than 60 personnel at any one time.
“At Ice Camp Queenfish, our teams can test equipment in a very harsh and demanding environment,” said Howard Reese, director of the Arctic Submarine Laboratory. “It’s important that all the technology we’re testing can perform in all of the oceans of the world, including the Arctic. Here, we can learn what works well in the Arctic and what doesn’t work as well, and we can make changes and improvements.”
The camp gets its namesake from USS Queenfish (SSN 651), the first Sturgeon-class submarine to operate under ice and the fourth submarine to reach the North Pole when it surfaced there on Aug. 6, 1970.
Submarines have conducted under-ice operations in the Arctic regions in support of inter-fleet transit, training, cooperative allied engagements and operations for more than 60 years. USS Nautilus (SSN 571) made the first transit in 1958. USS Skate (SSN 578) was the first U.S. submarine to surface through arctic ice at the North Pole in March, 1959.
Since those events, the U.S. Submarine Force has completed 97 Ice Exercises - ICEX 2022 is the 98th - the last being conducted in 2020.
“A big part of this is building on the submarine community’s history, going back to the 1940s, operating in the Arctic,” said Lt. Mike Reid, an exercise range safety officer, supporting ICEX from the Navy’s Norfolk, Virginia,-based Operational Test
and Evaluation Force. “This demonstrates that we not only haven’t lost that skill set, but we’re always learning, improving and building upon the lessons we’ve learned over the decades. ICEX 2022 is an exciting opportunity for the junior personnel to take part in that history and carry on that tradition.”
For more information about ICEX 2022, visit: www.navy.mil or www.facebook.com/SUBLANT or www.facebook.com/SUBPAC
(See also this ABC Good Morning America report: https://tinyurl.com/mr3w798a. Ed.)
What is the maximum depth a sailor on a submarine can escape the casing and survive the ascent and are there survival devices that would assist in the escape?
Boyd Grandy, Former Navy CPO at United States Navy (USN) (1970–1982)
In WWII, part of a German Uboat crew was able to escape their sunken boat by free ascent from a depth of about 900 feet. All of the survivors suffered ruptured ear drums, from the rapid pressurization in the escape trunk to 400psi, for which I am sure they were eternally grateful.
In modern submarines, there are escape trunks forward and aft to allow for either docking of a DSRV (preferable*) or escape by free ascent. Theoretically, escape can be performed from any depth at which the pressure hull is intact, so from any depth less than crush depth (classified data you have no need to know). The crewmen are prepared in the escape trunk by donning and pressurizing a flexible hood like affair (when I was in it was the Stienke Hood). The device provides for a water free volume in which to breathe over the head and positive buoyancy for flotation.
The crewman making the ascent has to blow out continually until he breaks the surface; in my day we were trained to say “Ho, ho, ho…..” all the way up. This is to vent the air that he took into his lungs that was equalized with the escape depth; if you don’t vent your lungs to maintain pressure equalization as you rise to the surface, your lungs will over pressurize and pop like little wet balloons, because you will lose 44psi of seawater pressure for every 100 feet of ascent, and the air in your lungs will expand as that pressure decreases. You really do not have to breathe in during the trip, as your rate of ascent should be fast enough to produce a constant volume of air to blow out.
Once at the surface, breathe normally! Of course, you’d better hope that there is another vessel there willing to pull you out of the water, or you will die of exposure to the 45 degree surface water temperature within an hour when your core temperature falls too low. Less time as you go north (or south) towards the pole, as the seawater gets colder.
*The chances of a submarine being grounded at a depth and attitude at which a DSRV can be docked are very slim indeed. DSRVs are primarily intended to give Mom at home a feeling that her boy can be safely recovered from his submarine in case of accident or sinking by war. Just the logistical tail of deploying one to a sunken boat site should demonstrate how futile that effort would be.
What are the restrooms like on a nuclear submarine?
Kevin McAllister, Retired U.S.Navy Submariner, Golden Shellback.
Updated Apr 18, 2020
There are no restrooms on a submarine. Submarines have heads, where there are a few small stainless steel sinks, 1 or 2 very small showers and 2 to 3 toilet bowls. To flush a submarine toilet you manually open a seawater flushing valve and then open a large ball valve at the base of the toilet bowel to let it all drain down into a holding tank, flush for 3 to 5 seconds, shut the ball valve, let the bowl fill with 4 inches of seawater and shut the flushing valve.
Bathrooms aboard navy ships are called "heads", earning their name from sailing days, when they were located at the bow, or head of the ship.
There are 2 main differences between household bathrooms and heads aboard submarines. The 1st is the scarcity of water. Submarines have to distill water they need for drinking, cooking, and bathing from seawater and have a limited supply, so the crew takes "submarine showers" - turn the water on and wet down, turn the water off and soap up. Turn the water on and rinse off. Repeat until done. You can't ever leave the water running anywhere. Not even while brushing your teeth.
The 2nd important difference is that the submarine has to discharge its sanitary tanks every so often. On the older classes (i.e. pre-688), they pressurize the sanitary tanks and blow them overboard. This is critical, in that you don't want to flush a toilet while a tank is being blown overboard. VERY critical. The toilets are flushed by opening a ball valve that lets the toilet contents flow down into the tank, but if you open the ball valve while the tank is pressurized - see the right side photo for what happens. And yes, it DOES happen. At least once a patrol, it seems a new crew member forgets, despite the sign hanging on the commode door, and he tries to flush the toilet while the tank is being blown overboard. VERY MESSY.
Courtesy of: [The Basics about U.S. Nuclear Powered Submarines](#)
Inside the Submarine - The Heads (Bathrooms)
addendum 1: I hated the outboard shower in the middle level head, there was a particularly sharp corner guaranteed to draw blood. I always tried to get a bunk in the lower level in the 21 man berthing. .
APPLICATION FOR MEMBERSHIP
Regular ☐ Life ☐ Associate ☐
OUR CREED: “To perpetuate the memory of our shipmates who gave their lives in the pursuit of their duties while serving their country. That their dedication, deeds and supreme sacrifice be a constant source of motivation toward greater accomplishments. Pledge loyalty and patriotism to the United States of America & its Constitution.”
With my signature below I affirm that I subscribe to the Creed of the United States Submarine Veterans, Inc., and agree to abide by the Constitution, all Bylaws, Regulations and Procedures governing the U.S. Submarine Veterans, Inc., so long as they do not conflict with my military or civil obligations. I will furnish proof of my eligibility for Regular membership, including my discharge under honorable conditions, and proof of my U.S. Navy (SS) Designation, if required by the Base or the national Membership Chairman. If I am not discharged, the discharge requirement is waived. If I am not U.S. N. submarine qualified, I am applying as an Associate and my sponsor is indicated below.
☐ I certify that I was designated qualified in USN Submarines aboard ____________________________ in _________ (Yr)
(Honorary designations regardless of source do not apply under any circumstances.)
☐ I certify that I received a discharge under Honorable Conditions (if not currently in military service) in _______ (Yr)
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The Member Dues year runs from Jan 1st thru Dec 31st. Please indicate your term preference:
Nat’l Dues: 5 Yr term: $115.00; 3 Yr term: $70.00; 1 yr term (Jan thru Sep) $25.00; (Oct thru Dec adds the next yr): $30.00;
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How did you find USSVI? ☐ Friend, ☐ Boat Assn, ☐ Local Event/News, ☐ Internet, ☐ Other (______________)
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YOUR U.S. NAVY BIOGRAPHICAL DATA
Date Of Birth (MM/DD/YY) _____/_____/_____ If other military service, What Branch? ________________
Highest Rate & Rank Attained: ______________ Mil Retired (Y/N): _____ On Active Duty? (Y/N): _____
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☐ Check here if your Military Service falls within these time periods: Dec 7, 1941, thru Dec 31, 1946;
June 27, 1950, thru Jan 31, 1955; Aug 5, 1964, thru May 7, 1975; and Aug 2, 1990 to date.
☐ Check here if you have been awarded an Expeditionary Medal
Submarines and ships served aboard as ship’s company (Use back if you need more space.)
1. __________________________ Hull# ______________ From Yr._____ to Yr. _____
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(Leave this address line blank if the same as your home address)
Upon completion, give or mail this form, including your National and Base membership DUES (payable to ‘Crash Dive Base’) to Crash Dive Membership Chairman Tom Polzin. 1305 Winslow Circle, Woodstock, IL 60098; 847-867-8668
March 21, 2019
Rev. I |
2018-2019 School Year Calendar
LEARN • LEAD • SERVE
Vision
Achieving Excellence in Catholic Education
LEARN • LEAD • SERVE
Mission
To educate students in faith-filled, safe, inclusive Catholic learning communities by nurturing the mind, body and spirit of all.
Peterborough Victoria Northumberland and Clarington Catholic District School Board
## ADMINISTRATIVE OFFICE
**PETER L. ROACH**
**CATHOLIC EDUCATION CENTRE**
1355 Lansdowne Street West
Peterborough, ON, K9J 7M3
(705) 748-4861/1-800-461-8009
Administration Fax: (705) 748-9734
Communications Fax: (705) 748-9691
Visit our Web Site at: [www.pvnccdsb.on.ca](http://www.pvnccdsb.on.ca)
Director of Education and Secretary/Treasurer
Michael Nasello
**Superintendent of Learning / Special Education Services**
Anne Marie Duncan
SCHOOLS SUPPORTED BY ANNE MARIE DUNCAN
LISTED BELOW IN RED
**Superintendent of Learning / Innovation Technologies**
Laurie Corrigan
SCHOOLS SUPPORTED BY LAURIE CORRIGAN
LISTED BELOW IN BLUE
**Superintendent of Learning / K-12 Program**
Dawn Michie
SCHOOLS SUPPORTED BY DAWN MICHIE
LISTED BELOW IN GREEN
**Superintendent of Learning / Student Success**
Timothy Moloney
SCHOOLS SUPPORTED BY TIMOTHY MOLONEY
LISTED BELOW IN TEAL
**Superintendent of Learning / Leadership and Human Resource Services**
Joan Carragher
**Superintendent of Business and Finance / Facility Services**
Isabel Grace
**Controller of Finance – Teri Smith**
**Human Resource Services Manager**
Darren Kahler
**Purchasing, Planning, and Facilities Administration Manager**
Kevin Hickey
**Facility Services Manager**
Richard Driscoll
**Information Technology Services Manager**
Sean Heuchert
**Communications Manager**
Galen Eagle
**STUDENT TRANSPORTATION SERVICES OF CENTRAL ONTARIO**
(705) 748-5500 / 1-800-757-0307
[www.stsco.ca](http://www.stsco.ca)
**Chief Administrative Officer**
Joel Sloggett
---
## BOARD MEMBERS
**Michelle Griepsma**
BOARD CHAIRPERSON
Trustee - City of Kawartha Lakes
1355 Lansdowne Street West
Peterborough, ON, K9J 7M3
Home: (705) 298-4474
email@example.com
**David Bernier**
BOARD VICE-CHAIRPERSON
Trustee - Northumberland County
4585 Massey Road
Port Hope, ON, L1A 3V5
Home: (905) 753-8446
firstname.lastname@example.org
**Christine Dunn**
Trustee - City of Peterborough
484 Weller Street, Apt. #6
Peterborough, ON, K9H 2N6
Home: (705) 559-4231
email@example.com
**Helen McCarthy**
Trustee - City of Peterborough
1355 Lansdowne Street West
Peterborough, ON, K9J 7M3
Home: (705) 748-3680
firstname.lastname@example.org
**Daniel Demers**
Trustee - Peterborough County
4201 R.R. #3, 228 Sharpe Line
Cavan, ON, LOA 1C0
Home: (705) 277-1946
email@example.com
**Ruth Ciraulo**
Trustee - Municipality of Clarington
470 George St. South, Apt. 705
Peterborough, ON, K9J 3E4
Home: (705) 201-3256
firstname.lastname@example.org
**Linda Ainsworth**
Trustee - Municipality of Clarington
38 Willey Drive
Bowmanville, ON, L1C 4Z6
Home: (905) 419-1509
email@example.com
**Student Trustees**
Calahndra Brake SENIOR TRUSTEE
Holy Cross C.S.S.
firstname.lastname@example.org
Eveline Fisher JUNIOR TRUSTEE
Holy Cross C.S.S.
email@example.com
---
## PUBLIC MEETINGS
**Monthly Board Meetings**
Tuesday at 6:30 p.m.
(excluding July and August)
**Other Public Meetings**
Please call the Board Office at (705) 748-4861 or 1-800-461-8009 to confirm dates and times for other public meetings.
---
## 2018 - 2019 DIRECTORY OF SCHOOLS
### CITY OF PETERBOROUGH
**Holy Cross Secondary, Peterborough**
1355 Lansdowne Street West
Peterborough, ON, K9J 7M3
(705) 748-6664 / Fax: (705) 742-1498
Principal: James Brake
**Immaculate Conception, Peterborough**
76 Robinson Street
Peterborough, ON, K9H 1E8
(705) 745-6777 / Fax: (705) 745-9620
Principal: Mary Cozzarin
**Monsignor O’Donoghue, Peterborough**
2400 Marsdale Drive
Peterborough, ON, K9L 1Z2
(705) 743-8951 / Fax: (705) 743-1838
Principal: Mark Collins
**St. Alphonsus, Peterborough**
875 St. Mary’s Street
Peterborough, ON, K9J 4H7
(705) 742-0594 / Fax: (705) 742-4215
Principal: Wayne Clark
**St. Anne, Peterborough**
240 Bellevue Street
Peterborough, ON, K9H 5E5
(705) 742-3324 / Fax: (705) 742-7060
Principal: Christine Brodie
**St. Catherine, Peterborough**
1575 Glenforest Blvd.
Peterborough, ON, K9K 2J6
(705) 742-6109 / Fax: (705) 742-4549
Principal: Shelley Adair
**St. John, Peterborough**
746 Park Street South
Peterborough, ON, K9J 3T4
(705) 745-4113 / Fax: (705) 745-9707
Principal: Andy Sawada
**St. Patrick, Peterborough**
300 Otobnabee Drive
Peterborough, ON, K9J 8L9
(705) 742-9801 / Fax: (705) 742-0275
Principal: Karan Leal
### CITY OF KAWARTHAS LAKES
**St. Paul, Peterborough**
1101 Hilliard Street
Peterborough, ON, K9H 5S3
(705) 742-2991 / Fax: (705) 742-6685
Principal: Lori Benninger
**St. Peter Secondary, Peterborough**
730 Medical Drive
Peterborough, ON, K9J 8M4
(705) 745-3538 / Fax: (705) 745-5025
Principal: Sherry Davis
**St. Teresa, Peterborough**
1525 Fairmount Blvd.
Peterborough, ON, K9J 6S9
(705) 745-0332 / Fax: (705) 742-3236
Principal: Julianne Charrette
### PETERBOROUGH COUNTY
**St. Joseph, Douro**
405 Douro 4th Line
Douro Dummer, ON, K0L 2H0
(705) 652-3961 / Fax: (705) 652-8247
Principal: Julie Selby
**St. Martin, Ennismore**
531 Ennis Road
Ennismore, ON, K0L 1T0
(705) 292-8997 / Fax: (705) 292-1915
Principal: Mark Byrne
**St. John, Peterborough**
746 Park Street South
Peterborough, ON, K9J 3T4
(705) 745-4113 / Fax: (705) 745-9707
Principal: Andy Sawada
**St. Patrick, Peterborough**
300 Otobnabee Drive
Peterborough, ON, K9J 8L9
(705) 742-9801 / Fax: (705) 742-0275
Principal: Karan Leal
**St. Paul, Lakefield**
P.O. Box 370, 2 Grant Avenue
Lakefield, ON, K0L 2H0
(705) 652-7532 / Fax: (705) 652-8942
Principal: Arlene Robinson
**St. Paul, Norwood**
P.O. Box 310, 55 Oak Street
Norwood, ON, K0L 2V0
(705) 639-2191 / Fax: (705) 639-5192
Principal: Leslie Keating
**St. Thomas Aquinas Secondary, Lindsay**
260 Angeline Street South
Lindsay, ON, K9W 0J8
(705) 878-4177 / Fax: (705) 878-4059
Principal: Gerard Winn
### NORTHUMBERLAND COUNTY
**St. Mary, Campbellford**
P.O. Box 1720, 35 Centre Street
Campbellford, ON, K0L 1L0
(705) 653-1370 / Fax: (705) 653-4432
Principal: Jason Roberts
**Notre Dame, Cobourg**
760 Burnham Street
Cobourg, ON, K9A 2X6
(905) 377-9967 / Fax: (905) 377-1214
Principal: Caroline Graham
**St. Joseph, Cobourg**
919 D’Arcy Street North
Cobourg, ON, K9A 4B4
(905) 372-6879 / Fax: (905) 372-5956
Principal: Robert Citro
**St. Mary Secondary, Cobourg**
1050 Birchwood Trail
Cobourg, ON, K9A 5S9
(905) 372-4339 / Fax: (905) 373-4529
Principal: Robert Majdell
**St. Michael, Cobourg**
23 University Avenue West
Cobourg, ON, K9A 2G6
(905) 372-4391 / Fax: (905) 372-1452
Principal: Guy Charrette
**St. Mary, Grafton**
Box 40
Grafton, ON, K0K 2G0
(905) 349-2061 / Fax: (905) 349-1099
Principal: Karen McCormack
**St. Anthony, Port Hope**
74 Toronto Road
Port Hope, ON, L1A 3R9
(905) 885-4583 / Fax: (905) 885-6702
Principal: Stephen O’Sullivan
**St. Elizabeth, Bowmanville**
610 Longworth Avenue
Bowmanville, ON, L1C 5B8
(905) 697-9155 / Fax: (905) 697-9376
Principal: Gerard van den Wildenberg
**St. Joseph, Bowmanville**
90 Parkway Crescent
Bowmanville, ON, L1C 1C3
(905) 623-9151 / Fax: (905) 623-6783
Principal: Marie-Claude Caron-Charrette
**Holy Family, Bowmanville**
125 Aspen Springs Drive
Bowmanville, ON, L1C 0C6
(905) 623-6255 / Fax: (905) 623-6131
Principal: Barb Smith
**St. Stephen Secondary, Bowmanville**
300 Scugog Street
Bowmanville, ON, L1C 6Y8
(905) 623-3990 / Fax: (905) 623-9991
Principal: Trevor Poehman
### MUNICIPALITY OF CLARINGTON
**St. Elizabeth, Bowmanville**
610 Longworth Avenue
Bowmanville, ON, L1C 5B8
(905) 623-9151 / Fax: (905) 623-6783
Principal: Marie-Claude Caron-Charrette
**Holy Family, Bowmanville**
125 Aspen Springs Drive
Bowmanville, ON, L1C 0C6
(905) 623-6255 / Fax: (905) 623-6131
Principal: Barb Smith
**St. Stephen Secondary, Bowmanville**
300 Scugog Street
Bowmanville, ON, L1C 6Y8
(905) 623-3990 / Fax: (905) 623-9991
Principal: Trevor Poehman
### FRENCH IMMERSION PROGRAMS
**Elementary**
St. Anne, Peterborough
St. Catherine, Peterborough
St. Joseph, Bowmanville
(FRENCH IMMERSION CENTRE)
**Secondary**
St. Peter, Peterborough
St. Mary, Cobourg
St. Stephen, Bowmanville
St. Thomas Aquinas, Lindsay |
SUBMISSION OF SPEAKER OF THE HOUSE AND SENATE PRESIDENT PURSUANT TO ORDER OF MAY 12, 2022
By Order dated May 12, 2022, this Court invited interested parties, intervenors, and amici curiae to submit proposed redistricting plans, accompanied by such supporting data, documentation, or memoranda that they deem helpful to the special master’s evaluation of their proposed plan’s compliance with the criteria set forth in the Court’s Order and Opinion. The Court’s Opinion indicated that the Court will decide this case “…solely under the Federal Constitution…” Opinion, p. 8, May 12, 2022.
The Court’s May 12, 2022, Opinion further detailed that Article I, §2 of the U.S. Constitution requires that congressional districts be apportioned so that “‘as nearly as is practicable, one [person’s] vote in a congressional election is to be worth as much as another’s.’” Id. (citing Wesberry v. Sanders, 376 U.S. 1, 7-8, 17-18 (1964)). “Article I, Section 2 establishes a ‘high standard of justice and common sense’ for the apportionment of congressional districts: ‘equal representation for equal numbers of people.’” Id. “The ‘as nearly as practicable’ standard requires that the State make a good-faith effort to achieve
precise mathematical equality.” *Opinion*, p. 8 (citing *Karcher v. Daggett*, 462 U.S. 725, 732 (1983)). (quotation and brackets omitted).
“Unless population variances among congressional districts are shown to have resulted despite such effort, the State must justify each variance, no matter how small.” *Opinion*, p. 8 (citing *Karcher*, 462 U.S. at 732) (Emphasis added). Absolute population equality is the paramount objective, so “[s]tates must draw congressional districts with populations as close to perfect equality as possible.” *Opinion*, p. 8 (*citing Evenwel v. Abbott*, 578 U.S. 54, 59 (2016); *Karcher*, 462 U.S. at 725).
In its May 12 Order, the Court tasked the appointed special master with modifying the existing congressional districts “only to the extent required to comply with the following criteria and ‘least change’ standards:
1. Districts shall be as equal in population as practicable, in accordance with Article I, Section 2 of the United States Constitution;
2. The redistricting plan shall comply with the Voting Rights Act of 1965, as amended, 52 U.S.C. § 10101 et seq., and any other applicable federal law;
3. Districts shall be made of contiguous territory;
4. To the greatest extent practicable, each district shall contain roughly the same constituents as it does under the current congressional district statute, such that the core of each district is maintained, with contiguous populations added or subtracted as necessary to correct the population deviations, see *Below v. Secretary of State*, 148 N.H. 1, 13-14, 28 (2002);
5. The plan shall not divide towns, city wards, or unincorporated places, unless they have previously requested by referendum to be divided, or unless the division is necessary to achieve compliance with the population equality required by Article I, Section 2 of the United States Constitution; and
6. The special master shall not consider political data or partisan factors, such as party registration statistics, prior election results, or future election prospects.
Of the six criteria listed in the Order, three are absolute and not subject to any balancing considerations: (2) requiring compliance with the Voting Rights Act of 1965 and other federal laws; (3) requiring contiguity; and (6) requiring the master to ignore political data or partisan factors. Criterion number five states that the plan shall not divide towns, city wards, or unincorporated places unless required by Article 1, Section 2 of the U.S. Constitution. One of the plans submitted by the Speaker and President contains the lowest mathematically possible deviation. Since the U.S. Constitution cannot require greater equality than is mathematically possible, there is no need for the master of the Court to consider whether dividing a town, city ward, or unincorporated place is required.
The word “practicable” must be considered alongside another word that the Court did not use in the Orders: “possible.” A criterion that contained a requirement that the master choose a redistricting plan with the lowest deviation “possible” would remove the possibility of the exercise of judgment that is inherent in the meaning of the word “practicable.” The Speaker and President do not take issue with the Court’s use of that word, nor is this submission a criticism of the Court’s reservation of the need to exercise some level of judgment. To the contrary, the Speaker and President continue to maintain that any action, whether by the General Court or this Court, necessarily involves the exercise of discretion and the balancing of interests. The use of the word “practicable” and the competing interests in population equality and “least change” reflect the inherent tension involved in making redistricting decisions.
It is unclear from the Court’s Order whether the master and Court intend to mechanically compare the population equality of all the plans, and if any plan achieves perfect equality, break the tie by determining which plan moves fewer people, or whether the master and Court intend to balance substantial population equality against the desire to effectuate a “least change” map.
The Speaker and President propose two plans for evaluation by the master. Depending on how the master, and ultimately the Court, weigh the competing interests detailed in the Orders, either of these two plans may best meet the Court’s balancing tests, as depicted in the data below.
| | Plan 1 (0/-1) | Plan 2 (4/-5) |
|----------------------|--------------|--------------|
| District 1 Population | 688,764 | 688,769 |
| District 2 Population | 688,765 | 688,760 |
| Absolute Deviation | 1 | 9 |
| “Change” Population | 358,976 | 8968 |
As the above chart reflects, if the Court is going to place population equality above all other factors, then the Speaker and President Plan 1 is the superior of these two plans. However, if the Court is going to balance population equality with “least change,” then the Court should at least consider Plan 2. This raises the obvious question: Is Plan 1’s moving of roughly 350,000 people to different districts worth the cost in terms of “least change” in order to accomplish a decrease in population inequality equal to 8 persons? Or perhaps it is possible to achieve a perfect deviation while moving fewer people? Assuming that this
possibility turns out to be true, where is the line drawn to demarcate the point at which it is worth creating \( x \) units of “change” for each single unit of population equality? There simply is no answer to this question that does not require the master and the Court to weigh the importance of population inequality against the importance of the “least change” to the last enacted legislative plan.
On the other hand, perhaps the Court will decide to apply its criteria mechanically, by taking all possible “zero deviation” plans and simply seeing which one of them is the “least change,” without weighing the state objective question posed by part two of the *Karcher* analysis. This is not without its own risks, however. Any choice made by the Court will cause political consequences, as is the inherent nature of the task.
As the master will quickly discover, and as submitted plans may very well demonstrate, the easiest way to achieve very low population equality is to divide up northern Coos County, because the small sizes of the political subdivisions in the northernmost part of our state contain the low population numbers that are necessary to make the precise population adjustments required to achieve perfect equality. Achieving perfect population equality means that neighboring towns in the north country that clearly share important communities of interest are divided up into different congressional districts. Although the criteria put forward by the Court do not address these issues, the Speaker and President believe they are worthy of note. While the Speaker and President recognize the Court’s interest in adhering to its stated criteria, doing so is not without cost.
At the time of this submission, the Speaker and President cannot know what changes may be proposed by other parties, intervenors, or *amici curiae*. In their previous filing, the
legislative Minority Leaders proposed to move the Town of Hampstead from District 1 to District 2. The Minority Leaders’ plan leaves a total deviation of 51 people. Compared to the Speaker and President’s perfect population equality plan, Plan 1, it is obviously inferior according to the paramount objective of population equality as explained by *Karcher*. 462 U.S. at 725; see also *Evenwel*, 578 U.S. at 59.
| | Plan 2 (4/-5) | Minority Leaders’ (-26/25) |
|----------------------|--------------|----------------------------|
| District 1 Population| 688,769 | 688,739 |
| District 2 Population| 688,760 | 688,790 |
| Absolute Deviation | 9 | 51 |
| “Change” Population | 8968 | 8998 |
The Minority Leaders’ plan is likewise inferior to the Speaker and President’s Plan 2 under both the population equality and least change criteria. As the above chart reflects, the Speaker and President’s “Plan 2” adheres more closely with the stated criteria because it: (1) results in a population deviation that is closer to the ideal number than the Minority Leaders’ plan; and (2) moves thirty fewer people between the Districts. By either objective standard, Plan 2 submitted by the Speaker and President is superior to the Minority Leaders’ plan.
**CERTIFICATION**
I, Sean R. List, hereby certify that on May 16, 2022, copies of the foregoing were forwarded to all counsel of record through the electronic filing system. Further, I certify that on May 16, 2022, the census block equivalency files for the proposed plans were
transmitted to the Clerk’s Office by electronic mail, with all counsel of record copied on said transmission, in the manner indicated by the Court’s May 13, 2022 Order.
Respectfully submitted,
The Honorable Sherman Packard,
Speaker of the N.H. House of Representatives
By his attorney,
Date: May 16, 2022 By: /s/ Sean R. List
Sean R. List, Esq.
NH Bar No. 266711
Lehmann Major List, PLLC
6 Garvins Falls Road
Concord, NH 03301
(603)715-8882
firstname.lastname@example.org
&
Respectfully submitted,
The Honorable Charles Morse,
President of the N.H. Senate
By his attorney,
Date: May 16, 2022 By: /s/ Richard J. Lehmann
Richard J. Lehmann, Esq.
NH Bar No. 9339
Lehmann Major List, PLLC
6 Garvins Falls Road
Concord, NH 03301
(603)715-8882
email@example.com
| Plan 1 (0/-1) | |
|--------------|-------|
| District 1 | 688,764 |
| Population | |
| District 2 | 688,765 |
| Population | |
| Absolute | 1 |
| Deviation | |
| “Change” | 358,976 |
| Population | |
| Plan 2 (4/5) | |
|-------------|-------|
| District 1 Population | 688,769 |
| District 2 Population | 688,760 |
| Absolute Deviation | 9 |
| "Change" Population | 8968 | |
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Metastatic Breast Lobular Carcinoma to Unusual Sites: A Report of Three Cases and Review of Literature
Hossameldin Abdallah\textsuperscript{a}, Amira Elwy\textsuperscript{b, c}, Aya Alsayed\textsuperscript{d}, Ahmed Rabea\textsuperscript{a, d}, Nesreen Magdy\textsuperscript{c, e}
Abstract
Invasive lobular carcinoma of the breast is the second most common type of invasive breast carcinoma. Invasive lobular carcinoma has an unusual pattern of metastases, which poses a diagnostic challenge for both clinicians and pathologists. We herein present three cases of breast invasive lobular carcinoma presented with metastasis to unusual sites, namely, uterus, colon and stomach. We recommend a higher index of suspicion in any case with breast cancer developing gastrointestinal tract or genital tract symptoms.
Keywords: Lobular carcinoma; GI metastases; Poorly cohesive carcinoma; Uterine bleeding; E- cadherin
Introduction
Breast invasive lobular carcinoma has a high frequency of distant metastases [1]. The most common sites of metastases are the bone, lung, pleura, soft tissue and liver [2]. Metastases to the female genital tract are rare [2, 3]; and metastases to the gastrointestinal (GI) tract are even rarer [4, 5].
The incidence of extra-hepatic GI tract metastases of invasive lobular carcinoma ranges from 6% to 18%, with the stomach being the most commonly affected site, followed by colon and rectum [3]. Clinically, metastatic invasive lobular carcinoma to the GI tract has a similar presentation to primary GI malignancies, and immunohistochemistry is essential to verify whether the tumor is primary or a metastatic [5].
Extra-genital primary malignancies metastasizing to the female genital tract are uncommon, with most frequently affected site are the ovaries [3]. The most common source of metastatic involvement of the uterus is carcinoma of breast origin (42.9 %) [6].
We herein report two cases of metastatic lobular carcinoma to the GI tract (colon and stomach) and one case metastatic to the uterine corpus. We concluded that a thorough workup and a higher suspicion index of metastases should be adopted in cases with history of or current breast carcinoma, especially if it is of the invasive lobular carcinoma type, when developing GI tract or genital tract symptoms.
Case Reports
Case 1
A 59-year-old postmenopausal lady has presented to her primary care physician with progressive lower abdominal pain of 2 months duration, not associated with abnormal vaginal bleeding or discharge. Clinical examination revealed a bulky uterus and cervix. A transvaginal ultrasound showed an interstitial uterine fibroid of $16 \times 15 \times 10$ cm, with no extra uterine extension. Total abdominal hysterectomy and bilateral salpingo-oophorectomy (TAH-BSO) was performed.
The patient was referred to our hospital and histopathologic review of the TAH-BSO blocks revealed involvement of the endometrium, myometrium, fibroid and cervix by sheets of non-cohesive large epithelial cells having eccentric nuclei and vacuolated cytoplasm (plasmacytoid/signet ring cells). The cells were positive by immunostaining for cytokeratin 7 (CK7), GATA3, estrogen receptor (ER) and progesterone receptor (PR), raising the possibility of breast origin. Other immunostains (desmin, cluster of differentiation 10 (CD10), actin and caldesmon) were negative (Fig. 1a-d).
The clinical examination revealed an upper outer quadrant (UOO) right breast lesion measuring $5 \times 4$ cm, the Breast Imaging Reporting and Data System (BI-RADS) 4 by bilateral sonomammography (BSM) with ipsilateral palpable lymph nodes. Left breast was unremarkable, clinically and radiologically. The biopsy of the right breast lesion was required, and it was diagnosed as invasive lobular carcinoma, with ER and PR positive and human epidermal growth factor receptor 2 (HER2) negative.
A metastatic workup was done (computed tomography...
(CT) and magnetic resonance imaging (MRI)), which revealed multiple enlarged para-aortic and iliac lymph nodes with cervical stump soft tissue mass. Bone scan revealed right scapular single metastatic osseous lesion. A decision of palliative chemotherapy was taken, due to her significant symptoms. Six cycles of FEC100 (5-fluorouracil 500 mg/m$^2$ intravenous (IV), day 1, epirubicin 100 mg/m$^2$ IV, day 1 and cyclophosphamide 500 mg/m$^2$ IV day 1, every 21 days (q21d)) were given. Mid cycles evaluation revealed regressive disease of breast and pelvic masses. She received hormonal therapy post chemotherapy.
**Case 2**
A 66-year-old woman with a significant long history of right breast benign featuring mass has presented with remarkable weight loss over 4 months prior to accidental discovery of another right breast mass.
Physical examination revealed an upper inner quadrant (UIQ) breast with no tender mass. BSM showed two right breast masses, a benign featuring one $2.5 \times 3\text{cm}$ (BIRADS 1) and a suspicious one $1 \times 1.5\text{cm}$ (BIRADS 4), with bilateral suspicious axillary lymph nodes, the largest on the right side.
The suspicious right breast mass and a left axillary lymph node were biopsied, and revealing the invasive lobular carcinoma, positive for CK. Immunostaining of ER and PR were strongly positive and HER-2 negative.
Bone scan revealed multiple osseous lesions. CT showed diffuse circumferential mural thickening of the ascending and transverse colon with a few reactionary regional lymph nodes. Endoscopic biopsy from the colonic lesion revealed metastatic invasive lobular carcinoma of breast origin, proved by positive immunostaining reaction for CK7, GATA-3 and ER, while negative for colon specific markers CK20 and CDX2 (Fig. 1e-h).
She completed six cycles of palliative chemotherapy, FEC100 (5-fluorouracil 500 mg/m$^2$ IV, day 1, epirubicin 100 mg/m$^2$ IV, day 1 and cyclophosphamide 500 mg/m$^2$ IV, day 1, q21d) with overall regressive disease. This was associated with improvement of her symptoms. She has been maintained on hormonal therapy with aromatase inhibitors and denosumab. She finished 18 months of treatment with stationary disease on regular follow-up.
**Case 3**
A 53-year-old woman presented with progressive increase of the abdominal girth and chronic dull aching pain. Examination revealed diffuse tenderness, abdominal distention and a palpable right breast UOQ mass of $1.5 \times 1.5\text{ cm}$ with no axillary lymph nodes.
MRI studies revealed multiple metastatic nodules all over the intestine, omentum, and peritoneal wall, bilateral ovarian enlargement, gastric wall thickening, ascites and extensive bone marrow abnormality.
Upper GI tract endoscopy revealed gastric wall thickening and a biopsy was taken. A guided biopsy was obtained from the abdominal lesions. Both were diagnosed as metastatic invasive lobular carcinoma of breast origin, immunostaining positive for CK7, GATA-3 and ER while negative for E-cadherin, CK20 and CDX2 (Fig. 1i-l).
She finished eight cycles of paclitaxel and carboplatin.
(paclitaxel 80 mg/m² IV, day 1, 8, 15 + carboplatin AUC 2 IV, on day 1, 8, 15; both q28d). Interim CT studies evaluation revealed a stationary course, with significant improvement of her symptom. Then, she received hormonal treatment (anastrozole) after confirming her menopausal status. She will be evaluated every 3 months while on hormonal treatment.
**Discussion**
Female genital tract organs are at risk for the development of metastasis from remote primaries, yet this remains an uncommon condition. For that reason it poses a diagnostic challenge for both the clinicians and pathologists [7].
Metastatic emboli to the uterine corpus are unusual from extra genital sources. When metastases are detected, breast carcinoma is usually the primary source (42.9 %) [6], and invasive lobular carcinoma is the most common type [8]. Metastasis to the cervix is even rarer attributed to its small size, the thick fibromuscular composition, and its limited blood supply [9].
Compared to invasive duct carcinoma, not otherwise specified (NOS), invasive lobular carcinoma has a distinctive metastatic patterns, including multiple metastasis sites, higher risk for liver metastases [10]. It has a higher tendency for meningeal, peritoneal, gastrointestinal or GI tract and uterine metastases [11].
One of the most consistent molecular alterations in invasive lobular carcinoma is the loss of the adhesion molecule E-cadherin. This explains the characteristic non-cohesive pattern of the tumor cells. Inactivation of this gene occurs as an early event in oncogenesis, as a result of somatic, truncating mutations, loss of heterozygosity (LOH) and promoter methylation [1]. The lost E-cadherin facilitates the seeding of the tumor cells to remote sites [12, 13]. This also explains the higher frequency of bilaterality in invasive lobular carcinoma cases [9].
It has been reported that development of metastasis in the GI or genital tracts occurs frequently after years of diagnosis of breast cancer while on hormonal treatment or during follow-up period [14–18]. However a few reported cases initially presented with distant metastasis with or without simultaneous primary invasive lobular carcinoma [9, 19]. That highlights the rarity of the presentation of the aforementioned cases.
Abnormal vaginal bleeding has been repeatedly reported as the manifestation of metastatic invasive lobular carcinoma to the uterus [2, 9]. In our first case, despite the huge size of the uterine mass and infiltration of the cervix, her presentation was insidious with only long history of lower abdominal pain without any reported bleeding. Similarly, in the second case, the colonic metastatic manifestations were subtle and discovered accidentally while performing metastatic workup. Nevertheless, in the literature, GI metastasis usually present with intestinal obstruction [20, 21] or bleeding per rectum [19]. The presentation on the third case was rare as there was a gastric wall lesion with extensive abdominal wall and peritoneal lesions.
Invasive lobular carcinoma was associated with larger tumor size, older age, later stage, lower grade, ER/PR positive and negative HER2, which were the characteristics of our three cases [10].
Although in Egypt there are some breast cancer early detection programs, yet neither of the patients had been enrolled in any, and unfortunately they presented later with distant metastases. This highlights the enormous importance of the breast cancer screening.
Initial presentation with metastatic breast cancer has a detrimental effect on the overall survival. However, there is no consensus regarding the survival prognosis of invasive lobular carcinoma when compared to invasive duct NOS. Studies reporting 5-year survival data described a superior outcome in invasive lobular carcinoma patients [22]. Whereas studies that conducted longer follow-up periods tend to show similar or even worse outcome compared to invasive duct carcinoma NOS [23].
Hormonal profile has a good prognostic impact on the survivorship of the breast cancer patients. It has been found that ER+/HER2- (including both Ki67 index high as well as low groups) and ER-/HER2+ tumors have a median survival time of 25 and 24 months, respectively from the onset of development of the metastasis [24].
Our recommendations is to have a higher index of suspicion in any case with a history of current breast cancer, especially invasive lobular carcinoma when developing GI tract or genital tract symptoms, even if mild or subtle, and to biopsy any developed GI tract or genital tract lesions with performing an extensive immunostaining panel including breast specific antibodies.
**Acknowledgments**
None to declare.
**Financial Disclosure**
None to declare.
**Conflict of Interest**
The authors declare no conflict of interest.
**Informed Consent**
Not applicable.
**Author Contributions**
Hossam Abdallah: collection and/or assembly of data, data analysis and interpretation, writing the article, critical revision of the article, and final approval of article. Amira Elwy: data analysis and interpretation, critical revision of the article, and final approval of article. Aya Alsayed: collection and/or assembly of data, critical revision of the article, and final approval of article. Ahmed Rabea: critical revision of the article, and final approval of article. Nesreen Magdy: research concept and design, collection and/or assembly of data, data analysis and interpretation, writing the article, critical revision of the article, and final approval of article.
Data Availability
The data supporting the findings of this study are available from the corresponding author upon reasonable request.
References
1. Lakhani MJ, Ellis SR, Schnitt IO, Tan SJ, van de Vijver PH. WHO classifications of tumors of the breast. 2012.
2. Berger AA, Matriei CE, Cigler T, Frey MK. Palliative hysterectomy for vaginal bleeding from breast cancer metastatic to the uterus. Ecamericanmedicalscience. 2018;12:811.
3. Arrangoiz R, Papavasiliou P, Dushkin H, Farma JM. Case report and literature review: Metastatic lobular carcinoma of the breast an unusual presentation. Int J Surg Case Rep. 2011;2(8):501-505.
4. Cherian N, Qureshi NA, Cairncross C, Solkar M. Invasive lobular breast carcinoma metastasising to the rectum. BMJ Case Rep. 2017;2017.
5. Abid A, Moffa C, Monga DK. Breast cancer metastasis to the GI tract may mimic primary gastric cancer. J Clin Oncol. 2013;31(7):e106-107.
6. Kumar NB, Hart WR. Metastases to the uterine corpus from extragenital cancers. A clinicopathologic study of 63 cases. Cancer. 1982;50(10):2163-2169.
7. Mazur MT, Hsueh S, Gersell DJ. Metastases to the female genital tract. Analysis of 325 cases. Cancer. 1984;53(9):1978-1984.
8. Abdalla AS, Lazarevska A, Omer MM, Tan E, Asaad A, Sathananthan S. Metastatic Breast cancer to the cervix presenting with abnormal vaginal bleeding during chemotherapy: a case report and literature review. Chirurgia (Bucur). 2018;113(4):564-570.
9. Lokadasan R, Ratheesan K, Sukumaran R, Nair SP. Metastatic lobular carcinoma of breast mimics primary cervix carcinoma: two case reports and a review of the literature. Ecamericanmedicalscience. 2015;9:571.
10. Chen Z, Yang J, Li S, Lv M, Shen Y, Wang B, Li P, et al. Invasive lobular carcinoma of the breast: A special histological type compared with invasive ductal carcinoma. PLoS One. 2017;12(9):e0182397.
11. Harris M, Howell A, Chrissohou M, Swindell RI, Hudson M, Sellwood RA. A comparison of the metastatic pattern of infiltrating lobular carcinoma and infiltrating duct carcinoma of the breast. Br J Cancer. 1984;50(1):23-30.
12. Lehr HA, Folpe A, Yaziji H, Komnoss F, Gown AM. Cytokeratin 8 immunostaining pattern and E-cadherin expression distinguish lobular from ductal breast carcinoma. Am J Clin Pathol. 2000;114(2):190-196.
13. Dabbbs DJ, Schmitt SI, Geyer PC, Weigelt B, Baehner FL, Decker T, Eusebi V, et al. Lobular neoplasia of the breast revisited with emphasis on the role of E-cadherin immunohistochemistry. Am J Surg Pathol. 2013;37(7):el-11.
14. Geredeli C, Dogru O, Onmeroglu E, Yilmaz F, Ciccekci F. Gastric metastasis of triple negative invasive lobular carcinoma. Rare Tumors. 2015;7(2):5764.
15. Saranovic D, Kovac JD, Knezevic S, Susnjar S, Stefanovic AD, Saranovic DS, Artiko V, et al. Invasive lobular breast cancer presenting an unusual metastatic pattern in the form of peritoneal and renal metastases: a case report. J Breast Cancer. 2011;14(3):247-250.
16. Jordan LA, Green L. Late breast cancer metastasis to the urinary bladder presenting with bilateral hydronephrosis. Radiol Case Rep. 2018;13(6):1238-1241.
17. Kesavan S, Lee IW. An unusual tumour metastasis to the cervix. Ann Acad Med Singapore. 2000;29(6):780-782.
18. Cift T, Aslan B, Bulut B, Ilvan S. Unusual uterine metastasis of invasive ductal carcinoma: A case report. Turk J Obstet Gynecol. 2016;13(3):164-166.
19. Shakoor MT, Ayub S, Mohindra R, Ayub Z, Ahad A. Unique presentations of invasive lobular breast cancer: a case series. Int J Biomed Sci. 2014;10(4):287-293.
20. Mistriangelo M, Cassoni P, Mistriangelo M, Castellano I, Codognotto E, Sapino A, Lamanna G, et al. Obstructive colon metastases from lobular breast cancer: report of a case and review of the literature. Tumori. 2011;97(6):800-804.
21. Daniels IR, Layer GT, Chisholm EM. Bowel obstruction due to extrinsic compression by metastatic lobular carcinoma of the breast. JR Soc Promot Health. 2002;122(1):61-62.
22. Azim HA, Malek NA, Azim HA, Jr. Pathological features and prognosis of lobular carcinoma in Egyptian breast cancer patients. Womens Health (Lond). 2014;10(5):511-518.
23. Pestalozzi BC, Zahrieh D, Mallon E, Gusterson BA, Price KN, Gelber RD, Holmberg SB, et al. Distinct clinical and prognostic features of infiltrating lobular carcinoma of the breast: combined results of 15 International Breast Cancer Study Group clinical trials. J Clin Oncol. 2008;26(18):3006-3014.
24. Savci-Heijink CD, Halfwerk H, Hooijer GK, Horlings HM, Wesseling J, van de Vijver MJ. Retrospective analysis of metastatic behaviour of breast cancer subtypes. Breast Cancer Res Treat. 2015;150(3):547-557. |
CONVEYOR SYSTEM
X70X/X85X/X180X/X300X
Maintenance manual
© Flexlink AB 2020
All Rights Reserved
No part of this program and manual may be used, reproduced, stored or transmitted in any form or by any means without the written permission of FlexLink AB. The contents of this manual are for informational use only. All information and specifications contained in this document have been carefully checked to the best efforts of FlexLink AB, and are believed to be true and accurate as of time of publishing. However, due to continued efforts in product development FlexLink AB reserves the right to modify products and its manuals without notice.
FlexLink AB assumes no responsibility or liability on any errors or inaccuracies in this program or documentation. Any kind of material damages or other indirect consequences resulting from any FlexLink AB’s product part, documentation discrepancies and errors or non-anticipated program behavior are limited to the value of appropriate products purchased from FlexLink AB. The products are delivered to the customer at the ‘as is’ state and revision level they are on the moment of purchasing, and are declared in detail in the license agreements between FlexLink AB and user. User accepts and is obliged to follow the guidelines stated in the separate license agreement needed in using any parts of this product package.
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# Table of contents
1 Introduction 1
1.1 Maintenance information 1
1.2 Scope 1
1.3 Audience 1
1.4 Environment 2
1.5 Symbols 2
1.6 Cross reference symbols 3
1.7 Reference symbols 3
2 Safety 5
2.1 Risk levels 5
2.2 Explanation of safety signs 6
2.3 System information 6
2.4 Important safety conditions 6
2.5 Residual risks 9
2.6 Personal protective equipment (PPE) 10
3 Inspection and action 11
3.1 Introduction 11
3.2 Non FlexLink equipment 11
3.3 Safety considerations 11
3.4 Warranty/guarantee 12
3.5 Spare/replacement parts 12
3.6 Inspection checklist 13
3.7 Corrective actions 15
3.8 Cleaning guidelines 31
4 Dismantling and disposal 33
4.1 Important safety conditions 33
4.2 Dismantling 35
4.3 Disposal 39
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1 Introduction
1.1 Maintenance information
1.2 Scope
This information is part of an information collection describing the maintenance of the X70X/X85X/X180X/X300X systems. This information can therefore differ from your actual system.
The following chains are included of the scope of this manual:
| Chain | Description |
|---------|----------------------|
| X70X | Plain: XLTPX 5A70 K |
| | Friction top: XLTPX 5A70 KF |
| X85X | Plain: XBTPX 5A85 K |
| X180X | Plain: XBTPX 3A180 K |
| X300X | Plain: XBTPX 3A300 K |
1.3 Audience
This information is mainly written for maintenance personnel. The contents may also be of use for training purposes.
It is assumed that the maintenance personnel working with the FlexLink conveyor system have attended the FlexLink Basic training course.
1.4 Environment
1.5 Symbols
Clarification of certain symbols occurring in this documentation:
- **Assembly**
- **Maintenance**
- **Disposal**
Proceed inspection with more/other actions
Replace component. Repair/fix new and recycle if needed
Speed of conveyor, reduce
1.6 Cross reference symbols
The different sections in this manual may have cross-references to other documents, forums and other sections in the present manual.
Chain Calculation tool, FlexLink.com
e.g. See chapter 3.4 in the X70X/X85X/X180X/X300X Assembly manual
e.g. Chapter 3.4 in present manual
Chain Calculation Tool (FLCT) is a client based tool used to perform advanced chain tension calculations on FlexLink based conveyors.
The chain tension calculations are important to confirm that the chosen conveyor system does not exceed its technical limits.
Contact FlexLink or your FlexLink supplier for support and/or consultation
1.7 Reference symbols
This manual caters for four FlexLink systems, X70X, X85X, X180X and X300X, the symbol below are used as to show which systems a certain instruction caters.
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2 Safety
The conveyor system has been designed in such a way, that it can be used and maintained in a safe way. This holds for the application, the circumstances and the instructions described in the manual. Any person working with or on this machine should study the manual and follow the instructions. It is the responsibility of the employer to make sure that the employee is familiar with and follows these instructions.
The company or the country in which the machine is used may require extra safety measures. This particularly applies to the working conditions. This manual does not describe how these are to be complied with. In case of doubt, consult your government or safety officer!
2.1 Risk levels
This instruction contains safety notices which you must observe to ensure your personal safety, the safety of others involved in the operations as well as to prevent damage to machine. For risk levels “DANGER” and “Warning” all residual risks need to be eliminated or reduced to a sufficient level.
The following safety symbols are used:
**DANGER**: Description of imminent hazard and failure if not avoided will result in serious injury or death.
**Warning**: Description of imminent hazard and failure if not avoided could result in serious injury or death.
**Caution**: Description of minor personal injury, malfunction or damage on machine or environmental risks.
Note: This is not a safety precaution but will give valuable detailed information.
2.2 Explanation of safety signs
- Pinch point
- Hot surface
2.3 System information
The project number and/or general drawing number shall always be specified when communicating with FlexLink with respect to the machine.
2.4 Important safety conditions
At the moment that the machine is going to be operated by a user, the following safety conditions must be met:
- Ensure that no unauthorized personnel have access to the machine, and surrounding area.
- Only persons who have read and understood the operating instructions are allowed to operate, maintain and clean the machine.
- Do not reach into the machine while it is running or on. Even if the machine is not running, it can be ‘on’, which means that the machine can start operating automatically.
- Safety provisions, such as machine guards, emergency stops and proximity detectors shall not be removed or deactivated.
- Provide good ambient lighting to enable the operator to work well and orderly with the machine.
- The chain must be completely installed to start the conveyor.
- End drive unit with direct drive should not be operated in reverse.
General
- Incorrect use of the equipment can cause personal injury.
- Do not wear loose clothing or other articles that can get caught in the machine.
- Follow the instructions in this user manual when transporting the machine. FlexLink must approve all modifications or changes to this machine.
- Only use recommended spare parts.
- Only authorised personnel may maintain electrical control panels.
- FlexLink is not responsible for damage if service on the equipment is not performed in accordance with this maintenance manual.
- Do not walk on the conveyor belt.
- Do not place any objects on the conveyor belt.
- Do not place any objects on the motor.
- Do not place any objects on the drive shaft.
Maintenance and Service technicians
Service technicians must have:
- Sufficient knowledge for reading technical information
- Ability to comprehend technical drawings
- Basic knowledge of mechanics
- Sufficient knowledge in the use of hand tools
- Skilled (EN ISO 12100:2010)
Electricians
Electricians must have:
- Experience from similar installations
- Sufficient knowledge to work from drawings and wiring diagrams
- Knowledge of local safety regulations for electrical power and automation
- Skilled (EN ISO 12100:2010)
- To avoid risks, only experienced personnel with technical knowledge and experience may perform repair work on the machine’s electronics components.
Operators
To correctly use the equipment, operators must have appropriate training and/or experience.
2.5 Residual risks
XBCPX_85/180
X85X
X180X
XBCXX 85 D
X85X
2.6 Personal protective equipment (PPE)
3 Inspection and action
3.1 Introduction
The following section is designed to offer assistance for your planned maintenance schedule. It may become evident that the suggested maintenance intervals can be shortened or extended to accommodate your local environmental conditions. Recommended maintenance every 1500 hour.
The manual contains directions for the standard components sold through the X70XX/85XX/180XX/300X chapters of the FlexLink stainless steel catalogue. In general, maintenance instructions are not given for equipment which the customer has chosen and specified for fitting to the installation.
Maintenance of the FlexLink conveyor systems should only be carried out by competent persons, who are familiar with FlexLink equipment. The instructions supplied should be followed to ensure that the maintenance runs with a high degree of safety and to minimize the risk of breakdowns which can adversely affect the production. If there is any doubt as to the most suitable procedure for maintenance, consult your FlexLink supplier.
Note: Consult your system documentation for any special maintenance required for your specific installation.
3.2 Non FlexLink equipment
Equipment and components which are not from the FlexLink family of products, such as motors, pneumatic equipment, control systems etc., should be maintained and serviced in accordance with their respective manufacturer’s instructions.
3.3 Safety considerations
Before starting any maintenance on your FlexLink equipment, the following safety instructions must be observed:
- All electricity must be switched off.
- Make sure that the motor switch is also switched off and locked in the “off” position.
- Pneumatic and/or hydraulic power must be disconnected and any pressure accumulation released.
- Products being transported should be, if possible, removed from the conveyor chain.
• Staff affected must be informed that maintenance work is being undertaken.
**Warning:** *Do not climb onto the equipment.*
### 3.4 Warranty/guarantee
FlexLink conveyors are covered by warranty/guarantees as identified within the trading terms issued for each country. Check the warranty conditions for your system before submitting claims etc. If you are in any doubt as to what warranty is applicable to your system, consult your supplying agent or FlexLink direct.
### 3.5 Spare/replacement parts
If there is a demand for spare parts, contact FlexLink or your supplying agent.
3.6 Inspection checklist
- **0 1**
- >8h
- **0 1**
- >8h
- **0 1**
- >8h
- **0 1**
- >8h
- **3.7.1**
- **3.7.2**
- **3.7.3**
- **6.**
Inspection and action
- **G** 0 1
- **Δ 20°C**
- >8h
- **Δ 20°C**
- 3,7,4
- **PG** 0 1
- 6.
- **PG** 0 1
- 4.11/4.13
- **PG** 0 1
-
3.7 Corrective actions
3.7.1 Jerky running
5.
6.
3.7.
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3.7.2 Unknown noise
kg?
V?
6.
5.
3.7.
?
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3.73 Motor overheated
>70°C
kg?
3.7.
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3.7.4 Overheated plain bend
Δ 20°C
V?
kg?
?
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3.75 Changing guides/ side plates X70X,
1
2 Change side plate
3
Change guide
3.76 Changing guides X85X, X180X, X300X
8 mm
1. Remove the 8 screws and the cover.
2. Remove the 4 screws and the brake pads.
3. Remove the brake shoes.
4. Install the brake shoes.
5. Install the brake pads.
6. Install the cover and tighten the 8 screws.
3.7.7 Changing sprocket kit
10 mm 13 mm
NOCO-Fluid or similar
Snap ring plier
10 mm
1. Remove the screws and washers from the shaft.
2. Remove the shaft.
3. Remove the screws and washers from the shaft.
4. Remove the screws and washers from the shaft.
5. Remove the shaft.
6. Remove the shaft.
7
8
9
10
11
12
13
14
3.8 Cleaning guidelines
Select correct cleaning chemicals in cooperation with the chemical supplier see Table 1 on page 32.
Ensure chemical mix within specifications. Consequence can be corrosion on the conveyor and belt degradation.
Recommendation is to clean the belt in place on conveyor in order to avoid recontamination during handling and belt reassembly.
Run the conveyor and clean the belt as it goes around the sprockets.
Clean the chains with warm water, up to $100^\circ C$ for shorter periods of time.
When using high pressure cleaning do not exceed 50 bar, $60^\circ C$.
Sanitizer containing chlorine should not exceed 200 ppm chlorine.
Plastic conveyor parts and especially chains shall not be exposed for chlorine based fluids for a longer period. Consequence is brittleness and discoloration of the plastic.
### Table 1
**Plastic material resistance for different types of cleaning agents.**
(Parameters such as concentration temperature, exposure time influence the resistance, follow the chemical supplier recommendations.)
| Type of agent | Polyoximetlen | Polyvinylidenfluorid | Polyamide | Polyethylene |
|---------------|---------------|-----------------------|-----------|--------------|
| Neutral | ○ | ○ | ○ | ○ |
| Alkaline | ○ | ○ | ○ | ○ |
| Acid | ○ | ○ | ○ | ○ |
| Chlorine | ○ | ○ | ○ | ○ |
| Item | POM | PVDF | PA | PE |
|-------------------------------------------|-----|------|----|----|
| Chains | | | | |
| Slide rail | | | | |
| Steering guides (drive, idler) | | | | |
| Sprockets, idler wheels, drive wheels | | | | |
| Guides L+R | | | | |
| Wheel Disc | | | | |
| Guide rail bracket | | | | |
○ resistant ○ conditionally resistant X material
4 Dismantling and disposal
4.1 Important safety conditions
Dismantling the FlexLink conveyor system should be carried out by competent persons, who are familiar with the equipment being decommissioned.
In the absence of detailed information, every care should be taken to ensure that all items are securely retained during the decommissioning process. This is to ensure that the equipment remains stable and will not fall if left unattended.
With regard to the environment, you should separate the plastic, motor and stainless steel when you disassemble the system.
If there are any doubts as to the most suitable procedure for decommissioning, then consult the equipment supplier.
4.1.1 Other equipment
If other equipment is to be dismantled simultaneously with the FlexLink conveyor, attention should also be given to the interaction of the other equipment to the FlexLink conveyor. Pneumatic equipment should be removed from the conveyor before dismantling. Hydraulic equipment should be removed from the conveyor before dismantling and handling of the conveyor components during dismantling and disposal.
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4.2 Dismantling
8 mm
10 mm
13 mm
17 mm
24 mm
30 mm
3 mm
4 mm
5 mm
Snap ring plier
10 mm
Pin insert tool
XBMJ 6P
Dismantling and disposal
1. Switch off all electrical power. Ensure that system is safe by shutting down all feed supplies or removing electrical fuses.
2.
3. 3.12-3.15
4
5
6
7.1 - 7.4
6.1- 6.2
5.1 - 5.4
Dismantling and disposal
7
8
3.12-3.15
4.2 - 4.8
4.3 Disposal
Sort different materials ready for disposal.
Most material in the X85X system are stainless steel. Spareparts are stainless steel, plastic and the engine. This table shows the different plastics to be disposal.
| Material | POM | PVDF | PA | PE |
|----------------|-----|------|-----|-----|
| Polyoximetylen | | | | |
| Polyvinylidenfluorid | | | | |
| Polyamide | | | | |
| Polyethylene | | | | |
| Component | POM | PVDF | PA | PE |
|----------------------------|-----|------|-----|-----|
| Chains | × | | | |
| Slide rails | | × | × | × |
| Steering guides (drive, idler) | | | × | |
| Sprockets, idler wheels, drive wheels | | | × | |
| Guides L+R | | | × | |
| Wheel Disc | | | × | |
| Guide rail bracket | | | × | |
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firstname.lastname@example.org
flexlink.com
© FlexLink 5867/EN-02 2020 |
Analysis of Measurement Errors in Passive Sampling of Porewater PCB Concentrations under Static and Periodically Vibrated Conditions
Mehregan Jalalizadeh and Upal Ghosh*
Department of Chemical, Biochemical, and Environmental Engineering, University of Maryland Baltimore County, Baltimore, Maryland 21250, United States
Supporting Information
ABSTRACT: Although the field of passive sampling to measure freely dissolved concentrations in sediment porewater has been sufficiently advanced for organic compounds in the low- to midrange of hydrophobicity, in situ passive sampling of strongly hydrophobic polychlorinated biphenyls (PCBs) is still challenged by slow approach to equilibrium. Periodic vibration of polyethylene (PE) passive samplers during exposure has been previously shown to enhance the mass transfer of polycyclic aromatic hydrocarbons (PAHs) from sediment into PE. Herein, we used a new vibrating platform, developed based on our earlier platform design, to demonstrate the effectiveness of periodic vibration for strongly hydrophobic compounds such as hexa-, hepta-, and octachloro-PCBs. Uptake of PCBs in PE after 7, 14, 28, and 56 days under different vibration modes was compared to that under static and mixed laboratory deployments. All PCBs reached within 95–100% of equilibrium after 56 days of deployment in the system vibrated briefly every 2 min, while none of the congeners achieved more than 50% of equilibrium in static deployment for the same period. Periodic vibration also increased the dissipation rate of four performance reference compounds (PRCs) from passive samplers. Higher fractional loss of PRCs and closer approach to equilibrium in the vibrated deployment resulted in estimation of corrected porewater concentrations that were statistically indistinguishable from the true equilibrium values even after a short 7-day deployment. Porewater concentrations of the strongly hydrophobic PCB congeners were overestimated by up to an order of magnitude in the static passive sampler after the same deployment time.
INTRODUCTION
Reliable bioavailability measurements of hydrophobic organic compounds (HOCs) such as polychlorinated biphenyls (PCBs) and polychlorinated dibenzo-$p$-dioxins/dibenzofurans (PCDD/Fs) are needed for improved sediment risk assessments, proper selection of remedy, and postremediation monitoring. Several studies have shown that freely dissolved concentrations ($C_{\text{free}}$) of organics in sediment porewater can be related to toxicity and bioaccumulation.\(^1\)–\(^3\) Passive sampling for the measurement of $C_{\text{free}}$ of organic pollutants in sediment porewater has emerged as a very promising approach, but in situ measurements are challenged by slow mass transfer of strongly hydrophobic compounds. The slow mass transfer results in underequilibrated passive sampler measurements that need to be corrected for determining $C_{\text{free}}$. For a passive sampler deployed in stagnant sediment, mass transfer of the contaminants is controlled by transport through the polymer and/or sediment phase, depending on the sediment sorption characteristics and diffusivity of the pollutants in sediment, porewater, and polymer.\(^4\) For HOCs, the overall kinetics is often complicated by transport through the sediment phase.\(^3\)–\(^5\) Under this condition, correction for nonequilibrium requires estimation of site specific sorption characteristics (e.g., retarded diffusion). The previously developed methods determined site-specific sorption characteristics from the loss kinetics of selected performance reference compounds (PRCs) and calculated corrected $C_{\text{free}}$ from nonequilibrium polymer concentrations.\(^5\)–\(^6\) However, even with these methods, estimating $C_{\text{free}}$ of strongly hydrophobic compounds is prone to errors. Extrapolation based on the loss kinetics of strongly hydrophobic PRCs is challenging, since long exposure times are required to measure PRC levels that are statistically different from the initially spiked PRC levels.\(^5\) For example, Choi et al.\(^4\) observed only 20% reduction in concentration of PCB 192 from 17 $\mu$m PE after 265 days of deployment in sediment. Also, high imprecisions involved in the measurement of fractional loss of PCB 192 caused a wide confidence interval for the estimated sediment sorption characteristics for this congener. In addition to the mentioned challenges with using the PRC-correction methods, it is not clear yet whether the retardation factor for HOCs that diffuse from sediment into the passive sampler is identical to the retardation factor for the PRCs that diffuse out of the passive sampler and into the sediment. Apell and Gschwend\(^7\) argued that PCBs exhibit the same retardation factor through the sediment when diffusing into and out of PE.
Received: February 24, 2017
Revised: May 13, 2017
Accepted: May 24, 2017
Published: May 24, 2017
passive samplers. However, anisotropic exchange kinetics of PCBs and DDTs has been observed for PE and PDMS passive samplers in more recent studies.\textsuperscript{4,7} The mechanisms involved in anisotropic exchange kinetics are not well understood but possibly depend on the sediment properties.\textsuperscript{4} Enhancing the overall kinetics by reducing the mass transfer resistance in sediment overcomes the mentioned shortcomings of PRC-correction methods. This assumption is tested further in the present study.
In our previous work,\textsuperscript{8} we addressed the challenge of mass transfer limitation by using a vibrating platform for the deployment of passive sampling devices in sediments. We demonstrated through laboratory measurements and numerical modeling that the platform can greatly enhance the rate of mass transfer of 16 PAHs (3.4 < log $k_{\text{ow}}$ < 6.1) into PE passive samplers by disrupting the formation of a depletion layer in the vicinity of the polymer. Dissipation amounts of pyrene-d10 and phenanthrene-d10 (log $k_{\text{ow}} \cong 5$) from PE in the vibrating system were high and identical to those in the well-mixed system. Correction for nonequilibrium is expected to become more accurate with higher fractional loss of PRCs.\textsuperscript{9} However, not enough data were available to demonstrate the accuracy of this hypothesis. While a numerical model showed that significant improvement over static deployment is possible with very low frequency of vibration of the motors (5 d pause and 5 s pulse), this was not confirmed experimentally.
The objectives of the present study were to 1) evaluate the effectiveness of periodic vibration for passive sampling of strongly hydrophobic PCBs and 2) carefully evaluate the errors associated with PRC corrections for different deployment modes. PCB-impacted sediments from the field were used in laboratory mesocosms in the present study. The uptake rates of PCBs into PE under two differently vibrated passive sampling modes (low and high frequency) were compared to the uptake under static and mixed modes. A numerical model based on Jalalizadeh and Ghosh\textsuperscript{10} was used to explain the diffusion process of PCBs from sediment particles into the sediment porewater and from porewater into passive samplers. In addition, PRC-corrected equilibrium aqueous concentrations using static and vibrating passive samplers were compared to the true equilibrium concentrations, determined from mixed sampler deployments.
**MATERIALS AND METHODS**
**Materials.** Low density polyethylene (LDPE) sheets (25 $\mu$m thickness), manufactured by Poly-America (Grand Prairie, TX, USA), were purchased from The Home Depot (local store in Baltimore, MD). PCB stock solutions were purchased from Fisher Scientific (Pittsburgh, PA, USA). Cylindrical vibrating motors with a diameter of 24 mm and length of 31 mm were purchased from Precision Microdrives (London, United Kingdom). The motors operated at the rated voltage of 3 V and operation current of 190 mA. Their rated vibrating speed was 5000 rpm, and the normalized amplitude of vibration (measure of acceleration caused on a 100 g object) was 10 G. Pulse-pause timers (model 60H) used to control the vibration motors were purchased from Velleman Inc. (Fort Worth, TX). Prior to use, PE sheets were cleaned by soaking twice in hexane/acetone (50/50 v/v) and leaving on a shaker for 24 h each time. Clean PE sheets were cut into 20 mg (2 cm × 5 cm) strips. PE strips were then soaked in a 80:20 v/v methanol/water solution containing four PRCs (2,4,5-trichlorobiphenyl (PCB 29), 2,3',4,6-tetrachlorobiphenyl (PCB 69), 2,2',4,4',6,6'-hexachlorobiphenyl (PCB 155), and 2,3,3',4,5,5',6'-heptachlorobiphenyl (PCB 192)). The PRC solution was allowed to equilibrate for 15 days on an orbital shaker. After impregnation with PRCs, the strips were transferred into deionized water and left on an orbital shaker overnight to remove the methanol from PE strips. Upon removal from water, three strips were extracted immediately in hexane to determine the initial PRC concentration.
**Source of Sediments.** PCB contaminated sediment samples from Site 102 Abraham’s Creek were used in this study. The site is located in the Marine Corps Base, Quantico, Virginia, 35 miles south of Washington, DC.
**Vibrating Platform.** The vibrating platform is an improvement over our earlier design\textsuperscript{8} with a larger frame and a more powerful motor that could house enough passive sampler to enable measurement of low levels of porewater PCB concentrations in sediment. The platform consisted of a copper pipe section inside which the motor was located and was fabricated with assistance from the UMBC machine shop (Figure S2). Four fins made of copper plates and meshes were attached radially to the copper pipe. The copper wire mesh fins were designed as pockets that could hold PE sheets sandwiched within. A 20 mg PE strip (prepared as discussed above) was placed inside each pocket, and the open edge was sewn with copper wire.
**In Situ Vibrated Passive Sampler Setup.** Two platforms were connected in parallel to a timer and a power supply (2 rechargeable batteries 1.2 V, 700 mAh each). The timers were powered by a 12 V power supply and were programmed to control motor vibration duration and frequency. Two experiments were conducted in the lab in order to measure the uptake rate of PCBs into PE under different deployment modes. In experiment 1, PE sheets were deployed in sediment under static, mixed, and high frequency vibrating modes. In experiment 2, PE sheets were deployed under static and low frequency vibrating modes. The pulse duration of vibrating motors was 5 s, and the pause period was 2 min and 5 d in the high and low frequency vibrating systems, respectively. Details of the experimental setup are as follows:
Experiment 1 - The sediment was mixed with DI water containing 200 mg/L sodium azide to make a slurry with a weight ratio of 1:2 (dry sediment/water). For the mixed exposure, three wide mouth jars with Teflon-lined lids were prepared. The sediment-water slurry (500 mL) and two of the 20 mg PE samplers were transferred into each jar. The ratio of PE to sediment mass in each jar was selected to reduce PCB depletion from sediment to <1% at equilibrium based on the guideline provided in Ghosh et al.\textsuperscript{10} The jars were placed on a rotary agitator and tumbled at a speed of 28 rpm. The rest of the sediment slurry was placed in two large glass trays (60 cm × 10 cm × 10 cm). Three motors were placed inside the sediment in the trays (two of the motors were placed in one tray with 10 cm separation to prevent influencing each other). The timer was programmed to vibrate the motors with a pulse period of 5 s and pause period of 2 min. Twelve additional PE samplers with a mass of 40 mg each were enclosed in stainless steel mesh without motors and were placed inside the same trays in a static mode at least 10 cm away from the vibrating motors and 5 cm apart from each other to simulate a static system. The trays were then covered with aluminum foil. PE strips were removed from the mixed, static, and vibrating systems and analyzed for PCBs and PRC compounds after 7, 14, 28, and 56 days. At each
time point, triplicate strips were collected from each system for extraction and analysis.
Experiment 2 - PE deployment under static and vibrating modes was repeated in a slurry made with a fresh portion from the same sediment as discussed. This time the motors vibrated with a low frequency of 5 s pulse every 5 days. PE strips were collected in triplicates from static and vibrating systems and analyzed for PCBs after 7, 14, 28, and 56 days.
**PCB Extraction and Analysis.** Upon removal from the sediment, PE strips were rinsed with water and wiped with laboratory tissue to remove water and adhering particles. Prior to extraction, PCB congeners 14 and 65 were added as surrogate standards to assess the effectiveness of sample processing, and results with lower than 80% surrogate recoveries were discarded. Samplers were extracted in 30 mL of hexane (3 × 24 h, with sequential extracts pooled). The final extraction volumes were blown down to 1 mL using a stream of nitrogen gas. Sediment PCBs were extracted by sonication (EPA method 3550B). Final extracts from passive samplers and sediment were cleaned using deactivated silica gel (EPA method 3630C). Two internal standards were added to the final extracts before analysis (PCB congeners 30 and 204). PCBs were analyzed in an Agilent 6890N gas chromatograph with an electron capture detector (ECD) based on an analytical method described in Beckingham and Ghosh.\textsuperscript{11} The analyzed PCB congeners are shown in Supporting Information Table S1.
**PCB Desorption Study.** The desorption rates of PCBs from sediment into water were measured based on procedures in Ghosh et al.\textsuperscript{11} Briefly, Tenax beads (0.5 g) and a sediment sample (5 g) were added to 12 mL glass vials. DI water (10 mL) containing sodium azide (1 g/L) was added to each vial. The vials were placed on a rotary agitator and tumbled at 28 rpm. At sampling times of 2, 4, 8, 12, and 48 h the sediment was allowed to settle and Tenax beads to float up. Tenax beads were scooped out from each vial, and a fresh portion was added. The Tenax beads were dried with anhydrous sodium sulfate, spiked with surrogate standards, and extracted by adding three volumes of 1.5 mL of 50/50 (v/v) hexane-acetone in a 20 mL vial and shaking horizontally on a rotary shaker for 24 h. The final extraction volumes were blown down to 1 mL using a stream of nitrogen gas and were cleaned using deactivated silica gel (EPA method 3630C). The extracts were...
then analyzed for PCBs using GC-ECD as described above. A two-compartment model\textsuperscript{12} was used to describe the desorption kinetics of PCBs from sediment particles into porewater. This model estimates the desorption kinetics of HOCs out of sediment particles based on the assumption that the contaminants are associated with fast and slow desorbing pools in sediment (see the Supporting Information for more details). The model was fitted to the normalized desorption data for PCB 128, 183, and 194 in order to find the desorption rate constants (Supporting Information, Figure S5).
**PRC Correction for Nonequilibrium.** We used the graphical user interface (GUI) by Tascón et al.\textsuperscript{13} to calculate the extent of equilibrium of target PCBs from PRC losses. This GUI is developed based on the mass transfer model presented in Fernandez et al.\textsuperscript{6} PRC losses in static and vibrating systems were used to determine the extent of equilibrium of target PCBs in the corresponding systems. PCB and PRC concentrations were measured in triplicates, and PRC losses from each PE strip were used to correct for nonequilibrium in the same strip.
**Modeling Uptake of Analytes from Sediment Porewater.** Mass transfer models described in Jalalizadeh and Ghosh, 2016\textsuperscript{14} were employed to describe PCB diffusion from sediment particles into porewater and from porewater into the polymer under static, vibrated, and mixed modes. Briefly, for static deployment mass transfer within the polymer and in porewater was described by Fick’s second law of diffusion. Instantaneous equilibrium was assumed at the polymer surface boundary with porewater. PCB desorption from sediment particles into porewater was assumed to follow first-order kinetics, and all PCBs are associated with the fast desorbing pool in sediment. The diffusion model with the assumption of instantaneous equilibrium between sediment particles and porewater (local equilibrium model) adequately predicted the uptake in PE in a static system in some previous work.\textsuperscript{6} However, local equilibrium cannot be assumed in a vibrating system\textsuperscript{6} because mass transfer from sediment becomes limiting due to disruption of the depletion layer by vibration. For example, we showed that the overall kinetics of PAHs for the vibrating system was driven by the fast desorption kinetics and not the slow desorption, likely because the sediments are not depleted enough to reach the slow regime. The fast desorption rate constants determined from PCB desorption study were used for model simulation in the present study.
For the mixed system, mass transfer was assumed to be limited by the polymer side. Since sediment is perfectly mixed, porewater concentration remains constant and equal to the initial value during deployment time. In addition, local equilibrium was assumed between sediment particles and porewater as continuous mixing brings a large volume of sediment to the vicinity of the polymer and kinetics is fast enough to appear close to instantaneous equilibrium.
Model equations were solved in Matlab using an explicit, finite-difference numerical modeling technique.\textsuperscript{15} The equations and the details of parameter estimation, numerical solution, and Matlab codes are provided in the Supporting Information.
### RESULTS AND DISCUSSION
**PCB Concentration in Sediment.** As shown in Figure S1, hexa-, hepta-, and octachloro-PCBs were the most abundant homologues in the sediment. Mono- and dichloro-PCBs were not detected, and the total PCB concentration was 88 ng/g in dry sediment. The sediment had a total organic carbon content of 2.7%. This sediment was found to be suitable for the present study because our target homologues (hexa- to octachloroPCBs) were dominant. The concentrations of individual PCBs in sediment are reported in Supporting Information Table S1.
**True Equilibrium Concentration.** In the mixed system, no change in concentration in the PE was observed for any of the congeners after 28 days (PE concentrations after 28 and 56 days of exposure were not significantly different as shown in Supporting Information Table S4). Thus, PCB concentrations in PE from the mixed system after 56 days of exposure were taken as the true equilibrium concentrations for all PCB congeners and used to calculate fraction equilibrium for other modes of deployment.
**Effect of High Frequency Vibration on PCB Uptake into PE.** The uptake profiles of six PCB congeners are compared in static, vibrated, and mixed systems in Figure 1. The congeners shown in Figure 1 were chosen to represent the dominant congener within each homologue group with three to eight chlorine atoms. The remaining detectable congeners are shown in Supporting Information Figures S4–S6. Since measurements of PCB uptake into PE in the static system from experiments 1 and 2 were not significantly different for all PCBs (Supporting Information Tables S2 and S3), only the results from experiment 1 are shown for the static deployment. PCBs had very slow uptake rates into PE in the static exposure system especially for penta- and higher chlorinated PCBs. Periodic vibration of the PE sampler every 2 min enhanced the fractional uptake of all congeners compared to the static deployment. For example, after 28 days of deployment, the fractional uptake (concentration in PE ($C_{PE}$) at a specific time, divided by the true equilibrium $C_{EQ}$) of PCB 99 (penta), PCB 153 (hexa), PCB 187 + 182 (hepta), and PCB 203 + 196 (octa) were 37%, 24%, 23%, and 22%, respectively, in the static system compared to 100%, 100%, 73%, and 65% in the 2 min-paused vibrating system. All PCBs reached greater than 95% of equilibrium after 56 days of deployment in the 2 min-paused vibrating system, while none of the congeners reached more than 50% of equilibrium in static deployment for the same period. For example, the uptake of PCB 201 after 56 days was only 30% of equilibrium in static exposure compared to 100% in the vibrating system. Even after 7 days of exposure, the vibrating system reaches 35% of equilibrium for PCB 201 compared to 16% in the static system. Thus, with vibration it is apparent that in situ measurements of the full range of PCB congeners in sediments would approach high fraction equilibrium.
**Effect of Vibration with Low Frequency on PCB Uptake into PE.** The fractional uptake of all PCBs in the 5 d-paused vibrating system improved by a factor of 1.5 to 2 over the static system after 28 days (Figure 1 and Supporting Information Figures S4–S6). However, PCBs reached only 30% to 60% of equilibrium in the 5 d-paused vibrating system, except for PCB 31, PCB 70 + 76, and PCB 18S that reached approximately 70%. These results indicate that the pause time between vibrations needs to be less than 5 days in order to improve the uptake of larger molecular weight PCBs (hexa-, hepta-, and octachloro-congeners) to more than 60% in 28 days.
**Effect of Vibration on PRC Loss from PE.** The fraction of PRC remaining in PE ($f_{PRC}$) was measured for the four PRCs in static, vibrating, and mixed systems (Figure 2). The fractional losses (1−$f_{PRC}$) of lower molecular weight PRCs PCB 29 and PCB 69 in the static system were 55% and 46%, respectively, after 28 days of deployment. However, both PCBs were 100% dissipated from PE after the same exposure time in the high frequency (2 min-paused) vibrating system. The effect of vibration on PRC loss rate was more evident for PCB 155 and PCB 192. For example, the fractional loss was improved over the static deployment from 22% to 87% for PCB 155 (hexachloro-congener) and from 12% to 63% for PCB 192 (heptachloro-congener) after 28 days. As shown in Figure 2, $f_{PRC}$ for PCB 29 and PCB 69 were nearly identical in high frequency vibrating and mixed exposures. In fact, more than 95% of both PRCs were lost in the vibrating system only after 7 days of exposure. The difference in $f_{PRC}$ between high frequency vibrating and mixed systems was larger for more hydrophobic PRCs (PCB 155 and PCB 192). However, the fractional losses of these PRCs were still reasonably large in the high frequency vibrating system (63% after 28 days and 80% after 56 days for PCB 192).
The measured $f_{PRC}$ values in the static system from experiments 1 and 2 were identical for all PRCs as compared in Supporting Information Tables S5 and S6. Thus, only the results from experiment 1 are shown for the static deployment in Figure 2. As indicated in the figure, vibration with low frequency (5 d-paused) was not as effective in improving the dissipation rate of high molecular weight PRCs. For example, the fractional losses of PCB 29 and PCB 69 were increased to approximately 70% after 28 days in the low frequency vibrating system. However, the fractional loss was less than 60% for PCB 155, and the fractional loss was only 25% for PCB 192.
**Modeling the Uptake of PCBs.** Experimental and modeling results for PCB 128 (hexa), PCB 183 (hepta), and PCB 194 (octa) in static, vibrating, and mixed systems are shown in Figure 3. As described in the modeling section,
**Figure 3.** Fractional uptake of PCB 128 (a), PCB 180 (b), and PCB 194 (c) in PE passive samplers in four differently exposed systems. Experimental data are shown by symbols, and fast desorption model simulations are shown by lines. Error bars represent the mean ± one standard deviation ($n = 3$).
sediment desorption rate constants are required for the modeling of mass transfer in the vibration system. The measured desorption rate constants ($k_d$) for the three PCB congeners were in the range of 2.4 to 2.8 d$^{-1}$ (Supporting Information Table S9). The measured $k_d$ values are in the same range as the values reported by Cornelissen et al.$^{35}$ for sediments from Lake Oostvaardersplassen (Netherlands). However, our measured rates are approximately 1 order of magnitude larger compared to the reported rates by Zimmerman et al.$^{36}$ for sediments from Hunters Point (CA) and those reported by Sun and Ghosh$^{37}$ for sediments from Grass River (NY). As shown in Figure 3, modeled uptake in PE generally had good agreement with the measured uptake of all three PCBs in static and vibrating systems with low and high frequency of vibration. This is especially noteworthy because the model uses parameters that have been independently measured or obtained from the literature (Supporting Information Table S7).
The mixed model overpredicted the earlier time point measurements (Figure 3), likely due to incomplete mixing of the sediment. While it is often assumed that a slurry of sediment in a tumbled jar is well-mixed, depending on the fluidity of the slurry, it is possible to have less than required relative movement between the passive sampler and sediment. This could cause inefficient breakup of the depletion layer$^{38}$ that forms around the polymer. Deviations between the model simulation and experimental data for the mixed deployment were more obvious for more hydrophobic PCBs (PCB 183 and PCB 194), as mass transfer of these compounds is mostly controlled by the sediment side.$^3$ Arp et al.$^{18}$ also observed slow diffusion of higher molecular weight PCBs from mixed sediment slurry into POM. The authors argue that the reason for slow mass transfer of the larger molecular weight PCBs in their study could be slower desorption from the less available subdomains of the sediment.
**Prediction of Equilibrium Concentration Based on Static vs Shaken Deployment.** Measured PCB concentrations in PE using the static and vibration deployments were corrected for nonequilibrium based on the fractional losses of PRCs. Since four PRCs were available for use in correction, the method by Fernandez et al.$^6$ was used as described in the Materials and Methods section. PE equilibrium concentrations were also determined from the 56-day mixed deployment. To compare the accuracy of the equilibrium estimations, the estimated $C_{PE}$ values based on PRC-corrected concentrations in PE were compared to the true equilibrium concentrations from the mixed system. In the laboratory mesocosms with static overlying water, we expect that PCBs in porewater approach thermodynamic equilibrium with the sediment. Thus, pore-water concentrations measured in the “mixed equilibrium exposures” should closely represent the true equilibrium porewater concentration to be expected in the static and
**Figure 4.** Comparison of 56-day mixed (true) equilibrium concentration in PE with PRC-corrected PE equilibrium concentration measured using 7-day and 28-day static exposures. Plot A shows PCB congeners that belong to pentachloro- and lower molecular weight congeners, and plot B indicates congeners that belong to hexachloro- and higher molecular weight congeners. The corrected concentrations that are statistically different from the 56-day mixed equilibrium concentrations (with alpha level of 5%) are indicated with an asterisk. Error bars represent the mean ± one standard deviation ($n = 3$).
Figure 5. Comparison of 56-day mixed equilibrium concentration in PE with PRC-corrected PE equilibrium concentration measured using 7-day and 28-day vibrated passive samplers. Plot A shows PCB congeners that belong to pentachloro- and lower molecular weight congeners, and plot B shows congeners that belong to hexachloro- and higher molecular weight congeners. The corrected concentrations that are statistically different from the 56-day mixed equilibrium concentrations values (with alpha level of 5%) are indicated with an asterisk. Error bars represent the mean ± one standard deviation ($n = 3$).
vibrating passive sampler deployments. The PRC-corrected $C_{PE}$ values measured with 7- and 28-day static and vibrated passive samplers are plotted in Figures 4 and 5, respectively, and compared against the true equilibrium $C_{PE}$ values. In both figures, the PRC-corrected $C_{PE}$ values that are statistically different from the true values (with alpha level of 5%) are indicated with asterisks.
As shown in Figure 4, the tri-, tetra-, and pentachloro-congeners (PCB 31, 70 + 76, 99, and 82 + 151) are generally well-predicted by the static passive samplers (within a factor of 2) for both 7-day and 28-day deployments. For these moderately hydrophobic congeners, the PRC losses are high in both deployment durations, and correction for non-equilibrium is relatively accurate. The measurements using static deployment start deviating strongly for the higher chlorinated PCBs (hexa and higher). There appears to be a consistent positive bias for the estimation from static deployment. For example, equilibrium $C_{PE}$ for PCB 180 is predicted to be 7.7-fold higher from the 7-day deployment and 2.9-fold higher from the 28-day deployment. As expected, $C_{PE}$ estimations using the 7-day deployment data in the static system were less accurate compared to the estimations using 28-day deployment data, especially for higher molecular weight PCBs. The error bars are also large, indicating poor precision. Many of the equilibrium $C_{PE}$ prediction for the static deployment have large deviation from the true equilibrium $C_{PE}$ (e.g., up to a factor of 10 for 7-day deployment) but often do not show statistically significant difference due to the very large associated error of the estimation. The predictions improve with length of deployment but remain poor with a factor of 5 overprediction for several hepta- and octachloro-PCBs.
As shown in Figure 5, the PRC-corrected $C_{PE}$ values from the 2 min-paused vibration deployment are much more accurate and precise compared to measurements from the static deployment. For example, the estimated equilibrium $C_{PE}$ for
PCB 180 is 291 and 346 ng/g after 7 and 28 days of deployment in the 2 min-paused vibration system, respectively. That means, equilibrium $C_{\text{PE}}$ of PCB 180 is predicted within a factor of 1.1 of the true value of 258 ng/g even after a 7-day deployment. Even PCB 208 + 195, which are the most hydrophobic congeners measured, are predicted within a factor of 1.2 after 7 days deployment despite the fact that only 40% of the equilibrium concentration was reached. Both 7-day and 28-day deployments of the 2 min-paused vibrating system yield close to the true value for all measured PCBs.
Increasing pause time to 5 days made the equilibrium $C_{\text{PE}}$ measurements less accurate than the 2 min pause vibration but was better than the static deployments. For example, $C_{\text{PE}}$ for PCB 180 was predicted within a factor of 1.9 by the 5-s-paused deployment in 28 days compared to a factor of 2.9 for the same deployment period for the static system. Thus, even a very intermittent vibration can greatly enhance the accuracy of the $C_{\text{PE}}$ measurement. Higher precisions in estimation of $C_{\text{PE}}$ using the low frequency vibration deployment results in estimated equilibrium concentrations that are statistically different from the true values, yet the absolute values are closer to the true value compared to the static deployment.
Since passive sampling is often used to estimate $C_{\text{free}}$, PCB concentrations in PE were converted to $C_{\text{free}}$ using the individual congener PE-water partition constants ($K_{\text{PEW}}$) and are presented in Supporting Information Figures S7 and S8. The $K_{\text{PEW}}$ values for PCB congeners were estimated from the correlation provided in Ghosh et al.\textsuperscript{10} (Supporting Information Table S8). Conversion to $C_{\text{free}}$ values appears to reduce the contribution of the highly chlorinated congeners toward the total PCB $C_{\text{free}}$. However, an important environmental impact of the pollutants in the porewater is the accumulation at the base of the aquatic food web and partitioning into benthic organism lipids. Predicted equilibrium concentrations in organism lipids were also calculated based on the assumption that organism lipids are similar to octanol, and the lipid concentrations at equilibrium are plotted in Supporting Information Figures S9 and S10. In Figures S9 and S10 again, the contribution of the highly chlorinated PCBs in porewater is emphasized because these compounds have a strong partitioning in lipids and, thus, need to be measured with a high degree of accuracy. This exercise illustrates the importance of assessing concentrations in the right matrix or to convert concentrations to chemical activities as suggested in Mayer et al.\textsuperscript{1}
Apell and Gschwend\textsuperscript{6} using the same PRC-correction method observed that the $C_{\text{free}}$ estimates from 30 day and longer deployment times (up to 120 days) in static sediment were not statistically different from the measured concentrations. However, they did not conduct the comparison for deployment times of less than 30 days and for the PCBs larger than heptachloro-congeners. In this study, we did not see...
significant differences between the PRC-corrected and true equilibrium $C_{\text{PE}}$ of hexachloro- and lower molecular weight PCBs for the 28 d-deployment time, which agrees with the observations by Apell and Gschwend.\textsuperscript{9} In fact, the differences were significant for high molecular weight PCBs (some of the hepta-, and all octa-, and nonachlor congeners) (Figure 4). Although Apell and Gschwend\textsuperscript{9} concluded that uptake kinetics of PCBs into PE is identical to the release kinetics of PRCs out of the PE, more recent studies reported anisotropic exchange kinetics for diffusion of PCBs and DDTs into passive samplers. For example, Choi et al.\textsuperscript{10} observed slower uptake kinetics of the target PCBs compared to the release kinetics of the PRCs for PE deployed in stagnant sediment. In contrast, Bao et al.\textsuperscript{11} reported faster kinetics of uptake for PCBs and DDTs into PDMS compared to the release kinetics out of PDMS and into the sediment.
**Comparison of Exchange Kinetics.** To further investigate the difference between the exchange kinetics of PCBs $f_{\text{PRC}}$ of the four PRCs used in this study was compared to the fractional uptake ($f_{\text{target}}$) of four target PCBs with similar $K_{\text{ow}}$. If the exchange rates are identical, then the sum of $f_{\text{target}}$ and $f_{\text{PRC}}$ should be equal to one for all the time point measurements. In Figure 6, $f_{\text{target}}$ for PCBs 31, (70 + 76), 158, and 194 is compared to $f_{\text{PRC}}$ for PCBs 29, 69, 155, and 192, respectively after 7, 14, 28, and 56 days of deployment. The sum of $f_{\text{target}}$ and $f_{\text{PRC}}$ deviates from one by less than 20% for all the congeners. However, the ratio of fraction PRC lost to fractional uptake (shown in Supporting Information Figure S11) is dramatically different from 1 for the static deployment at early times and is highly variable. The PRC-corrected $C_{\text{free}}$ of the four PCB congeners (shown with cross) is also compared to the measured value (shown with dash lines) for all the time point measurements in Figure 6. For all congeners, the accuracy of $C_{\text{free}}$ estimation improves at longer deployment times. Thus, reasonably symmetric long-term kinetic profiles for uptake of PCBs and release of their corresponding PRCs were found in this study. Therefore, we suspect that the high variability and positive bias for the estimation of $C_{\text{free}}$ (or equilibrium $C_{\text{PE}}$) of highly chlorinated congeners from static deployment is likely due to small fractional losses of the larger PRCs, which cause large PRC correction errors for predicting the equilibrium concentrations. The large variability comes from the fact that at times the direction of error in analyte measurement and PRC measurement cancel each other and at other times they compound the error.
**Implications.** PRC corrections have allowed extension of passive sampling to compounds that do not achieve equilibrium during a reasonable period of field deployment. However, we showed that the corrections are not reliable for estimating sediment porewater concentrations of strongly hydrophobic PCBs during a typical deployment time. The introduction of periodic vibration greatly enhances the time to equilibrium, increases measurement accuracy, reduces deployment times, and extends the use of passive sampling in conjunction with PRCs to strongly hydrophobic compounds. As demonstrated in the present work, with periodic vibration, even a 7-day deployment is adequate for a reasonably accurate in situ measurement of $C_{\text{free}}$ for all PCB compounds. Shorter deployment times reduce the risk of loss, destruction, and vandalism of deployed passive sampler platforms in the field and can reduce costs when deployment and retrieval may be performed in one mobilization to the field. Using periodic vibration for a longer deployment of a month, it may even be possible to reach so close to equilibrium that PRC corrections may not be necessary for many compounds. We expect that using the proposed vibration technique for deployment of the passive samplers would also improve the accuracy of in situ measurements of $C_{\text{free}}$ for other strongly hydrophobic compounds such as polychlorinated dibenzo-p-dioxins/dibenzo-furans since these compounds are in the same range of hydrophobicity as hexa-, hepta-, and octachloro-PCBs. Further work is needed to operationalize the vibrating passive sampler through optimization of the vibration frequency, increased size of the devices to accommodate larger samplers, and field demonstration with HOC contaminated sediments.
**ASSOCIATED CONTENT**
*Supporting Information*
The Supporting Information is available free of charge on the ACS Publications website at DOI: 10.1021/acs.est.7b01020.
Parameter estimation; model equations; details of model simulations; Matlab codes, and additional figures and tables (PDF)
**AUTHOR INFORMATION**
*Corresponding Author*
*Phone:* 410-455-8665. *Fax:* 410-455-6500. *E-mail:* firstname.lastname@example.org.
*ORCID*
Upal Ghosh: 0000-0003-2112-1728
*Notes*
The authors declare no competing financial interest.
**ACKNOWLEDGMENTS**
The authors acknowledge financial support from the Department of Defense Strategic Environmental Research and Development Program (Project No. ER-2540, contract # W912HQ-14-P-0111).
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Fiscal Year 2018 ends with four launches.
36.245 UH Figueroa - Micro-X launched July 22, 2018
Micro-X combines a high-energy-resolution X-ray microcalorimeter with an imaging mirror to obtain the first imaging X-ray microcalorimeter spectra from an astronomical source. As a photon is absorbed in a microcalorimeter and its energy converted to heat, the resulting temperature rise can be measured by the resistance change of a Transition Edge Sensor (TES). These microcalorimeters need to be cooled to temperatures of about a hundredth of a degree above absolute zero to function properly.
This flight, the first of Micro-X, was designed to investigate the plasma conditions (such as temperature, electron density and ionization) and the velocity structure of the Cassiopeia A Supernova remnant (SNR). The high-resolution X-ray spectra (14,000 counts collected in 326 seconds at 6-10 eV resolution across the 0.2 - 2.5 keV band) that Micro-X is developed to measure, will help to ascertain the temperature and ionization state of the X-ray emitting gas in Cas A, as well as study individual bright plasma knots within the remnant.
Due to an Attitude Control System anomaly, data from the target SNR was not received. However, the Micro-X instrument did perform as expected.
Micro-X at Wallops for integration and testing.
46.021UO Koehler - RockSat-X launched August 14, 2018
RockSat-X was successfully launched from Wallops Island, VA on August 14, 2018. RockSat-X carried student developed experiments and is the third, and most advanced, student flight opportunity. RockSat-X experiments are fully exposed to the space environment above the atmosphere. Power and telemetry were provided to each experiment deck. Additionally, this payload included an Attitude Control System (ACS) for alignment. These amenities allow experimenters to spend more time on experiment design and less on power and data storage systems.
The following experiments were flown on RockSat-X in 2018:
Community Colleges of Colorado
The Orbital Scrap Capture and Reclamation (OSCAR) project is a collaboration between three community colleges in Colorado – Arapahoe Community College in Littleton, Community College of Aurora, and Red Rocks Community College in Lakewood. The purpose of this experiment is to develop a cost effective method to alter the trajectory of space debris in suborbital flight.
Capitol Technology University
The goal of Project Janus is to demonstrate the use of a laser distancing system to measure the speed of CubeSats within constellation during flight.
Temple University
Temple University’s mission is to detect flux and angular distribution of cosmic radiation as a function of altitude.
University of Colorado Boulder
The purpose of the Measuring Emitting Ground stations using Antennas Listening for Oscillating Doppler Outputs from NEXRAD (MEGALODON) experiment is to use passive RF technology to characterize the local NexRad Doppler Radar network.
University of Maryland
This payload includes two different experiments from the University of Maryland. The Stratification and Tribocharging Analysis of Regolith (STAR) experiment will study the effects of tribocharging on extra-terrestrial regolith simulant. The Space Characterization and Assessment of Manipulator Performance (SCAMP) project will fly a functional robotic manipulator component in a microgravity environment to test contact stability on both hard and soft contacts.
University of Puerto Rico
The University of Puerto Rico’s mission is to collect micrometeorites in the Meteor Trail at altitudes of 49 – 68 miles (80-110 km) in order to gather organic molecules for complete DNA, RNA, and Nucleic Acids.
Virginia Tech
Virginia Tech’s mission is to support STEM education and outreach by utilizing the ThinSat platform that allows high school and university students to test their own experiment in a space environment.
West Virginia Collaboration
The Hobart and William Smith Colleges are attempting to measure the temperature and vibration of their payload throughout the rocket’s flight. Marshall University’s experiment uses an automated target acquisition system to take pictures of target stars and assess the effectiveness of astronomy.net for target acquisition during flight. West Virginia State University is preparing for future CubeSat missions by comparing different equipment designs and testing the feasibility of a Michelson Interferometer. West Virginia University is evaluating the capabilities of a jettisoned capsule to project individual experiments in future missions and design an ultra-compact plasma spectrometer with reduced mass, volume, and high voltage requirements and comparing it to identical instruments. West Virginia Wesleyan College’s experiment is to compare the effectiveness of a thermionic converter to a solar panel in space and to prove NOAA magnetometer data.
36.328 NR Clark - Advanced Supersonic Parachute Inflation Research and Experiments (ASPIRE) launched September 7, 2018
This was the third flight of ASPIRE. The project investigated the supersonic deployment, inflation, and aerodynamics of Disk-Gap-Band (DGB) parachutes in the wake of a slender body. All three missions carried parachutes that were full-scale versions of the DGBs used by the Mars Science Laboratory in 2012.
For this mission, the launch vehicle, test platform, instrumentation, mission operations, and test methodologies were nearly identical to the first two flights. However, the test article was further strengthened from the second configuration and included bridle lines with increased material. The target load for this flight was approximately 70 klbf, which is about 1.4 times the highest possible load expected on Mars.
The flight data from the sounding rocket missions will aid in the development of models to predict parachute performance on Mars.
36.325 US Glesener – Focusing Optics X-ray Solar Imager (FOXSI) launched September 7, 2018
The outer layer of the Sun (known as the corona) has a temperature over one million degrees Kelvin (K) while the visible surface of the Sun, the photosphere, is a mere 6,000 deg K. This is contrary to intuition because temperature usually decreases as the distance from the heat source increases. This phenomena is known as the “coronal heating problem”. The mechanisms that heat up the corona are not understood and unlocking the secrets will tell scientists a lot about the dynamics of the sun. The Focusing Optics X-ray Imager (FOXSI) is designed to look at barely visible nanoflares, which are much smaller, but more frequent than the large solar flares. These nanoflares may serve as the seeds for the cascade that cause much larger flares, and may be connected to the physics that causes the Sun’s corona to be hotter than its surface.
This, the third flight of FOXSI, observed the non-flaring “quiet” Sun and searched for non-thermal X-rays from these regions.
Integration & Testing
52.003 & 52.004 UE Kletzing – Twin Rockets to Investigate Cusp Electrodynamics (TRICE) 2
The Twin Rockets to Investigate Cusp Electrodynamics II (TRICE-2) missions will measure cusp signatures of reconnection occurring at the magnetopause during steady IMF Bz southward conditions. This will be accomplished by launching two nearly identical instrumented payloads, flying at low and high altitudes, with a variety of separations in time and space. Launch times will be set such that both rockets reach apogee as near simultaneously as possible. The high flyer will reach an altitude of approximately 1,100 km and the low flyer will reach approximately 870 km.
52.005 UE Labelle – Cusp Alfven and Plasma Electrodynamics Rocket (CAPER) 2
Cusp Alfven and Plasma Electrodynamics Rocket (CAPER) is designed to investigate the interactions between electrical waves and charged particles in a region of space known as the “polar cusp.” The polar cusps are structures in the Earth’s magnetic field above the north and south poles, where the magnetic field lines converge in a funnel-shape. The cusps are significant because they are connected directly to the solar wind, a stream of charged particles coming out of the sun and striking the Earth’s environment, giving rise to space weather effects such as loading of the radiation belts, intense auroral activity known as substorms, and strong natural electrical currents lasting several days known as geomagnetic storms. These processes can have a significant impact on ground- and space-based technical systems. By probing the cusp regions, CAPER will measure particle and wave phenomena related to these processes.
46.018 UO Koehler – RockSat–XN
RockSat-XN is an international student mission to be launched from Andoya Space Center as part of the Grand Challenge - CUSP initiative. Student groups from the United States, Norway and Japan are providing experiments for the mission. Integration and testing occurred at Wallops in early August 2018, and the launch is scheduled for January 10, 2019.
Valerie giving a tour to VA Space Camp students.
Lunch and Learn with Cody.
FOXSI launch.
Norway shipment and motor crew.
Jason, Wayne and Kevin with one of the TRICE payloads.
Mike and Mitch.
Jay, with Tom, Kevin and Eric in the background, inspecting a TRICE payload.
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NSROC & SRPO support NASA Community College Aerospace Scholars (NCAS)
NCAS is a national STEM focused program where community college students interested in NASA related careers participate in a five-week online learning experience. Top scoring scholars are invited to participate in a 3-day workshop. This year’s workshop was held at Wallops and was lead by the Education Office. NSROC staff members, Eric Roper, Valerie Gsell, Meredith Danowski and Berit Bland served as mentors. Additionally, students toured the I&E Lab and Machine Shop in F-10. Office Chief, Giovanni Rosanova, gave a presentation about sounding rockets.
Part of the workshop experience was a simulated mission to Mars. The students built and programmed Lego robots, and then navigated a terrain to collect “minerals” and rescue Mars rovers.
For more on NCAS, visit: https://nas.okstate.edu/ncas/
Launch Schedule October – December 2018
| MISSION | DISCIPLINE | EXPERIMENTER | INSTITUTION | PROJECT | RANGE | DATE |
|---------|---------------------|--------------|-------------------|-----------|-------|----------|
| 36.331 UG | UV/OPTICAL ASTRO | GREEN | UNIV OF COLORADO | DEUCE | WS | 12/03/18 |
| 35.039 GE | GEOSPACE SCIENCE | ROWLAND | NASA GSFC | VISIONS 2 | SVAL | 12/04/18 |
| 35.040 GE | GEOSPACE SCIENCE | ROWLAND | NASA GSFC | VISIONS 2 | SVAL | 12/04/18 |
| 52.003 UE | GEOSPACE SCIENCE | KLETZING | UNIVERSITY OF IOWA| TRICE-2 | NOR | 12/05/18 |
| 52.004 UE | GEOSPACE SCIENCE | KLETZING | UNIVERSITY OF IOWA| TRICE-2 | NOR | 12/05/18 |
WS - White Sands
WI - Wallops Island
NOR - Andoya, Norway
FB - Fairbanks
Kwaj - Kwajalein, Marshall Islands
SVAL - Svalbard, Norway |
Analysis of waste management policies based on village owned enterprises (Bumkal)(empirical study on Caturharjo Village)
Adhitya Rechandy Christian\textsuperscript{1*}
\textsuperscript{1}Manajemen Study Program, Universitas Ahmad Dahlan, Yogyakarta, Indonesia
Abstract. The problem of waste is a serious thing to be handled in Yogyakarta and overcoming waste through its source is an interesting thing to research. The purpose of this study is to find out the waste management based on Village-Owned Enterprises (BUMKAL) in Caturharjo Village which has succeeded in building waste management through BUMKAL Catur Sejahtera. This research uses a qualitative approach by conducting direct interviews with stakeholders and the community in waste management in Caturharjo Village. The results of this study revealed that Caturharjo Village through Perkal Number 2 of 2022 concerning waste management using (1). Waste collection is not harmful, (2). Waste management and disposal are not hazardous, (3). Community- and community-based organic compost production, (4). Combined provider of facility supports services. In addition, the findings saw that Caturharjo Village also carried out pentahelix collaboration to solve waste in Caturharjo Village.
1 Introduction
The management of waste has become a critical issue in many countries, including Indonesia, where improper waste handling can lead to significant environmental and health problems [1–4]. While previous studies have explored waste management policies in various contexts, there is limited research on their implementation at the local level in Indonesia. This study aims to address this knowledge gap by examining the effectiveness of waste management policies based on Badan Usaha Milik Kalurahan (BUMKAL.) in Kalurahan Caturharjo, Indonesia. By analyzing the policy management of waste through BUMKAL, this research seeks to provide insights into how local governments can effectively manage waste and contribute to the development of more sustainable waste management practices in Indonesia. BUMDes are established to develop the local economy and improve community welfare through independent economic activities [5–7]. For a waste management BUMKAL in Caturharjo, this could involve creating jobs and revenue streams from waste collection, recycling, or processing activities. Effective BUMDes management requires proper organizational strategy, resource strategy, and program strategy [8–10] For a waste management BUMKAL, this may include formulating a clear vision/mission, securing
* Corresponding author: firstname.lastname@example.org
adequate financial and human resources, and implementing well-planned waste management programs. BUMDes face common challenges such as lack of financial resources, human resources, infrastructure, and effective program management [10]. A waste management BUMKAL in Caturharjo may encounter similar obstacles that would need to be addressed through strategic planning and capacity building. Proper financial management and reporting are crucial for BUMDes operations [11–13]. A waste management BUMKAL would need to implement sound financial practices and prepare reports in accordance with relevant regulations to ensure accountability and transparency [14]. To optimize its impact, a waste management BUMKAL in Caturharjo should aim to contribute to village revenue while also providing tangible benefits to the community through improved waste management services and environmental outcomes [15,16]. Balancing financial sustainability with social and environmental goals would be key to its success [17].
Waste as a solid material left over from industrial processes or household waste [18] is a problem that still needs to be resolved [19]. Yogyakarta has a serious problem since the closure of the Piyungan TPS, Bantul Bersama data, notes that there is a potential of 400 tons of waste / day This is because solving the waste problem is still conventional, not integrated, coordinated, and does not utilize the potential in the community. TPST Piyungan is the only landfill in the D.I. Yogyakarta region. The TPST has been operating for 23 years and until now there has been no expansion of the TPST location. Jogja Daily News dated October 29, 2022 wrote that the Piyungan TPST area is currently full and the community is expected to start managing waste independently to reduce the debit of waste entering the Piyungan TPST. The fullness of TPST Piyungan can have an impact on the closure of the TPST and will again make problems for the community regarding waste disposal. Jogja Daily News accessed on October 31, 2022 stated that the Piyungan TPST which was closed for 4 days had an impact on the pile of garbage as much as 1,200 tons.
Waste management has become an important issue in many countries, including Indonesia [20,21]. Many policies have been implemented but their effectiveness at the local level is still uncertain. The implementation of waste management in Caturharjo Village has shown success in waste management. This is the case. Judging from the Radar Jogja news release dated August 3, 2023 with the title “Kelurahan Caturharjo Bantul is not affected by the closure of TPST Piyungan” [22], this is when the closure of the Piyungan TPS has an impact on the accumulation of waste in various regions but has no impact on the Caturharjo village. and this makes Caturharjo Village an independent waste village based on the Bantul Regent Decree Number 377 of 2023 concerning Caturharjo Village as an Independent Waste Management Village through management using the Village-Owned Business Entity (BUMKAL).
This research focuses on a policy implementation study of BUMKAL (Badan Usaha Milik Kelurahan) in Kelurahan Caturharjo with the aim of providing valuable insights into
the efficacy of local waste management strategies. The research questions centered on evaluating the effectiveness of BUMKAL as a waste management policy in Caturharjo, hypothesizing that BUMKAL is an effective approach to managing waste at the kelurahan level. This research is important for improving waste management practices, which has significant implications for governance, environmental protection, public health, and economic development in Indonesia. Village-owned enterprises such as BUMKAL can play an important role in managing local resources and meeting community needs, including waste management.
Effective governance and management strategies are critical to the success of such initiatives [10]. A collaborative approach involving various stakeholders, including kalurahan officials, community leaders, and local residents, is key to developing and implementing successful waste management policies [23]. Bumkal management usually often faces challenges such as limited financial resources, lack of skilled human resources, inadequate infrastructure, and ineffective program management [24]. These issues could potentially affect the implementation of waste management policies through BUMKAL in Caturharjo Village. To overcome these constraints, the village administration may need to focus on capacity building, improving governance mechanisms, and ensuring accountability in BUMKAL operations. Local waste management policies face various challenges in implementation, especially in developing countries [25–27].
2 Material and Methods
2.1 Village-Owned Enterprises
Village-Owned Enterprises are the same as Village-Owned Enterprises (Bumdes), which are institutions managed by the community at the village level government to strengthen the village economy based on the potential and needs of the village (Center for the Study of the Dynamics of Development Systems, 2007). Village Minister Regulation (Permendesa) No. 4 of 2015 concerning the establishment, management, management and dissolution of Village-Owned Enterprises, Village-Owned Enterprises are business entities that are wholly or partially owned by the Village or Kalurahan through direct participation from separated village funds to manage assets, services and other businesses for the greatest welfare of the Village community. The establishment of a Village-Owned Business Entity as referred to in the Village Minister Regulation (Permendesa) No. 4 of 2015 concerning the Establishment, Management, and Dissolution of Village-Owned Business Entities, has the following objectives:
- To improve the village economy
- Optimizing Village assets to benefit the welfare of the Village.
- Increase community efforts in managing the Village's economic potential.
- Develop business cooperation plans between villages or with third parties.
- Creating market opportunities and networks that support the general service needs of residents.
- Opening up employment opportunities.
- Improving the welfare of the community through the improvement of public services, growth and equitable distribution of the Village economy and increasing the income of the Village community and Village Original Income.
According to Kalurahan Regulation (Perkal) No. 2 of 2022 concerning Badan Usaha Milik Kalurahan Catur Sejahtera. Bumkal Catur Sejahtera owned by Kalurahan Caturharjo focuses on the business field of waste management which aims to utilize existing waste in the community with business activities:
• Collection of non-hazardous waste
• Management and disposal of non-hazardous waste
• Organic waste compost production
• Activities of combined providers of facility support services (waste disposal)
2.2 Waste
Waste is unwanted residual material after the end of a process. Meanwhile, in Law No. 18 of 2008 concerning Waste Management, it is stated that waste is the residue of daily human activities or natural processes in the form of solid or semi-solid in the form of organic or inorganic substances that can be decomposed or cannot be decomposed which are considered no longer useful and are disposed of in the environment.
Waste can be divided into several classifications. The following is the classification of waste, namely: 1) Based on Form Based on its shape, waste can be divided into two types, namely organic and inorganic waste, 2) Organic Waste Organic waste is a type of solid waste that is easily biodegradable (Teti Suryati, 2014). Some categories of this waste are dry leaves, sawdust, wood shavings, husks, corn husk straw, non-glossy paper, vegetable stalks, fruits, fresh grass, fresh leaves, kitchen waste, the pulp of the or coffee, eggshells, manure, food waste, and organism waste, 3) Inorganic Waste Waste is a type of solid waste that cannot be decomposed by natural processes. Some examples of this type of waste are metals, plastics, glass bottles, Styrofoam, shiny paper, and so on, 4) Based on the Source Based on the source, waste can be divided into two, namely domestic solid waste and non-domestic solid waste. Domestic solid waste usually comes from housing, hospitals, schools, offices, shops, and others. Meanwhile, non-domestic solid waste usually comes from forests, agriculture, plantations, industries, and so on, 5) Based on the level of danger In the field, two categories of waste or waste are known based on the level of danger, namely hazardous waste and non-hazardous waste.
Regulation of the Minister of Environment of the Republic of Indonesia Number 13 of 2012 concerning Guidelines for the Implementation of Reduce, Reuse, and Recycle Through Waste Banks, where the ministerial regulation explains that waste management must be carried out with reduce, reuse, and recycle activities, or limit waste, reuse waste, and recycle waste, hereinafter referred to as the 3R system, is all activities that are able to reduce everything that can generate waste, reuse waste activities that are suitable for use or the same function or other functions, and waste processing activities to be used as new products.
2.3 Previous Study
Empirical studies or previous research contain the results of previous research, where the research is relevant to the research conducted by researchers, namely regarding Village-Owned Enterprises and Waste Banks.
The first empirical study from Agunggunanto, Arianti, and Darwanto [28], in his research entitled Independent Village Development Through Management of Village Owned Enterprises, the research method used is descriptive qualitative. Where the results of this study indicate the condition of Village Owned Enterprises in Jepara Regency has been running in accordance with the objectives of the establishment of Village-Owned Enterprises and is able to help improve the village economy through existing types of businesses, namely savings and loan cooperatives, goat livestock, Waste Bank, clean water management, and trade in processed products. However, there are still obstacles in the management of Village-Owned Enterprises in some areas such as the types of businesses run are still limited and have not been able to develop, due to limited human resources who manage Village-Owned Enterprises and low community participation due to their low knowledge. The equation of
this research is that the methods used are the same and both examine Village-Owned Enterprises, while the difference lies in the object under study, namely this study examines all types of businesses run by Village-Owned Enterprises in Jepara Regency, while this study examines one type of business run by Village-Owned Enterprises in Jegulo Village, namely the Garbage Bank.
The second Empirical Study by Syahputra [29], in his research entitled Analysis of the Role of Waste Banks in Sustainable Development in Malang City with the research method used is descriptive qualitative. Where the results of this study are that the Waste Bank in Malang city plays an important role in sustainable development by providing a long-term positive impact on the environmental, social and economic activities of the surrounding community. Where the Waste Bank in Malang city can process inorganic waste using special tools to be used as raw material into new goods and crafts, while organic waste is processed to be compost and methane gas. The equation of this research is that the method used is the same and this research examines the same Waste Bank, and the difference lies in the place studied.
2.4 Methodology
The method used by researchers in this study is descriptive qualitative research method. According to Mukhtar [30], descriptive qualitative research is a study intended to reveal an empirical fact objectively scientifically based on scientific logic, procedures and supported by strong methodology and theories according to the scientific discipline being pursued. This research was conducted at Badan Usaha Milik Kalurahan (BUMKAL). This research uses purposive sampling techniques and snowball sampling, and is compiled based on primary data in the form of observation interview data and documentation.
3 Results and Discussion
Based on the results of interviews and field studies, Bumkal Caturharjo village has several waste management activities, namely: 1). Collection of non-hazardous waste, (2). Management and disposal of non-hazardous waste, (3). Community and community-based organic compost production, (4). Provider of combined facility support services. Furthermore, the research team conducted interviews and based on the results of interviews conducted by the research team, the results of Bumkal-based waste management in Caturharjo Village were obtained as follows:
- Management of organic and inorganic waste through a community-based village-owned enterprise (Bumkal).
Waste management in Caturharjo is based on Bumkal Catur Sejahtera through the focus of community-based waste management activities in Caturharjo. The waste management carried out is as follows:
- Community-based organic waste management
Community-based organic waste management involves all padukuhans in Caturharjo Village by launching the 5000 Jogangan program which is used to accumulate organic waste such as food waste, dry leaves and other organic waste to be used as compost. The results of the jogangan program compost when harvested will be purchased by Bumkal to be packaged and sold in general.
- Community-based inorganic waste management
Community-based inorganic waste management in Caturharjo Village uses a community waste bank that is required in each hamlet. The waste is then managed
by Bumkal Caturharjo. The waste is recycled into plastic ore and then sold by Bumkal as a source of income for Bumkal.
These two activities are in accordance with the village regulations that form the basis of Bumkal's business activities, namely non-hazardous waste collection, waste management and disposal, and organic compost production. From these results, Caturharjo Village can optimize waste processing in the village to keep waste out of Caturharjo Village and can be resolved at the village level.
- Utilization of Appropriate Technology by Kalurahan-Owned Enterprises.
Utilization of appropriate technology is carried out by Bumkal to support waste management activities. The technology is used to support the management of organic and inorganic waste in Caturharjo Village. The appropriate technology carried out is using organic waste chopping machines, inorganic waste chopping machines, integrated waste management laboratories which are used for educational facilities and waste management in Caturharjo Village.
- Waste management education to the community.
Bumkal Caturharjo has an integrated waste laboratory that is used to increase the capacity of waste management in Caturharjo Village because Bumkal considers that waste management needs capacity building for the community so that the community is able to manage waste better. In addition, this education is also open to the public who want to learn about waste management in Caturharjo Village.
- Partner collaboration to improve waste management in Bumkal.
Pentahelix collaboration is carried out by Bumkal and Caturharjo Village for waste management in Caturharjo Village. This collaboration needs to be carried out by Bumkal because it supports the performance of Bumkal. One of the weaknesses of Bumkal is the lack of good human resources [10,24] so that the collaboration of partners can encourage Bumkal to work better. One of the partners is by cooperating with universities to be able to foster Bumkal to run business activities.
4 Conclusion
Badan Usaha Milik Kalurahan (Bumkal) Catur Sejahtera Caturharjo Village has proven to be optimal in carrying out waste management activities. This is evidenced by the award given by the Bantul Regency Government as a Kalurahan Mandiri Waste Management. The findings show that Bumkal optimizes management activities using community-based waste management in organic and inorganic waste management. To support more optimal waste management activities. Bumkal Caturharjo Village uses appropriate technology to support its waste management activities so that it is getting better at waste management. Educational activities are also carried out by Bumkal in Caturharjo Village to increase waste management capacity throughout the Kalurahan and Partner Collaboration using Penta helix collaboration to support the success of Bumkal waste management in Caturharjo Village.
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18. I. K. Budi Sandika, A. A. G. Ekayana, and I. G. P. Eka Suryana, Waste Management Education for the Community in Pecatu Village, WIDYABHAKTI J. Ilm. Pop. 1, 61 (2018). https://doi.org/10.30864/widyabhakti.v1i1.15
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20. A. Aprilia, Waste Management in Indonesia and Jakarta: Challenges and Way Forward, Backgr. Pap. 23rd ASEF Summer Univ. ASEF Educ. Dep. Oct. 2021 1 (2021)
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Editorial
The 14th issue of the Newsletter did take longer than usual to appear and we all apologize about this. We will do our best that this will not happen again and we will be producing at least two newsletters per year in order to reestablish our regular contact.
The new president Jean-Paul Zahn gives you the latest news of the Society and his comments on the JENAM-97. The 1st announcement of the JENAM-98 is ready and you will find attached the appropriate forms for it.
A major part of this issue is dedicated to the two major events of last summer, the JENAM-97 and the IAU General Assembly in Japan. Having participated to both, I believe that both have been very successful and particularly interesting. Our Japanese colleagues have organized one of the best GAS in IAU history.
(continued)
Message from the President
Pursuing what is now a well established tradition, the sixth meeting of our society was held jointly with the meeting of one of our affiliated national societies, and this year it was the turn of the Hellenic Astronomical Society. This JENAM97 took place near Thessaloniki, in a very pleasant sea resort located at the Cassandra peninsula. It was a successful meeting, judging by all criteria: the large attendance (more than 300 participants), the high level of the scientific contributions, the excellent quality of the invited talks. In great part we owe this success to our hosts from the Aristotle University of Thessaloniki, and to the members of the Scientific Organising Committee who drafted the programme. To name only a few, we are particularly grateful to John Seiradakis and Nicoalos Spyrou, respectively chairman and vice-chairman of the Local Organising Committee, and to George Contopoulos and Alvio Renzini, who co-chaired the SOC.
These joint meetings are unquestionably the most visible sign of the existence and the vitality of our society. In the meanwhile, the Newsletter plays a key role to ensure the necessary continuity, but for that it should maintain a reasonable rhythm of publication, which was not the case in the recent past. The present issue inaugurates the editorship of Mary Kontizas, who kindly agreed to take over this demanding task. We encourage all of you to submit to her any article or information that may be of interest to our community. The EAS will also make a broader use of the Web; our site has been moved to the Institut d’Astrophysique in Paris, where Michel Dennefeld is completing its construction (www.iap.fr/eas). Among others, it will host a “young
people forum”, about which you will learn more from Mary Kontizas.
These matters were of course discussed by our council in Thessaloniki, whose business meetings were attended also by the representatives of several affiliated societies. Four colleagues were leaving office then: Paul Murdin (president), Catherine Cesarski (vice-president), Jesus Gomez-Gonzalez and Per Olof Lindblad. They deserve our thanks for the time and efforts they spent in steering our society, which now totals nearly 1500 members. They have been replaced by an equal number of newly elected councillors: Mary Kontizas (Greece), Malcolm Longair (United Kingdom), Francisco Sanchez (Spain; vice president) and myself (France; president).
One important topic discussed during the Council meetings was the role that the EAS could - and should - play in shaping the future of European astronomy. The least we can do is to organise discussion forums or round tables, such as the one which took place in Thessaloniki, of which Paul Murdin gives an extensive account in this issue. But we all agreed that we should move a step further, and contribute more actively to set priorities and make the necessary choices between competing initiatives, while fostering the cooperation between teams of different countries. The way to proceed is still debatable among us, and we are consulting a number of colleagues to reach the most appropriate solution. Our goal is to serve as well as possible the advancement of astronomy in Europe, as the founding members as it was spelled it out in the constitution of our society.
J-P. Zahn
Editorial (cont)
However it was evident that young people had negligible participation, much smaller than normal in both meetings. It is expensive for young people to travel to many conferences and they only go to those which have the major impact for their research. On the other hand, they will be the natural continuity of our discipline and we must help them to follow most of what is going on in astronomy. This problem was discussed in the last EAS council meeting and we decided to open a discussion between the senior astronomers and the young astronomers in Europe in order to: Trace them, write down their worries and questions and finally see how we can face these problems in the near future.
You can see at the last page the announcement of an activity we decided to organise and we wish you will also help to pass it to as many colleagues as possible. Actually we are organizing an e-mail forum for young people next December which we believe will facilitate the links all astronomers and give ideas for facing some of the present difficulties.
A feature we wish to add is a new section in the Newsletter which can be a constant part and be expanded accordingly: News and Articles on astronomical technology such as news on methodology and software useful to be implemented in astronomy, artificial intelligence, automatic techniques etc. All these areas are fast developing and may facilitate astronomers to exchange ideas, experience and news on these topics.
Finally I would like to thank N. Matsopoulos, R. Kountentakou and D. Gouliermis for their valuable help for the publication of this issue.
M. Kontizas
Future of European Astronomy
JENAM97 round-table discussion The European Astronomical Society was founded in the belief that there is such a thing as European astronomy. It is obviously true that there are French astronomy, Italian astronomy, Russian astronomy... - the existence of language and national funding agencies guarantees these. And astronomy is an international subject, which makes the International Astronomical Union necessary and a force in science with a mandate. But European astronomy?
The main role that the EAS has found so far on a European scale is to organise its general meetings, often in conjunction with national societies, boosting them by a European context, and receiving in turn the richness of participation in the culturally distinct aspects of 'national' astronomy.
Is there more to 'European astronomy' than convenience of rail or air journeys to a meeting? The European Space Agency and the European Southern Observatory are two obviously European astronomical organisations, although a minority of European states belong to them. There is obviously more astronomy in Europe than in those two organisations. What is European astronomy and if it exists what is its future? What would be the elements of a European policy on astronomy? These were the subjects of a 'Round Table Discussion'
held at the Joint European and National Astronomy Meeting (JENAM-97) in Thessaloniki, Greece, on July 4 1997. The speakers in the session were:
L. Woltjer The European space programme
J. Truemper High energy astrophysics
R. Giacconi Towards a European policy for astronomy
R Fosbury The synergy between ground and space astronomy
J-P Swings NGST
F Sanchez Large Telescopes and the European Northern Observatory
R. Davies The Gemini project and its lessons for European astronomy
P. Shaver The Large Southern Array
James Lequeux The Large Southern Array
M. Denefeld Instrumentation in European Telescopes
B Shustov Specialisation in observatory sites; the Russian Space Agency’s space programme
P. Murdin Astronomy in Europe - a strategic plan
the following personal account is not intended as a comprehensive report.
**European Space Astronomy**
As Lo Woltjer described, the main programme of space astronomy in Europe is that of the European Space Agency. A mandatory programme of ESA, its budget is set to be about constant for the immediate future. It is supported by its member states, firstly as a condition of entry to ESA, and secondly for a variety of reasons - industrial development, internationalism, idealism and practical. From a scientific perspective, the science programme which ESA executes is chosen after a large and impressive consultation exercise with the space scientists of Europe, and goes under the name Horizons 2000. H2000 consists of different sorts of elements. In some cases, H2000 identifies specific science areas which must be investigated. Thus, a Far InfraRed Space Telescope (FIRST) was identified as a quite specific mission on the basis of a belief that this spectral window contained important science, and that the time was ripe for major advances to be made by an InfraRed/submillimetre telescope: hence the design-studies now being made for the mission. Mission to Mercury is another specific investigation being developed. In other cases, Horizons 2000 identifies areas of scientific technology which have potential - an interferometry mission, for precision astrometry or infrared high resolution imaging, for example. In yet other cases, Horizons 2000 identifies science areas like Mars exploration, gravitational wave astronomy or X-ray astronomy where a major technological development programme is necessary.
Although the programme is decided by the scientists, there is a political dimension to the choice of missions, including the satisfaction, it is argued, of existing space communities. This argument has surfaced in discussing the balance between solar system and astronomy missions in Horizons 2000, and there is some counter argument that there should be a re-assessment of the balance on present and future scientific prospects, not on past strengths. It is difficult for this argument could be resolved within the ESA review processes, which are structured according to space science community support. EAS could well provide a forum for this discussion, in the privacy of a debate within the wider community.
Our current implementation plan for H2000 is not the same as it was a few years ago. It has been necessary to transform it to react to the collapse of over-optimism in the early 1990s in planning Horizon 2000, the cost of the recovery from the loss of Cluster in the Ariane 5 disaster, and the increasing financial stringency in the ESA member states. This has been determinedly carried out under tough management at a time of outstanding success in the current missions.
So, the Space Science Programme is attracting fresh interest from space scientists in Europe, both in the 14 member states and in those whose astronomers would like their country to be one. At the same time, there is considerable interest in individual states by European space scientists who want to develop space science experiments on a national or bilateral scale.
ESA has recently expressed concern at this trend: it is worrying to the European agency that resources are being, as it sees it, diverted from the European collaboration to national programmes. However, the national space programmes provide an opportunity, as Professor Truemper argued in Thessaloniki, to fill in the gaps in the ESA programme, maintaining continuity of discipline. X-ray, ultra-violet and solar astronomy were mentioned as having gaps of coverage in the foreseen programmes. Co-ordination across Europe to fill the gaps would be difficult, but if any organisation can be successful it will have to be European in character, like the EAS. The European Science Foundation’s Space Committee’s role in these matters seems to have lapsed, although recent changes of leadership may give it a new impetus.
The distinctive character of Europe being that of a mosaic of nation states, the question is also of the balance between the national and international programmes. Perspectives on the right balance will be different in
different states, since some states have no national programmes at all and would wish the whole space science programme to be international.
**European ground based astronomy**
Much the same issues affect the European Southern Observatory. ESO is successfully implementing an outstanding project in the VLT, having reorganised its financial profile away from support of numerous smaller activities of lower impact. As a side effect, this has revealed the strong desire of astronomers in some member states nevertheless to continue in these smaller activities, perhaps at reduced cost, and to maintain the national interests by individual participation in studies which can be described as useful rather than outstanding. This is wholly defensible not only as having validity in its own right (all scientists know that not all science can be outstanding) but also as maintaining the skill base in the communities, which supports and feeds the outstanding international facilities.
ESO has, moreover, not only reorganised within its membership, but also through an ESO Council decision expressed willingness to consider collaborations with non-member states on a project by project basis. Astronomers in any state can take advantage of a mutually favourable situation in respect of a given project to develop closer ties with what is undoubtedly a potent European astronomical organisation and their fellow astronomers. This can only develop European cooperation in astronomy, not only for states which have developed a European astronomical interest recently, or those like my own that consciously chose to proceed on a case by case basis for collaboration in large astronomical projects, but also for institutes within an ESO member state which have a special desire to participate in individual projects above the pro-rata share.
Even in the member states of ESA and ESO about as much is spent outside these European organisations as within them: considering the existence of non-member states of both organisations it is clear that European astronomy is more than ESA and ESO. Indeed, a significant part of European astronomy lies at the interface of ESA and ESO, as vividly brought out by Bob Fosbury at Thessaloniki. The Hubble Space Telescope has been run extremely and increasingly efficiently, with an effective archive and important observatory programmes. The international proposal and evaluation process has been intellectually rewarding in its own right. Having seen groundbased astronomy feed into space astronomy, such as the opening up of space missions to community participation, processes like the ones mentioned in space astronomy are now feeding through to ground-based astronomy, for example in the case of the Gemini Telescopes (as Roger Davies showed) and the VLT (as Riccardo Giacconi has said). Indeed the two areas of science should be scientifically co-ordinated, looking at the same areas of sky, feeding each other with observational support, taking from each other observational imperatives. There is a perception that this co-ordination process is not happening between space and ground based astronomy in Europe to the degree that it should, and the EAS has a role to play here.
**Regional differences**
The above discussion has brought out commonalities of scientific purpose even in circumstances where there are both coinciding and differing interests in approaches to astronomy in the states of Europe. To some extent these differences are regional, so I will label them with geographic terms, which however are not meant to be taken literally and exclusively.
In several European states - let me call them ‘western’ - the funding situation, arising from macro-economic constraints such as the EU’s Maastricht Treaty and the Re-Unification of Germany, has become at best constant, switched from the growth era of the last decades. At the same time, the interest in astronomy and (it is believed) the number of astronomers has grown. Certainly, equipment, and its operating environment, has become more sophisticated (telescopes are bigger, detectors deliver more data, computers are more powerful, and observatories operate on more remote mountains or in space). These conflicting trends are producing strain in the western countries, and, as interest focuses on the plight of the national communities, these are the states which show evidence of increasing interest in national programmes and call for the reigning back of expenditure in ESA and ESO.
By contrast, other states - let me call them ‘southern’ - show evidence of changes brought about by developing political systems, the successful effects of the European Union on regional development, and the alteration of economic base away from agricultural towards industrial economies. In these countries, there is a period of rapid growth of astronomy, towards the international facilities, in which these states play an increasingly influential role, as shown by Francisco Sanchez’ presentation on the Canary Island Observatories on La Palma and Tenerife, outlining prospects for the Gran Telescopio de Canarias in the context of what he described as the European Northern Observatory. For the “southern” states, the problems are to develop at an approprierate pace the intellectual capability of the communities and to support communities with infrastructure to fully exploit the new opportunities.
We all know the situation in what can be fairly accurately described as the “eastern” states: after a momentous political change, and a period of intense misery as a general lack of economic competitiveness was ruthlessly exposed, the recovery of astronomy from its temporary dire state is beginning, as can be concluded from Boris Shustov’s discussion. The recovery of astronomy is not of course immune from the pain of change brought about by the general competitive process.
It seems clear that these significant differences will require regional objectives and strategies in the development of a policy of astronomy in Europe, in a society like the EAS which has representation from all these regions.
**Scale of the community**
I referred just now to the size of the astronomy community in Europe. In fact we do not know the size of the astronomical community in Europe, let alone its distribution and any secular trends. There was a survey made by the European Science Foundation in 1975, desperately out of date. The OECD MegaScience Forum made a valuable survey in 1990, which is now also out of date and was somewhat limited in scope. It seems necessary, if European astronomy exists and we want to influence its direction, to know what it consists of, and EAS has decided to make a survey.
**European astronomy in a global and regional context**
Europe and the USA each account for about 40% in some projects, then, Europe can aspire to compete with the USA; this will mean some apparent duplication as we let evolution take its course. In the largest projects, however, of a scale such that the world can afford only one (perhaps a millimetric interferometer array, advocated in Thessaloniki by Peter Shaver, or the Next Generation Space Telescope, advocated by Jean-Pierre Swings), Europe could co-operate with the USA as an equal partner in such projects - provided European countries act as a single negotiating partner. In some areas, there are European strengths and European weaknesses; these niches provide opportunities to capitalise on the strengths, or for the development - or curtailment - of the weaknesses.
The identification of the areas of complementarity, cooperation, competitiveness, weakness or strength compared to the rest of the world is essential to show us the possible scientific directions for European astronomy. From this, as well as a scientific discussion, both organised by the EAS, could come a list of possible future projects: global projects where Europe is at about 50% projects where Europe forms about 100%.
On a smaller scale will come national projects. I think I see a tendency in national projects for all nations to do everything, which can result in all nations doing the same. As Michel Dennefeld argued for the European telescopes, there is a need to co-ordinate the different instruments and telescope programmes, because not everything can be provided for each telescope: cooperation and co-ordination is essential. A European policy would suggest areas where greater diversity and co-ordination would be beneficial to European astronomy, better satisfying European needs as a whole.
**Structure of astronomy in Europe**
The future of astronomy in Europe is partly a matter of future scientific directions and future projects. It is also a matter, not only of hardware but also a brains. The theory to inspire and interpret observations is an essential ingredient for the generation of science, as contrasted with data.
The role of postgraduate students in the thinking process itself and the future of astronomy is also an essential element of a European policy, which should include a coherent policy towards students. Are they apprentices who sit at the feet of the master and then take on his or her mantle? If this concept is built on the hypothesis of steady state, it implies that we all train one PhD student each in our lifetimes. Or if we train a greater number, that there is a proportionate demand to increase the number of astronomers. I fear that neither of these is true, so any promise that a PhD is a training to be an astronomer amounts to pyramid selling. On the other hand, students are not and must not be disposable slave labour. A policy should recognise what the role of students is and act accordingly, rather than act as we would like the situation to be or in disregard of the situation.
An area where I observe differences of attitude and success among the various European states is in the roles of universities, national research institutes and international organisations. Whatever the reasons for the present differences I find it hard to believe that they are all equally effective. Where do the strengths and weaknesses of the current arrangements lie? Are there policy issues at stake which will make a difference for
astronomy in Europe?
Towards a future European policy in astronomy
In Thessaloniki, Riccardo Giacconi eloquently argued that European astronomy must develop a policy. We must take stock of where we are, provide a forum for a dialogue and convince our communities to make decisions on grounds of science not national values. In times when resources are limited (when are they not?) there will be problems of priorities, but if we do not set priorities others will do it for us. There will be losers in the process, but there will anyway be losers. It is a contentious process, but scientists are used to discussion and to make rational decisions. It must be better to plan than not to, and the EAS is ideally situated to contribute to the European plan for astronomy.
P. Murdin
(27 June 1997) flyby of asteroid Mathilde by the NASA NEAR satellite. A very exciting opening for the 4-day conference.
Seven meticulously prepared Invited Reviews were delivered by Drs. M. Rowan-Robinson (Imperial College, U.K.), J. Trümper (MPE, Garching, Germany), R. Genzel (MPE, Garching, Germany), R.A. Sunyaev (Moscow, Russia and MPE, Garching, Germany), A. Gabriel (Paris, France), F. Occhionero (Rome, Italy) and J. van Paradijs (Amsterdam, The Netherlands).
One of the most exciting sessions of the Conference was the Round Table on European Astronomy from the Ground and Space organised by Dr. P. Murdin (PPARC, England) and manned by a very able panel of scientists. A summary of the present and forthcoming activities concerning the European Ground and Space Astronomy, discussed during the Round Table, will appear in a special publication of the Hellenic Astronomical Society.
Finally 284 papers were presented in parallel sessions in 9 wide areas of Astronomy. (Table 1)
The beach and the hotel facilities were fully exploited by the participants and the accompanying persons. The City of Thessaloniki, the Chalkidiki peninsula and the surrounding region offered a wide variety of sights and activities, ranging from world-class culture (archaeological sites, museums and exhibitions) to a variety of entertainment, cuisine and natural wonders. Several participants visited Mt. Olympus, the mountain of gods. Others took the opportunity to take a boat ride around Mt. Athos, well known for its monasteries and Byzantine treasures. Furthermore, Thessaloniki has been nominated the Cultural Capital of Europe for 1997, a fact that gave the opportunity to many participants to attend a variety of cultural events including the exhibition of the Treasures of Mt. Athos, a unique exhibition of byzantine treasures.
J. H. Seiradakis
JENAM-98 First Announcement
7th European and Annual Czech Astronomical Society Conference
9 – 12 September 1998, Prague, Czech Republic
PROSPECTS OF ASTRONOMY AND ASTROPHYSICS
Table 1: Distribution of papers by subject
| Subject | Poster | Oral | (Inv) | Total |
|----------------------------------------|--------|------|-------|-------|
| Dynamical Astronomy | 7 | 14 | (1) | 21 |
| Solar Physics | 21 | 12 | (3) | 33 |
| Space and Planetary Physics | 9 | 20 | (4) | 29 |
| Stellar and Interstellar Astrophysics | 41 | 25 | (3) | 66 |
| Galaxies | 13 | 21 | (3) | 34 |
| Observational Astronomy - Instrumentation | 10 | 13 | (1) | 23 |
| High Energy Astrophysics | 12 | 23 | (9) | 35 |
| Cosmology and Relativity | 3 | 20 | - | 23 |
| History of Astronomy | 7 | 13 | - | 20 |
| **Total** | **123**| **161**| **(24)**| **284**|
**Note 1:** Invited papers are those assigned as such by the Convenors. They are included already in the Orals count.
**Note 2:** The Convenors and the Chairmen of sessions had the authority to change their schedules by shifting, cancelling or including new presentations. It is therefore possible that the above Table may contain a few minor inaccuracies. They are included already in the Orals count.
**FOR THE NEW MILLENNIUM**
The 7th meeting of the European Astronomical Society (EAS) will be held in Prague, Czech Republic, jointly with the annual conference of the Czech Astronomical Society (CAS). This will be the fourth time the EAS meets jointly with one of its affiliated societies. The Conference will cover selected fields of astronomy and astrophysics and is open to all astronomers who would like to interact and exchange their scientific expertise with their European colleagues.
Rapid progress in astronomy and the active role European astronomers played in the process guarantee that important results will be presented in Prague, a city with a rich astronomical history going back to the middle of XIVth century, when the oldest central European university was established there. Incidentally, Charles University of Prague is celebrating its 650th anniversary in 1998. At the beginning of 1998 Czech astronomers will remember the centenary of their prime astronomical facility, Ondřejov Observatory (located 40 km southeast of Prague). Thus, the forthcoming JENAM 98 is perfectly timed to commemorate these events.
1. Main Scientific Objectives
Solar Physics
Small Bodies in the Solar System
Extra Solar-System Planets
Astrophysics of Interacting Binaries
Star Clusters and Galaxies
High-Energy Astrophysics
Relativistic Astrophysics and Cosmology
These are the main topics that will be addressed in plenary invited reviews and discussed in parallel sessions. Co-chairmen of each parallel topic will be named soon and their contact addresses will be announced in due time. Potential invited speakers will be approached by the Scientific Organising Committee (SOC) in the near future, too. As usual, poster presentations will become an important part of the Conference and instructions will be given to all participants in the second announcement.
The SOC also deliberates on the inclusion of joint (panel) discussions covering selected subjects: **Instrumentation**, **History of Astronomy** (including a half-day excursion "Praga Astronomica" on Saturday afternoon, Sept. 12), **Teaching in Astronomy**, **Young Astronomers & Jobs**, **Very Large Projects**.
Two associated meetings are also planned for the days preceding and following the main Conference dates: On Tuesday, September 8, 1998 the all-day workshop entitled
SOLAR ECLIPSE 1999 WORKSHOP
will be held in Prague at the same place as the JENAM 98 Conference (see the attached separate announcement of the Workshop Organising Committee).
On Sunday, September 13, 1998 a plenary meeting of the Czech Astronomical Society (CAS), founded in 1917, will be organised in the Planetarium of Praha where the summary of the JENAM-98 proceedings will be given by the Czech participants in the SOC to members of the Society. In the course of this plenary meeting the Z. Kvíz Award of the CAS will be handed over to the awardee who will then deliver his/her address. The award is given every second year to a person selected by a jury for his/her outstanding results in the fields covered by the late Dr. Zdeněk Kvíz (1932-1993): interplanetary matter, variable star research, popularisation of astronomy.
2. Scientific Organising Committee – SOC
J. Bičák (Czech Republic),
S. Beckwith (Germany)*,
A. M. Cherepashchuk (Russia),
M. Fulchignoni (Italy),
J. Grygar (Czech Republic),
P. Heinzel (Czech Republic),
M. Huber (ESA-ESTEC),
M. Longair (United Kingdom)*,
J. Palous (Czech Republic, Co-chairman),
J. P. Zahn (France, Co-chairman).
* To be confirmed
3. Local Organising Committee – LOC
J. Borovička, L. Cervinka (IKARIS Ltd), J. Grygar (Chairman), P. Hadrava, P. Heinzel, J. Palouš (Co-chairman), R. Plaček, M. Šolc, J. Vondrák, M. Wolf.
Secretary: Z. Dienstbierová
Contact address:
JENAM-98, Z. Dienstbierová
Astronomical Institute
Academy of Sciences of the Czech Republic
Boční II 1401
141 31 Prague 4 - Sporilov, Czech Republic
Tel: +420.2.67103038
FAX: +420.2.769023
E-mail: email@example.com
http://sunkl.asu.cas.cz/jenam98
4. Agenda
The scientific parallel sessions will be spread over approximately 10 morning or afternoon intervals, each lasting about two hours. Each subject will be organised and chaired by two-to-three convenors. They will referee and accept the contributed papers and might also negotiate the separate publication of the full proceedings of their sessions. The SOC of JENAM-98 will prepare the special booklet with the abstracts of the contributed and review papers, prior to the Conference. However, the SOC does not intend to publish any proceedings of the Conference afterwards.
5. Conference Location
The Conference will be held in the building of the Faculty of Construction of the Czech Technical University (ČVUT) in Praha 6-Dejvice, in a walking distance from the terminal Dejvická (Victory Circle) of the subway line A. The area of the Conference can be reached easily from the Prague international airport (in about 20 minutes by rather cheap and reliable public transport and in about 15 minutes by rather expensive taxi-cabs), from all Prague main railway stations (adjacent to subway lines) and also by car. Everybody knows where the circular passage on Victoria Circle (Vítězné náměstí in Czech) in Dejvice is and from that place you will easily spot the campus of the Technical University with several big parking lots. It is not very useful to use a car in downtown congested traffic but with subway line A you can easily reach the very center of the town from the station Dejvická in 10 minutes. The weather in the first half of September in Prague is mostly stable with plenty of sunshine, light winds and very little rain. You may expect maximum afternoon temperatures around 25° C while at night they occasionally drop to 15° C. Unfortunately, the conference halls are not air-conditioned.
6. Arrival and Departure
Prague international airport has daily connections with almost all European capitals and many other major cities. There are also direct flights from some overseas destinations. Prague is connected by Intercity and Eurocity trains with Germany, Poland, Russia, Ukraine, Slovakia, Hungary, Austria, Switzerland, France, Benelux and Scandinavian countries. There are also many direct international bus lines to all neighbour and many more distant European countries with rather cheap reservation return tickets. These lines operate, however, only in certain days of week, mostly around weekends. However, you can reach Prague in about 16 to 20 hours even from such distances as London, Madrid and Rome. The LOC will help you in identifying these possibilities upon request. Prague has a very good, dense and reliable system of public transportation (buses, tramways, subway) and the time-tables are observed with astonishing accuracy. You can purchase rather inexpensive personal tickets for unlimited use in one, two or even seven days in major terminals of the
Table 2: Registration Fees
| | Early Registration (until May 15, 1998) (US$) | Late Registration (after May 15, 1998) (US$) |
|--------------------------------|-------------------------------------------------|-----------------------------------------------|
| General registration | 120.- | 140.- |
| E.A.S. Ordinary Member | 100.- | 110.- |
| E.A.S. Junior Member | 50.- | 60.- |
| PhD Students (no E.A.S. Members)| 80.- | 100.- |
| Accompanying Person | 40.- | 50.- |
subway and many other places. Thus, with minor exception (excursion to the Ondřejov Observatory of the Astronomical Institute, social programme) no special transport for the JENAM-98 participants is envisaged.
7. Cultural Events
Cultural life in Prague is very diverse and almost everybody has his own list of preferences what to see or attend before or after the official conference programme (we hope that people will not prefer to attend cultural events instead of the conference programme!). It is without saying that the LOC together with ICARIS Conference Management will be helping you in finding your way through the rich spectrum of attractive offers.
8. Accommodation and Board
Accommodation in all price and comfort categories is not a problem as long as you send your Hotel Reservation Form early enough. This form will be distributed with the Second announcement in February 1998. Please, mark your preliminary interest in hotel category in the Pre-registration form. The most economic accommodation in student hostels will be provided in the Technical University campus. Bear in mind that Prague has become a tourist center of attraction and September is still a high tourist season. This might cause a problem when finding places in restaurants for private dinners etc. (reservations are recommended). However, during JENAM-98 lunches in student cafeteria very near the Faculty of Construction can be bought by conference participants.
9. Financial Assistance
At the moment we are seeking for local support for the Conference that most probably will help us subsidise hostel accommodation for student participants. Regrettably, we shall have no means to reimburse travel expenses, hotel accommodation or registration fees. The Czech Astronomical Society will partly support its active members and we hope that other European Societies will follow a similar approach.
The current rate of exchange is 1 US $ \sim 34 $ Czech crowns.
10. Pre-registration
We strongly encourage completing and sending back to ICARIS Conference Management the Pre-registration form included in this announcement before 31st December 1997. This will help us in proper organization of the meeting. Information about the registration fees is given below. Method of payment will be described in the Second Announcement, which will be distributed before February 28 1998.
SOLAR ECLIPSE 1999 WORKSHOP ASSOCIATED WITH JENAM - 98
Prague, The Czech Republic
September 8, 1998
A one-day workshop dealing with the solar eclipse of 1999 will be organized during the JENAM-98 conference. The main topics of the Workshop will be theoretical and observational problems in solar corona research, especially during the August 11, 1999 eclipse. Observers and theorists will come together to examine what has been learned from earlier observations, to prepare common and/or coordinated observations in the forthcoming eclipse to solve problems in solar corona research.
Invited reviews and oral/poster papers will be presented during the Workshop, which will be held at the same facility (Prague Technical University Campus) as the JENAM-98 conference. JENAM-98 conference fee covers also expenses associated to this workshop. Scientists interested in attending the workshop are encouraged to contact one of the responsible persons (as follows) as
The XXIIIrd IAU General Assembly
The 23-rd GA (General Assembly) was successfully held in Kyoto during August 18-30, 1997. Despite long distances from Western countries, it was attended by 1936 IAU members and Invited Participants accompanying by 172 Registered Guests from 59 countries. It was the fifth biggest GA in the history of the IAU.
As described in IAU Information Bulletin (IB), 6 big Symposia, 23 Joint Discussions, 3 Special Sessions, and 3 Invited Discourses were held. About 780 oral papers and 1070 poster papers were presented. In addition to them, 75 business and scientific meetings of different sizes were held, such as Division, Commission and Working Group meetings, and committee meetings to steer organizations of the IAU.
I was often asked by reporters of the press what was the main topic of the GA. It was a difficult question to answer, since a great variety of subjects from almost all sub-disciplines of astronomy was covered in the GA. You may find some hints in the "Sidereal Times", the newspaper published every working day during the GA which may be brought back to your country with the participants, and you will also find in the forthcoming Transactions of this GA.
In the afternoon of Wednesday the 20-th, an inaugural ceremony has taken place just before the opening session of GA. Their Majesties the Emperor and Empress of Japan were present at the ceremony and His Majesty the Emperor gave Okotoba (the words of welcome) to illustrate the importance of international flow of knowledge.
This GA was the second experiment of the so-called "new format" in which all the IAU symposia of the year were concentrated during the GA. I think the experiment was successful. Though it made the duration of the GA as long as two weeks and burdened the LOC not only in labors but also in budget, the participants were able to enjoy navigating and browsing different symposia and joint discussions, and also communicate with astronomers of different sub-disciplines.
Chosen among the outstanding topics of astronomy from both observational (Hubble Deep Field) and theoretical ones (the idea of new physics in the interior of the black holes) to single star physics (cataclysmic variables) to the large and most distant cosmological physics (Hubble Deep Field), the three invited discourses attracted a large audience. All of them revealed the up-to-date achievements of astrophysics and its links to the progress of fundamental physics.
Social events should play a role of promoting communication among the participants. We avoided to collect additional charges for them so that all participants were equally able to join them. As a result, almost all participants of the GA enjoyed the Nara tour on Sunday and the banquet in the evening after the closing session of GA. Because of the great number of participants, we faced some problems. Nevertheless, the way we handled the social events was appreciated thereafter. Another novelty of this GA was the access to electronic communications by www and email before the GA. Some appreciable advances were also made to this respect.
During the session of GA, addresses of invitation for the future GA's were given by the National Committees of UK for 2000 in Manchester and of Australia for 2003 in Sydney. All of us hope to meet there again carrying new results of astronomical research with us.
D. Sugimoto
Inside the Sun and the Stars
Stellar seismology was born in the early seventies, when it was recognized that the solar "five minute oscillations" - quasi periodic vertical motions in the solar atmosphere with mean amplitudes ranging from 200 to 2000 m/s - are the evanescent wakes of millions of highly non-radial modes of vibrations that penetrate the interior of the sun coherently. Measurements of the wavelength, amplitude, and phases of these vibrations probe the interior of a star the same way the structure of the earth’s crust, or its mineral deposits are sounded with seismic methods.
Within the twenty odd years since the discovery of the seismological relevance of the "five minute oscillation" stupendous progress has been made in experiment and theory, both qualitatively and quantitatively. IAU Symposium 185, held from Aug. 17 to 21 in conjunction with the IAU General Assembly, in Kyoto, was a comprehensive presentation of the most recent achievements of "Helioseismology" to a broader astronomical commuThe organizers had made considerable efforts to invite the leading experts in the field, to present and discuss the large array of results obtained by the GONG people - the Global Oscillations Network Group -, and from other Earth based facilities worldwide, as well as the beautiful data and the astounding inferences made possible with the unique SOHO - Solar Oscillations and Heliospheric Observatory.
More than a full day’s worth of oral and poster presentations, fully embedded in the seven sessions program, has been devoted to "Asteroseismology"; a large body of results have been obtained indeed in an effort to extend the experience and techniques of Helioseismology to individual stars across vast areas of the Herzsprung-Russell-Diagram.
This rapidly growing field within the realm of stellar photometry, spectrometry, and polarimetry was introduced by Don Kurtz (University of Cape Town, South Africa), who highlighted the most recent developments. After an overview on the theoretical aspects of Asteroseismology, White Dwarfs and their progenitors, rapidly oscillating Ap stars, and the tantalizing question of whether Solar like oscillations have really been detected, were discussed. In each session, theoretical and observational aspects were treated in a balanced fashion.
In the afternoon, the discussion first turned to δ Scuti stars, and the discovery of g-mode pulsation in γ Doradus type stars, followed by reports on the observational evidence of B star pulsation, the theoretical aspect of this phenomenon, and its seismological prospects. A new class of variables, pulsating hot subdwarfs called by the romantic name of EC14026 stars, made its appearance.
Whereas the multitude of stellar types now amenable to seismological analysis heralds a new era of physics of the single stars, it is the wealth of detailed knowledge about the whole body of our Sun, and the processes and variations therein, that makes "Helioseismology" an exciting and prospering science. Who would have expected 25 years ago to measure one day the sound speed and the velocity of rotation as function of latitude in the deep interior of the sun; to directly confirm the actual temperature distribution near its energy generating core previously inferred from stellar structure calculations (thereby rejecting astrophysical excuses for the neutrino deficit); or to determine the three dimensional distribution of magnetic fields in the subphotosphere with astro-tomography? The five sessions on Helioseismology have illustrated the success on the way to the transparent sun.
The first two of these sessions were devoted to the Global Structure and Evolution of the Solar and Stellar Interior. Among the many exciting topics discussed were the Lithium Abundance and its dependence on Internal Rotation and Mixing; the short term (days to years) Variability of Solar Irradiance; and the role of sub-arcsec magnetic field structure for the heat storage capacity of the convective envelope.
The next two items on the programme dealt with the Large Scale, and the Small Scale Structure of the Sun. A discussion of Inversion Methods was followed by presentations of the exciting new observational results on Internal Rotation and Large Scale Flows obtained from the MDI/VIRGO/GOLF experiments onboard SOHO, and from GONG. Solar research is getting better and better grips on the Tachocline, on Torsional Oscillations and Meridional Flows, essential ingredients of any working model of the Solar cycle.
The other morning, attention turned to aspects of the response of the Solar envelope to small scale seismic events, "sunquakes" like flares, and turbulent instabilities of the intergranular downdrafts. It is here (comparable to studies of earthquakes), that the new technique of Time - Distance Helioseismology (or 3-D Solar Tomography) unfolds its full potential. Theoretical discussion of the excitation and damping of p-mode oscillations - the Sun's multivoiced chorus -, and numerical simulations thereof, followed.
The last session of the Symposium moved the focus of interest up into the Solar Atmosphere, which has been open before our eyes all the time. Yet, its 3-D structure and dynamics, being so intimately connected to the understanding of the "where and how" the outer layers of the Solar atmosphere are heated, seem far from fully transparent to the mind. Recent success was demonstrated in extending the methods of seismic tomography and 3-D wave field analysis to the agitated surface layers of the Sun. A clear point was made of the importance of a dynamic picture of our understanding of the chromosphere and the spectral features formed there.
Numerous short oral contributions added pepper to this rich program, and, jointly with an impressive array of posters with fresh results, emphasized the productivity of the competing ground based and space borne instruments. The organizers of this meeting were extremely happy to have K. Chitre (Tata Institute of Fundamental Research, India) recalling the highlights of these five days, and distilling the essence of recent progress in
Helio- and Asteroseismology in the context of modern Astrophysics.
The Abstracts of the oral contributions and posters of this Symposium can be looked up in the Symposium homepage: http://www.astro.uni-wuerzburg.de/IAU.html
F.-L. Deubner
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**Galaxy Interactions**
**at Low and High Redshift**
Interacting galaxies are currently a ‘hot’ topic, of considerable general interest to studies of galaxy formation, active galactic nuclei, formation of star clusters, formation of tidal dwarfs, metal enrichment of the intergalactic medium, and galaxy evolution in both clusters and in the field. In just the past few years, HST has revealed unprecedented details of nearby interacting systems, clarified the nature of blue cluster galaxies at intermediate redshifts, provided tantalizing hints of interactions in some high-redshift QSOs, and just recently, has provided the clearest look yet at the formation/evolution of field galaxies out to $z \sim 3$ in the Hubble Deep Field (HDF). On the ground, radio and millimeterwave arrays are providing unprecedented detail on the spatial and kinematic distribution of the gas and dust in interacting galaxies. Theorists have responded to these new observations by developing sophisticated models treating the kinematics and dynamics of both the gas and stars, and have pushed beyond interactions of pairs and small groups to explore the effects of interactions in cluster environments.
It has been nearly 8 years since the Heidelberg conference on Dynamics and Interactions of Galaxies, a watershed event that brought together new groundbased observations (e.g. optical images of ripples and shells, and the first millimeterwave interferometer data on molecular gas in merging galaxies), and new spacecraft data (e.g. luminous infrared galaxies studied by IRAS), for comparison with results from new, more realistic computer simulations of galaxy interactions. Eight years later, we seem to be poised for a similar rapid advance in our understanding of the effects of interactions as a unifying theme for understanding a wide range of galaxy activity at low and high redshift.
All these were discussed during the IAU Symposium 186 in Kyoto. Overview talks setting the stage for the conference by outlining the major questions that have been raised by current observations and theory; Francois Schweizer covered observations at low-$z$, while Roberto Abraham the high-$z$ observations, and Carlos Frenk discussed theoretical models.
The second session stayed close to home by discussing the wealth of new data that implicates current and past interactions and mergers in the formation and evolution of our Local Group of galaxies. Ken Freeman reviewed various models for the formation of the Local Group, while Luis Aguilar discussed evidence for moving groups in the Galactic Halo. Ricardo Ibata reviewed the nature and fate of the Sagittarius dwarf, Mitsuaki Fujimoto the dynamics of the Magellanic Stream, and Igor Karachentsev presented an overview of interactions throughout the Local Complex of Galaxies.
The third session of the meeting discusses tidal interactions, drawing heavily on detailed observations of nearby systems. Felix Mirabel discussed the formation of dwarf galaxies in tidal tails, while Renzo Sancisi, Min Yun, and Francoise Combes discussed the kinematics and dynamics of the gas. Phil Appleton reviewed the wealth of data on Ring Galaxies. The accretion of satellites was discussed by Denis Zaratsisky, while Ann Zabludoff reviewed the nature of the ‘E+A’ galaxies.
The next two sessions discussed the role of interactions and outright mergers in the formation of ‘hot’ systems – elliptical galaxies and the spheroids of disk galaxies. Here the conference examined kinematic and chemical evidence for accretion events in the formation of the Galactic halo, and made comparisons with the halo kinematics of nearby galaxies as revealed by studies of planetary nebulae and globular clusters. Among the issues which may make or break the connection between merger remnants and spheroidal systems are analyses of the origin of globular clusters, the formation of cores, and the dynamical structure of hot systems. Josh Barnes reviewed the dynamics of merger remnants while Francisco Bertola discussed counterrotating gas and stars. Marian Franx will give a review of normal ellipticals while Dave Carter and Steve Zepf reviewed ‘shells, ripples, and plumes’ and globular clusters in ellipticals respectively.
Sessions 6 and 7 reviewed the triggering of Starbursts and Nuclear Activity by interactions and Mergers. Chris Mihos and Judy Young discussed theory and observations of gas in mergers while Chanda Jog reported on new theoretical models for triggering starbursts. Claus Leitherer and Brad Whitmore discussed the IMF in starbursts and the evolution of globular cluster systems respectively. Sterl Phinney reviewed the fueling requirements for AGNs while Alan Stockton and Pat McCarthy reviewed observational evidence implicating interactions and mergers in Quasars and Radio Galaxies. Roland vanderMarel discussed the relics of nuclear activity.
The environments in which galactic interactions occur was examined in the eighth and ninth session. Here attention shifted to interactions seen at intermediate and high redshifts to begin building a cosmological perspective. Paul Hickson reviewed compact groups while Jacqueline vanGorkom and Barbara Williams discussed interactions and mergers in clusters and groups respectively. Long-standing questions concerning the nature of the blue galaxies seen in intermediate-redshift clusters may soon be settled with high-resolution observations, which also constrain the pace of galactic interactions back to $z \sim 1$. Observations of the Hubble Deep Field, reviewed by Roger Blandford has been singled out for discussion as the single most important new evidence for how the field population has evolved from $z \sim 2-3$ to the present, while David Koo discussed in general the high-$z$ population of galaxies. Phil Solomon discussed molecular gas at high-$z$ while Masafumi Noguchi presented new theoretical models for interactions of high-$z$ galaxies.
The final sessions of this conference examined the entire observed redshift range, combining detailed studies of nearby objects with broad surveys of more distant sources. Gustavo Bruzual reviewed starburst populations and Guinevere Kauffmann discussed interactions and mergers in general as determinants of galaxy morphology. Simon White gave a summary of interactions, activity, and galactic evolution, while Peter Stockman presented the prospects for future new discoveries using the Next Generation Space Telescope.
D. B. Sanders
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**The Hot Universe**
The present decade is opening new frontiers in high energy astrophysics. After the X-ray satellites in the 1980's including Einstein, Tenma, EXOSAT and Ginga, several satellites are or will soon be simultaneously in orbit offering spectacular advances in X-ray imaging at low energies (ROSAT; Yohkoh) as well as at high energies (GRANAT), in spectroscopy with increased bandwidth (ASCA; SAX), and in timing (XTE). While these satellites allow us to study atomic radiation from hot plasmas or energetic electrons, other satellites study nuclear radiation at gamma-ray energies (CGRO), associated with radioactivity or spallation reactions.
These experiments show that the whole universe is emitting high energy radiation, hence we call it the "hot universe". The hot universe, preferentially emitting X- and gamma-rays, provides us with many surprises and much information; Star formation, for example, has been viewed as a cold phenomenon for half a century. The temperature of molecular clouds are a few tens of Kelvin, circumstellar disks are perhaps a few hundred, and young star surfaces are a few thousand Kelvin. However, X-ray observations have revealed that these "cool objects" possess gases of a million to nearly a hundred million Kelvin.
X-rays from heavy elements have been found in every class of astronomical objects, even in the intracluster gas, indicating that the hot gas originating from stars is largely diffused out through the interstellar to intergalactic spaces. Since these heavy elements are in rather simple forms such as He-like or H-like, the abundance determination with X-rays may be reliable. This leads us to a more quantitative study of chemical evolution of the "hot universe". Owing to the advance of X-ray spectroscopy, questions arising from the abundance study now enters a new phase; e.g., to what degree do the apparent metallicity values depend on the plasma conditions such as ionization non-equilibrium or resonance scattering? Why do elliptical galaxies exhibit metallicity lower than solar? What determined the abundance variations in cluster gas? Is there any evolutionary effect in the chemical abundances in distant clusters?
On the other hand, the high-quality astrophysical plasma data are certainly demanding reevaluation of the currently existing laboratory atomic data. Gamma-rays directly provide new information on the nucleosynthesis of heavy elements.
All these subjects were reported in session 1, "Plasma and Fresh Nucleosynthesis Phenomena". After the synthetic view of "the hot universe", strategy for future missions were discussed in session 2, "Future Space Programs".
We, then, divide the "hot universe" into two major regimes; the first is the category of compact objects—white dwarfs, neutron stars and gravitationally collapsed objects: stellar mass black holes or active galactic nuclei. The compact objects, with the release of their huge gravitational energy through gas accretion, emit X- and gamma-rays accompanied by violent and rapid time variability.
A massive star, after exhaustion of its nuclear fuel, suddenly implodes and creates a neutron star or black hole. An isolated, rapidly spinning neutron star emits X- and gamma-rays as well as high energy particles. Such neutron stars evolve to radio pulsars and, after billions of years, some may be reborn as X-ray emitting low mass binaries, and then, may be recycled to be milli-second radio pulsars. This evolutionary scenario with observational results for and against it, is still debatable.
With the spatially resolved spectroscopy technique, synchrotron X-rays and inverse Compton TeV gamma rays have been found from shell-like SNRs. This may be a breakthrough in the long-standing problem: the origin and acceleration of the cosmic rays. Thus SNRs and related subjects are one of the important major issues to be addressed.
The study of stellar black hole binaries has been greatly advanced by recent gamma-ray and radio observations. They show relativistic jets analogous to those observed in some quasars, hence are called "micro quasars". Some of them possibly exhibit electron-positron annihilation lines and serves as excellent laboratories in which to study the relativistic plasma.
Although the primary emission from the compact objects is not from thin hot plasma, the intense high energy photons make photo-ionized plasmas around the compact sources. Conversely, the surrounding gas modifies the incident X-ray spectra by either reflection, fluorescence, recombination or absorption. These are found in galactic compact sources and active galactic nuclei (AGN) including our own galactic center. Indeed, the spectacular ASCA image of the fluorescent iron lines near the galactic center provides a possible scenario that our galactic center exhibited AGN activities in the past.
One promising discovery related to this subject is the gravitationally red-shifted iron K-lines from some AGNs. These are key observations for determining the accretion disk structure and, hopefully, the metric around a black hole: whether Schwarzschild or Kerr metric, for example.
AGNs are the objects for which multi-wavelength studies are extremely important. Gamma-ray data, already suggestive, provide a clue to the high energy emission from the central jet engines. To all these issues, session 3, "Diagnostics of High Gravity Objects", was devoted.
The second regime is thin hot diffuse plasmas. It shows a hierarchy structure: from coronae and flares of the sun and stars, the hot interstellar medium including supernova remnants, to hot gas prevailing in galaxies, clusters of galaxies and perhaps even in inter-cluster spaces. Climbing the hierarchy scheme upward to a larger scale, the role of the hot gas becomes more dominant. Finally in the rich clusters, the mass of the hot gas exceeds the optically visible mass, hence the hot gas may carry most of the baryonic mass in the universe. The hot plasma, through its temperature and spatial distribution, traces the dark matter distribution. How large is the total mass of the galaxies and clusters? Is dark matter distributed hierarchically like the visible matter? How can we measure the dark matter distribution? Observations of cosmic hot plasma give us clues to these questions. The X-ray data are cross-checked by the optical data for the gravitational lensing clusters. Determination of the Hubble constant using the Sunyaev-Zel'dovich effect is a rapidly developing area in X-ray and radio observations. New results for these subjects were brought together in the last session, "Large Scale Hot Plasmas and their Relation with Dark Matter"
K. Koyama
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**The Star*s Family of Astronomy**
* Databases * * Dictionaries * * Directories *
* Online WWW Services *
* The StarPages * * StarHeads *
4000 individuals registered!
About 4,000 astronomers and related scientists have already their personal WWW homepage registered in StarHeads (http://vizier.u-strasbg.fr/starheads.html), one of the StarPages components (http://vizier.u-strasbg.fr/starpages.html), yellow-page services offered on the web by CDS at Strasbourg Astronomical Observatory.
The two other components are:
- the database of organizations StarWorlds (http://vizier.u-strasbg.fr/starworlds.html) gathering together more than 6,000 entries offering now about 5,000 hot WWW links with organizations (plus detailed information on each of these and on additional ones not yet on the web);
- the dictionary StarBits (http://vizier.u-strasbg.fr/starbits.html) gathering now together more than 115,000 explanations of acronyms and abbreviations.
The StarPages are members of the Star*s Family
line of products. They offer outstanding features such as a twenty-year tradition/experience in compilations, a resulting excellent exhaustivity of entries, an homogeneous coverage of all practical data, a permanent updating and quality checking scheme (including authentication of data originators), and the largest amount of URLs available in a set of astronomy/space resources (currently about 9,000 WWW links in total). See http://vizier.u-strasbg.fr/starfamily.html for more details.
StarHeads is also pointed at by services such as the NASA Astrophysics Data System (ADS) (http://adsabs.harvard.edu/). In other words, when a paper (or the abstract of a paper) is listed in ADS, pointers to StarHeads allow to find the corresponding personal WWW homepages of the authors, and thus details about them, their research, activities, and so on.
If you have a homepage that is not yet included in StarHeads, let us have the corresponding URL for inclusion. If you do not have a personal web page yet, talk to your local webmaster for setting one up and let us have the URL. Do not forget to mention in your page all practical details for contacting you, as well as proper information on your activities and interests.
Please note that our services are free of charge and provided for the benefit of a better communication within the world-wide astronomical community. The master file of URLs for StarHeads is protected and is not made available for general mailings.
Additional information on the StarPages/Star*s Family products can be obtained from:
(Prof.) A. Heck
Observatoire Astronomique
11, rue de l'Université
F-67000 Strasbourg
France.
Telephone: (+33)(0) 3 88 15 07 43
Telefax: (+33)(0) 3 88 49 12 55
Electronic mail: firstname.lastname@example.org
email@example.com
WWW: http://vizier.u-strasbg.fr/~heck
A. Heck
International Conference on Supercomputing
The conference was held in the National Science Museum in Tokyo to celebrate 60-year birthday of Professor Daiichiro Sugimoto, who has been leading theoretical and numerical astrophysics for 30 years.
The conference covered exceptionally wide range of subjects, to follow Sugimoto's accomplishments in many fields. In the first day we had three talks on stellar dynamics and seven talks on stellar dynamics. In the second day, six talks on special-purpose computing and four talks on large-scale computing in Molecular Dynamics were given. In the third and last day, three talks on dedicated computers on Lattice QCD calculations and six talks on present and future of general-purpose HPC systems were given. In addition, some 30 posters are presented on various subjects within computational science. The proceedings will be published from Kluwer.
In stellar dynamics session, Piet Hut gave an excellent review on the long-term evolution of star clusters. I described briefly the results obtained on our GRAPE-4 special-purpose computer and the followup project, GRAPE-6, which is approved as of June 1997. GRAPE-6 will be completed by year 2000 with the peak speed around 200 Tflops. R. Spurzem proposed a new approach to improve the performance og GRAPE for wide variety pf problems. D. C. Heggie talked on his resent collaborative experiment, which revealed a rather large and unexpected decrepancy between Fokker Plank calculation and direct N-body simulation. E. Athanassoula described the work done using their GRAPE-3 systems. S. Ida described the result of the simulation of the formation of Moon.
In the session for the special-purpose computers, the first talk was given by Feng-Hsiung Hsu of the IBM T, J. Watson Research center, on "Deep Blue". It was certainly one of the highlights of the conference. He started with the brief history of the chess machines and described the new Deep Blue, which, for the first time in the history, won the match with the best human player, Mr. Gary Kasparov. Then A. Bakker of Delft Institute of Technology looked back his 20 years of developing special-purpose computers for molecular dynamics and simulation of spin systems. Jeff Arnold gave an overview of the emerging new field of reconfigurable computing, which falls in between traditional general-purpose computers and special-purpose computers. Sachiko Okumura described the history of ultra-high-performance digital signal processors for radio astronomy. They have built a machine with 20 GOPS performance in early 80s, and keep improving the speed. Makoto Taiji talked on general aspects of GRAPE-type
systems, and Tetsu Narumi talked on the 100-Tflops GRAPE-type machine for MD calculations, which will be finished by 1999.
J. Makino
E-MAIL YOUNG PEOPLE FORUM
Organised by the EAS
I hope you will be interested in participating to an e-mail forum organised by the EAS. This forum concerns all young people in Europe who are studying or have just started for a career in astronomy. We intend to spend one week in December, when all of you interested, can contact senior astronomers all over the world to discuss about their worries and concerns on various issues like, education, grants, databases, large facilities, scientific matters.
The motive of this activity is to contact all young people if possible, to prepare a report on the problems and to estimate the number of people who are research students and/or have just got their PhDs in Europe. Doing so, we hope to be the link among young people, facilitate their communication and find ways to help them.
Knowing that young people may know where to trace your friends in other institutes, I will appreciate if you can inform about this to as many people you know as possible. Suggestions and comments are most welcome. Please contact: firstname.lastname@example.org.
M. Kontizas
Sponsored Meetings by IAU in 1998
In August 28 the IAU Executive Committee decided on the IAU meeting program for 1998.
Symposium 190: New Views of the Magellanic Clouds, Victoria, Canada, July 13-19.
Symposium 191: Asymptotic Giant Branch Stars, Montpellier, France, August 28-September 1.
Symposium 193: Wolf-Rayet Phenomena in Massive Stars and Starburst, Galaxies, West Coast, Mexico, November 3-7.
Symposium 194: Activity in Galaxies and Related Phenomena, Byurakan, Armenia, August 17-21.
Colloquium 168: Cometary Nuclei in Space and Time, China, May 18-22
Colloquium 169: Variable and Non-Spherical Stellar Winds in Luminous Hot Stars, Heidelberg, Germany, June 15-19.
Colloquium 170: Precise Stellar Radial Velocities, Victoria, Canada, June 21-26.
Colloquium 171: The Low Surface Brightness Universe, Cardiff, U.K., July 6-10.
Colloquium 172: The Impact of Modern Dynamics in Astronomy, Namur, Belgium, July 6-11.
Colloquium 173: Evolution and Source Regions of Asteroids and Comets, Tatranska Lomnica, Slovak Republic, August 24-28.
IX Latin American Regional Astronomy Meeting, Tonantzintla, Mexico, November 9-13.
Co-Sponsorship of 32nd COSPAR Scientific Assembly, Nagoya, Japan, July 12-19.
Note that in the cases of Symposium 194 and Colloquium 173, acceptance is provisional only, final approval being contingent on approval of a revised scientific program by the EC.
Hans Rickman
European Astronomical Society
P.O. Box 82, CH-1213 Petit-Lancy 2, Switzerland
President: J-P. Zahn
Vice-Presidents: A. Renzini, F. Sanchez
Secretary: M.-T. Lago
Treasurer: B. Nordstrom
Councillors: P. Heinzel, M. Kontizas,
J. Krautter, M. Longair,
B. Shustov
Newsletter Editor: M. Kontizas,
Astronomical Institute,
National Observatory of
Athens, P.O. BOX 20048,
118 10 Athens,
Greece
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Imbalance in the Expression of Genes Associated with Purinergic Signalling in the Lung and Systemic Arteries of COPD Patients
Oriol Careta\textsuperscript{1,2,3}, Ester Cuevas\textsuperscript{1,2,3}, Mariana Muñoz-Esquerre\textsuperscript{1,2,3}, Marta López-Sánchez\textsuperscript{1,2,3}, Yuliana Pascual-González\textsuperscript{1,2,3}, Jordi Dorca\textsuperscript{1,2,3}, Elisabet Aliagas\textsuperscript{1,2,3} & Salud Santos\textsuperscript{1,2,3,4}
Growing evidence indicates that purinergic signalling is involved in the pathogenesis of chronic obstructive pulmonary disease (COPD) and in the vascular remodelling that occurs in other disorders; however, its role in initial vascular changes of COPD is not entirely known. We hypothesised that expression of genes regulating extracellular ATP and adenosine levels would be altered in the lung and systemic arteries of COPD patients. Quantitative real-time PCR was performed to analyse the relative expression of 17 genes associated with purinergic signalling and inflammation in lungs and intercostal arteries of never smokers (NS) ($n = 16$), non-obstructed smokers (NOS) ($n = 17$) and COPD patients ($n = 21$). Gene expression of ATP-degrading enzymes was decreased in both tissues of NOS and COPD patients compared to NS. \textit{NT5E} expression (gene transcribing for an AMP hydrolyzing ectonucleotidase) was increased in both tissues in NOS compared to the other groups. P1 and P2 receptors did not show changes in expression. Expression of genes associated with inflammation (interleukin-12) was upregulated only in lung tissues of COPD. These findings suggest that the expression of different extracellular ATP-degrading enzymes is altered in smokers (NOS and COPD patients), promoting inflammation. However, the high \textit{NT5E} expression found only in NOS could compensate this inflammatory environment.
Chronic obstructive pulmonary disease (COPD) is a highly prevalent chronic respiratory disease and a major cause of mortality and morbidity worldwide\textsuperscript{1}. Smoking has long been recognised as the main risk factor\textsuperscript{2}, but not all smokers develop the disease\textsuperscript{3}. The factors that determine the development of COPD in susceptible smokers are complex and may involve genetic and epigenetic factors, altered immune regulation, and abnormal repair mechanisms\textsuperscript{4,5}.
COPD is associated with vascular alterations in both pulmonary and systemic arteries\textsuperscript{6}. In advanced stages of the disease, the risk of developing pulmonary hypertension increases due to the loss of pulmonary vessels caused by emphysema, pulmonary vascular remodelling, and chronic hypoxaemia\textsuperscript{7}. However, in the pulmonary arteries of patients with moderate COPD, an association between endothelial dysfunction\textsuperscript{8}, structural changes\textsuperscript{9}, and the presence of an inflammatory infiltrate in the adventitial layer\textsuperscript{10} has been also described.
Recently, morphometric studies carried out on the systemic and pulmonary arteries of patients with mild–moderate COPD have demonstrated a significant correlation between the initial changes that occur in the walls of both systemic and pulmonary arteries. These systemic and pulmonary changes are characterised by a thickening of the intima and a decrease in the vascular lumen, which are observed to a greater degree in COPD patients than in smokers without airflow obstruction\textsuperscript{11}. To date, the mediators involved in these processes are not well known.
\textsuperscript{1}Pneumology Research Group, Institut d’Investigació Biomèdica de Bellvitge – IDIBELL, L’Hospitalet de Llobregat, Barcelona, Spain. \textsuperscript{2}Department of Respiratory Medicine, Bellvitge University Hospital, L’Hospitalet de Llobregat, Barcelona, Spain. \textsuperscript{3}Department of Clinical Sciences, University of Barcelona, L’Hospitalet de Llobregat, Barcelona, Spain. \textsuperscript{4}Research Network in Respiratory Diseases (CIBERES), Madrid, Spain. Elisabet Aliagas and Salud Santos contributed equally. Correspondence and requests for materials should be addressed to E.A. (email: email@example.com) or S.S. (email: firstname.lastname@example.org)
Figure 1. Gene expression analyses in the lung. Changes in the mRNA expression of genes for: NOS vs. NS and COPD vs. NS. Results are expressed as fold change (log$_2$) relative to NS. Bar plots represent median ± log$_2$ of RQmax and log$_2$ of RQmin. (A) The expression of ENTPD1, ENTPD2, ADA and DPP4 was downregulated in NOS and COPD patients. ENPP1 expression was upregulated in NOS and COPD patients while NTSE expression was upregulated in NOS and unchanged in COPD. No changes were found in ENTPD3 expression. (B) P2RX2, P2RX7 and P2RY2 expression was downregulated in COPD patients and NOS as well as the expression of ADORA1 in COPD patients. ADORA2A and ADORA2B expression levels were similar to NS in both groups. ADORA3 expression in NOS and COPD patients along with ADORA2A expression in COPD patients was upregulated. No changes were found in ADORA1 expression in NOS. (C) IL-13 expression was upregulated whereas CCL18 expression was downregulated in NOS and COPD patients. No expression of IL-4 was found. *Significantly different from NS ($p < 0.05$).
Numerous studies have indicated that purinergic signalling plays a major role in the development of COPD\textsuperscript{9–12} and in the vascular remodelling that occurs in other disorders like idiopathic pulmonary fibrosis\textsuperscript{13}. Purinergic signalling involves purines (ATP and its hydrolysis products) and pyrimidines (mainly UTP) that act as extracellular ligands for the widely-expressed purinergic receptors, P2 (activated by nucleoside tri-/diphosphates among others) and P1 (activated by adenosine and others)\textsuperscript{14}. It is well known that ATP and adenosine levels are increased in the lungs of COPD patients\textsuperscript{15,16}, which could be associated with COPD development. Extracellular levels of ATP and adenosine are controlled by membrane proteins called ectonucleotidases, which include four families: the ectonucleoside triphosphate diphosphohydrolase (ENTPDase) family, the ectonucleotide pyrophosphatase/phosphodiesterase (ENPP) family, the alkaline phosphatase (AP) family, and the 5'-nucleotidase family, of which only one member (NTSE/CD73) is expressed on the membrane\textsuperscript{17}.
The present study explored the expression of the genes involved in purinergic signalling and inflammation in the lung and vascular systemic tissues of never smokers (NS), non-obstructed smokers (NOS) and stable COPD patients. We performed quantitative real-time PCR on peripheral lung tissue and intercostal arteries (representative systemic vascular tissue) to examine the expression of 17 genes of interest.
Results
Gene expression studies in the lungs of NOS and COPD patients compared to NS.
Gene expression of ATP-degrading enzymes and DPP4. The gene expression of ATP-degrading enzymes and DPP4, which binds adenosine deaminase (ADA), is shown in Fig. 1A. All the ATP-degrading enzymes studied (ENTPD1, ENTPD2 and ENTPD3) showed a similar expression pattern in both NOS and COPD patients, with decreases in ENTPD1 and ENTPD2 expression and no changes in ENTPD3 expression. ENPP1 expression was upregulated, while the gene expression of the adenosine-producing enzyme NTSE/CD73 was up to one-fold higher in NOS, but unchanged in COPD patients. ADA and DPP4 expression was downregulated in both NOS and COPD patients.
Gene expression of P1 and P2 receptors. The gene expression of the purinergic P1 and P2 receptors is shown in Fig. 1B. In the lungs of NOS and COPD patients, gene expression of all the ATP receptors studied (P2RX2, P2RX7 and P2RY2) was downregulated. In the case of adenosine receptors, ADORA1 expression was downregulated only in COPD patients, while ADORA3 expression was upregulated in both groups. ADORA2A and ADORA2B expression in NOS and COPD patients was similar to that in NS.
Expression of the genes associated with inflammation. Among the three genes encoding inflammatory molecules (IL-13, IL-4 and CCL18) that were analysed in pulmonary tissue (Fig. 1C), only IL-13 expression showed significant changes, as expected, with increases observed in both NOS and COPD patients. IL-4 expression was not amplified probably due to the lack of tissue expression. CCL18 expression was decreased in NOS and COPD patients compared to NS.
Gene expression studies in the intercostal arteries of NOS and COPD patients compared to NS.
Gene expression of ATP-degrading enzymes and DPP4. Similar patterns of gene expression of the ATP-degrading enzymes were found in the intercostal arteries compared to pulmonary tissue (Fig. 2A). ENTPD1, ENTPD2 and ENTPD3 expression was downregulated in NOS, while ENTPD2 and ENTPD3 expression was also reduced in COPD patients. As observed in the lung samples, ENPP1 expression was upregulated in the intercostal arteries of both NOS and COPD patients. NTSE expression in the intercostal arteries was upregulated in NOS, as also seen in the lung tissue, but was reduced by up to one-fold in the intercostal arteries of COPD patients, which differed to that observed in the lungs. ADA and DPP4 expression was upregulated in the intercostal arteries of both groups, which was opposite to that observed in the lungs.
**Figure 2.** Gene expression studies in the intercostal arteries. Changes in the mRNA expression of genes for: NOS vs. NS and COPD vs. NS. Results are expressed as fold change (log$_2$) relative to NS. Bar plots represent median ± log$_2$ of RQmax and log$_2$ of RQmin. (A) ENTPD3 and ENTPD2 expression was downregulated in NOS and COPD patients, as well as ENTPD1 in NOS and NTSE in COPD patients. ENPP1, ADA and DPP4 expression levels were increased in both groups. ENTPD1 expression in COPD patients and NTSE expression in NOS were also upregulated. (B) P2RX2, ADORA2A and ADORA2B expression was downregulated in NOS, P2RX7 expression was also downregulated in both groups. P2RY2, ADORA1 and ADORA3 expression in NOS and COPD patients and P2RX2 and ADORA2B expression in COPD patients were also upregulated. No changes were found in ADORA2A expression in COPD patients. (C) No expression of IL-13 or IL-4 was found. CCL18 expression was upregulated in NOS and downregulated in COPD patients. *Significantly different from NS ($p < 0.05$).
**Figure 3.** Schematic of the genes associated with purinergic signalling that were analysed. Heat map of the genes over- or underexpressed (log$_2$ of RQ) in NOS and COPD patients compared to NS. Genes that promote or reduce inflammation are highlighted (red for promotion and green for reduction).
**Gene expression of P1 and P2 receptors.** The expression patterns of the P1 and P2 receptors differed between the intercostal arteries and pulmonary tissue (Fig. 2B). In the intercostal arteries, P2RX2 expression was upregulated in COPD patients and downregulated in NOS (P2RX2 expression was downregulated in the lung tissues of both groups). P2RX7 expression also differed between the tissues in both groups. Unlike in lung tissue, P2RY2 expression was upregulated in the intercostal arteries of both groups. Whereas ADORA1 expression was downregulated in the lung samples of COPD patients, it was upregulated by up to one-fold in the intercostal arteries of both groups, this being significant for the COPD patients when compared to NS. There were no major differences in the expression levels of ADORA2A, ADORA2B and ADORA3 between the tissues.
**Expression of the genes associated with inflammation.** IL-13 and IL-4 expression was not amplified in the intercostal arteries, probably due to a lack of expression in these tissues (Fig. 2C). In NOS, CCL18 expression differed between the intercostal arteries and lung tissue, being upregulated by up to one-fold in the intercostal arteries (Fig. 2C).
Figure 3 summarises the main and most interesting results in the format of a heat map. To facilitate the understanding of our findings regarding the enzymes associated with purinergic signalling and their relationship with inflammation, we have highlighted the genes that promote or reduce inflammation.
| | Pulmonary tissue | | IC arteries | |
|----------------------|------------------|----------|-------------|----------|
| | Fold change (log₂) | p-value | Fold change (log₂) | p-value |
| **Membrane purinergic degrading enzymes** | | | | |
| ENTPD1/CD39 | −0.366 | 0.458 | 0.332 | 0.608 |
| ENTPD2 | −0.129 | 0.861 | 0.116 | 0.902 |
| ENTPD3 | −0.009 | 0.987 | 0.253 | 0.627 |
| ENPP1 | −0.295 | 0.705 | −0.032 | 0.906 |
| NTSE/CD73 | −0.671 | 0.386 | −1.561 | 0.139 |
| **Soluble purinergic degrading enzyme** | | | | |
| ADA | 0.472 | 0.330 | −0.268 | 0.595 |
| **ADA receptor** | | | | |
| DPPI/C2D26 | −0.103 | 0.850 | −0.137 | 0.745 |
| **P2 receptors** | | | | |
| P2RX2 | −0.597 | 0.288 | 0.938 | 0.404 |
| P2RX7 | −0.472 | 0.461 | 0.093 | 0.884 |
| P2RY2 | 0.374 | 0.366 | 0.010 | 0.983 |
| **P1 receptors** | | | | |
| ADORA1 | −0.881 | 0.136 | 0.366 | 0.702 |
| ADORA2A | 0.429 | 0.129 | 0.471 | 0.487 |
| ADORA2B | 0.452 | 0.314 | 0.397 | 0.818 |
| ADORA3 | −0.211 | 0.739 | −0.056 | 0.920 |
| **Inflammatory genes** | | | | |
| IL-13 | 0.684 | 0.356 | — | — |
| IL-4 | — | — | — | — |
| CCL18 | −0.474 | 0.539 | −1.365 | 0.121 |
Table 1. Changes in gene expression in COPD patients compared to NOS.
No significant differences were found in the expression of the purinergic pathway genes in lung or intercostal artery after adjusting for sex and diabetes. Furthermore, to analyse potential susceptibility according to gender, independently of tobacco consumption, we compared the gene expression specifically in the non-smoker group and found no significant differences (p > 0.05) in the expression of purinergic pathway genes.
Comparison of gene expression levels in the lung and intercostal arteries between COPD patients and NOS. Changes in the gene expression levels in pulmonary tissue and intercostal arteries in COPD patients compared to NOS are shown in Table 1. All the ATP-degrading enzymes studied were downregulated in the lung, but upregulated or unaffected in the intercostal arteries of COPD patients compared to NOS. *NTSE* expression was downregulated in both tissues, while *ADA* expression was upregulated in the lung and downregulated in the intercostal arteries.
In the lung, *P2RX2*, *P2RX7*, *ADORA1* and *ADORA3* expression levels were downregulated, while *P2RY2*, *ADORA2A* and *ADORA2B* expression was upregulated. In the intercostal arteries, all the genes for the P1 and P2 receptors, except *ADORA3*, were upregulated. Regarding the genes associated with inflammation, *IL-13* expression was upregulated in pulmonary tissue, but not expressed in the intercostal arteries. *IL-4* expression was not observed in the lung or intercostal arteries. *CCL18* expression was downregulated in both tissues.
Discussion
The focus of our study was to characterise the expression patterns of the genes associated with purinergic signalling in the early phases of COPD. We also compared gene expression between pulmonary tissue and systemic arteries from the same patients to identify the mechanisms that initiate and perpetuate this disease and detect any potential molecules involved with the systemic vascular changes observed in COPD. This is the first study to explore the expression of the genes associated with purinergic signalling in the lung and systemic arteries of COPD patients using TaqMan low-density arrays.
Our results suggest that the downregulation of ATP-degrading and adenosine-producing enzymes in the lung and intercostal arteries could produce a pro-inflammatory state in COPD patients compared to NOS. Although ATP-degrading enzymes are also downregulated in both tissues in NOS, adenosine-generating enzymes are upregulated (Figs 1A and 2A), suggesting a compensatory mechanism that exists only in NOS. We found an imbalance between the enzymes regulating extracellular ATP and adenosine levels in the early stages of COPD that favoured ATP accumulation (acting as a pro-inflammatory molecule through the P2 receptors) and lowered adenosine levels (acting as anti-inflammatory molecules through the P1 receptors), possibly causing the overall pulmonary inflammation\(^{18}\). This imbalance could be overcome in NOS by an enhanced expression of *NTSE*, which encodes the main enzyme (CD73) regulating extracellular adenosine levels. Figure 4 summarizes all this information and represents the possible molecular mechanism in which changes in the expression of purinergic signalling genes favour the accumulation of extracellular ATP that may promote inflammation in COPD patients.
By contrast, NOS balanced the levels of extracellular pro- and anti-inflammatory molecules through the increase of NTSE/CD73 expression.
Previous studies have shown that tobacco induces an accumulation of extracellular ATP in the human respiratory tract, leading to high ATP concentrations in COPD patients, even after smoking cessation\(^{19}\). By activating P2 receptors, ATP induces macrophages and neutrophils to secrete pro-inflammatory molecules and the mediators of tissue degradation, thus contributing to the chronic inflammation characteristic of COPD\(^{15}\). Extracellular adenosine levels are also increased in the lungs of patients with severe COPD. In accordance with this, previous studies have shown that the enzymatic activity of NTSE/CD73 is increased in the lung tissue of patients with severe COPD compared to smokers with mild obstruction\(^{40}\). In addition, COPD patients with acute exacerbations have decreased ADA enzymatic activity (inactivates adenosine), thus favouring its extracellular accumulation\(^{41}\). Adenosine has immunomodulatory functions; thus, its role may be important in COPD. In fact, adenosine receptors have been proposed as possible therapeutic targets in the treatment of COPD\(^{42}\). However, all the studies to date have focused on the advanced stages of the disease (GOLD stages III and IV) to assess the roles of ATP and adenosine in the pathophysiology of COPD. Given the dual role of adenosine depending on the situation, i.e., acting as an anti-inflammatory molecule in processes associated with acute lung diseases\(^{43}\) or as a pro-inflammatory agent with tissue remodeling function in chronic lung diseases\(^{44}\), it is important to distinguish between the early and late stages of COPD when determining the role of adenosine in this disease. Furthermore, some adenosine receptors also act as anti- or pro-inflammatory molecules depending on the stages (acute or chronic) of lung injury during which they are activated\(^{45}\).
As seen in Fig. 3, NOS expressed more genes favouring a non-inflammatory state than COPD patients in both pulmonary and systemic tissues when compared to NS. The downregulated ectonucleotidases play a larger role in inflammation secondary to tobacco in the lung than in the arterial tissue of the same patients. This observation is in line with the previous studies of our group demonstrating an underexpression of ENTPDase1/CD39 in the lungs of COPD patients\(^{27}\). NTSE/CD73, which is expressed less in the lungs of COPD patients than NOS, is...
markedly decreased in systemic arteries. NTSE/CD73 has been reported to play an important anti-inflammatory role that is associated with anti-fibrotic activity and a reduced production of pro-inflammatory cytokines in the aortic artery, most likely by activating adenosine A2a receptors\textsuperscript{15}. This would be interesting to investigate further in future studies to determine the role of CD73 in cardiovascular risk.
Classically, the inflammation leading to COPD has been described as a type 1 inflammation predominantly involving neutrophils. In line with this, the inflammatory parameters analysed in our patients, such as C-reactive protein (CRP) and leukocyte blood counts, were higher in COPD patients than NOS, even though these differences were not significant (Table 2). However, new evidence has emerged that type 2 or eosinophilic inflammation also plays a role in some COPD patients\textsuperscript{9,96}. For this reason, we decided to analyse both \( IL-13 \) and \( IL-4 \) gene expression as they are involved in eosinophilic inflammation. Our results on \( IL-13 \) expression in lung tissue provide a plausible explanation for why NOS show less inflammation than patients with moderate COPD (Fig. 1C). We analysed \( IL-4 \) and \( IL-13 \) expression to determine the type of inflammatory response elicited in our COPD patients. \( IL-13 \) expression was significantly elevated in the pulmonary tissues of NOS and COPD patients, suggesting a Th2-derived inflammatory response (Fig. 1C). \( IL-13 \) was not expressed in the intercostal arteries of NOS or COPD patients, suggesting that this type of inflammation is not relevant in the initial systemic vascular changes in smokers and patients with moderate COPD. As for \( IL-4 \), we could not assess any amplification of this gene in the lungs or intercostal arteries (Figs 1C and 2C). We were not able to determine if this was because there was no expression or whether this was due to methodological issues. \( CCL18 \), a chemokine involved in vascular changes\textsuperscript{1}, showed reduced expression in the lungs and systemic arteries of COPD patients. Other studies have shown a similar gene expression pattern of \( CCL18 \) in COPD patients and smokers\textsuperscript{97}.
There were differences in purinergic signalling between patients with moderate COPD and NOS. However, other studies have found some similarities in the expression profiles of other genes in patients with moderate COPD and NOS, which have not been observed in patients with severe COPD\textsuperscript{10}. For this reason, we believe that this study should be complemented with future studies investigating pulmonary levels of ATP and adenosine and the genetic expression of purinergic signalling enzymes in patients with severe COPD (GOLD stages III and IV) too.
This study had several strengths and limitations. Performing a genetic analysis on patients in the early stages of COPD enabled us to check for disease-initiating mechanisms that are more difficult to detect at later stages of the disease. Nevertheless, it has to be pointed out that this is an exploratory study to generate new hypotheses about the pathophysiological changes that occur in the first steps of COPD. Almost none of the \( p \)-values of the results comparing gene expression levels between the groups were statistically significant, probably because of the exploratory nature of the study and/or the small number of patients included. The study population had primary treatable lung cancer and, therefore, lung cancer could have been a possible introduced bias. However, we assumed that any bias introduced would have been the same for all the subjects. Moreover, this was the only way of obtaining fresh tissue samples from the patients along with clinical and functional data.
In summary, this preliminary study suggests that the expression patterns of different extracellular ATP-degrading enzymes are altered in a manner that promotes inflammation in both NOS and patients with early COPD, with a compensatory mechanism possibly occurring only in NOS. ENTPD1, ENTPD2 and NTSE might be relevant in the pathophysiology of COPD. Future studies are needed to confirm this hypothesis.
| Gene symbol | Gene name | Assay ID |
|-------------|------------------------------------------------|-------------------|
| **Membrane purinergic degrading enzymes** | | |
| ENTPD1/CD39 | Ectonucleoside triphosphate diphosphohydrolase 1 | Hs08969559_m1 |
| ENTPD2 | Ectonucleoside triphosphate diphosphohydrolase 2 | Hs0993193_g1 |
| ENTPD3 | Ectonucleoside triphosphate diphosphohydrolase 3 | Hs00154325_m1 |
| ENPP1 | Ectonucleotide pyrophosphatase/phosphodiesterase 1 | Hs01054040_m1 |
| NTSE/CD73 | 5' nucleotidase ecto | Hs04234687_m1 |
| **Soluble purinergic degrading enzyme** | | |
| ADA | Adenosine deaminase | Hs01113256_g1 |
| **ADA receptor** | | |
| DPP4/CD26 | Dipeptidyl peptidase 4 | Hs00897386_m1 |
| **P2 receptors** | | |
| P2RX2 | Purinergic receptor P2X2 | Hs04176268_g1 |
| P2RX7 | Purinergic receptor P2X7 | Hs00951607_m1 |
| P2RY2 | Purinergic receptor P2Y2 | Hs04176264_s1 |
| **P1 receptors** | | |
| ADORA1 | Adenosine A1 receptor | Hs00379752_m1 |
| ADORA2A | Adenosine A2a receptor | Hs00169133_m1 |
| ADORA2B | Adenosine A2b receptor | Hs00386497_m1 |
| ADORA3 | Adenosine A3 receptor | Hs04194761_x1 |
| **Inflammatory genes** | | |
| IL-13 | Interleukin 13 | Hs01124272_g1 |
| IL-4 | Interleukin 4 | Hs00929862_m1 |
| CCL18 | C-C motif chemokine ligand 18/PARC | Hs00268113_m1 |
**Table 3.** List of genes analysed in the study.
**Materials and Methods**
**Subjects.** Fifty-four patients who underwent a lobectomy or pneumonectomy of a solitary pulmonary nodule at Belvítge University Hospital were included in this study. Demographic, clinical and pre-operative pulmonary function assessment (spirometry, lung volumes and carbon monoxide diffusing capacity) data were collected for all the subjects before surgery. None of the patients presented severe systemic comorbidities, atelectasis or obstructive pneumonitis. Moreover, they had not received chemotherapy or radiotherapy prior to surgery. According to their previous smoking history and the results of the pulmonary function tests, subjects were classified as follows: 16 never smokers (NS), 17 non-obstructed smokers (NOS) and 21 stable COPD patients. COPD was diagnosed based on current GOLD guidelines\(^{33}\). In the COPD group, most of the patients had early stages of disease (14 GOLD I and five GOLD II). All the participants signed an informed consent in accordance with the principles outlined in the Declaration of Helsinki. The study was approved by the local ethics committee (CEIC, ref. PR330/15). General characteristics and lung function measurements of the three groups are summarised in Table 2.
**Sample collection and processing.** The samples used in this study were obtained and processed as previously described\(^{34}\). They have been used in previous studies published by our research group\(^{27,35}\).
**RNA processing.** Total RNA was isolated and purified as previously described\(^{27,31}\).
**TaqMan low-density arrays.** Gene expression analysis was performed by real-time PCR using Custom TaqMan low-density arrays (TLDAs; Applied Biosystems, Foster City, CA, USA). The 17 genes analysed in this study are listed in Table 3, classified by their functional groups. One μg of total RNA was retrotranscribed into cDNA using the High-Capacity cDNA Reverse Transcription Kit (Applied Biosystems). Before performing PCR, cDNA was pre-amplified using Custom TaqMan PreAmp Pools, following the manufacturer’s protocol (Applied Biosystems). PCR reactions were prepared with the TaqMan Gene Expression Master Mix, following the manufacturer’s protocol (Applied Biosystems), and samples were run in triplicate on an ABI Prism 7900HT Real-Time PCR System (Applied Biosystems). Data were collected using SDS Software version 2.4 (Applied Biosystems) and used for subsequent analysis.
**Gene expression analysis.** Data analysis was performed using the Relative Quantification application module on the Thermo Fisher Cloud online software ([https://www.thermofisher.com/es/es/home/cloud.html](https://www.thermofisher.com/es/es/home/cloud.html)). Relative quantification (RQ) was based on the comparative cycle threshold (Ct) method using GAPDH (Hs99999905_m1) as an endogenous control. For differential expression analysis, a limma-modified t-test\(^{34}\) was used to calculate the ΔΔCt value [ΔΔCt = mean ΔCt value (target samples) - mean ΔCt value (control samples)]. RQ was calculated from these ΔΔCt values (RQ = \(2^{-\Delta\Delta Ct}\)) and used for fold change calculations. Results are expressed as fold changes in logarithms to base 2 (\(\log_2\)) of the RQ values.
Heat maps were created with the plotly and ggplot2 R packages version 3.5 (R Foundation for Statistical Computing, Vienna, Austria; [https://www.R-project.org/](https://www.R-project.org/)).
Statistical analysis. Continuous variables were compared by Student’s t-test and expressed as mean ± standard deviation (SD). Qualitative variables were compared with the chi-square test. Comparisons between the groups were evaluated by one-way analysis of variance (ANOVA) and an overall p-value was calculated. Adjusted analyses were performed using unbalanced demographic variables (gender and diabetes). Statistical analysis was performed using IBM SPSS version 19.0 (IBM Corp., Armonk, NY, USA). A p-value less than 0.05 indicated statistical significance.
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20. Zhou, Y., Mukherjee, N., Zeng, D., Belardinelli, L. & Blackburn, M. R. Alterations in adenosine metabolism and signaling in patients with chronic obstructive pulmonary disease and idiopathic pulmonary fibrosis. *PLoS One*, https://doi.org/10.1371/journal.pone.0009224 (2010).
21. Goodarzi, M. T., Abdi, M., Taylani, H., Nadi, E. & Rashidi, M. Adenosine deaminase activity in COPD patients and healthy subjects. *Iran. J. Allergy Asthma Immunol.*, 09.01.jiai.712 (2010).
22. Polosa, R. & Belardinelli, L. M. Adenosine receptors as targets for therapeutic intervention in asthma and chronic obstructive pulmonary disease. *Trends in Pharmacological Sciences*, https://doi.org/10.1016/j.tips.2009.07.005 (2009).
23. Haskó, G. & Pacher, P. A. β₁ receptors in inflammation and injury: lessons learned from transgenic animals. *J. Leukoc. Biol.*, https://doi.org/10.1189/jlb.0607359 (2008).
24. Cronstein, B. N. Adenosine and adenosine receptor anti-inflammatory agent. *J. Appl. Physiol.* (1994).
25. Blackburn, M. R. Adenosine: A good thing. Adenosine overload in adenosine-deaminase-deficient mice. *Trends in Pharmacological Sciences*, https://doi.org/10.1016/S0165-6147(00)01045-7 (2003).
26. Zhou, Y. et al. Distinct Roles for the A2B Adenosine Receptor in Acute and Chronic Stages of Bleomycin-Induced Lung Injury. *J. Immunol.*, https://doi.org/10.4049/jimmunol.1002907 (2011).
27. Aliagas, E. et al. Is the purinergic pathway involved in the pathology of COPD? Decreased lung CD39 expression at initial stages of COPD. *Respir. Res.* **19**, 130 (2018). https://doi.org/10.1186/s12935-018-0795-0 (2018).
28. Quéré, C., Allez, M., Ding, Z., Borg, N. & Schrader, J. Adenosine Formed by CD73 on T Cells Inhibits Cardiac Inflammation and Fibrosis and Preserves Contractile Function in Transverse Aortic Constriction-Induced Heart Failure. *Circ. Hear. Fail.*, https://doi.org/10.1161/CIRCHEARTFAILURE.116.003346 (2017).
29. Saha, S. & Brightling, C. E. Inositolipid airway inflammation in COPD. *International journal of chronic obstructive pulmonary disease*, https://doi.org/10.2147/copd.S20614 (2006). 1:139 (2006).
30. Saetta, M. et al. Airway inflammation in chronic bronchitis during exacerbations. *Am. J. Respir. Crit. Care Med.*, https://doi.org/10.1164/rccm.130.6.792628 (1994).
31. Muñoz-Esquerra, M. et al. Vascular disease in COPD: Systemic and pulmonary expression of PAR2 (Pulmonary and Activation-Regulated Chemokine). *PLoS One*, https://doi.org/10.1371/journal.pone.0177218 (2017).
32. Llinàs, J. et al. Gene expression profiles in smokers and patients with moderate COPD. *Palm. Pharmacol. Ther.*, https://doi.org/10.1016/j.palp.2016.10.001 (2016).
33. GOLD. Gold 2017. *Global Initiative Chronic Obstr. Lung Dis.*, https://doi.org/10.1164/rccm.201701-0218PP (2017).
34. Smyth, G. K., Yang, Y. H. & Speed, T. Statistical Issues in cDNA Microarray Data Analysis. *Funct. genomics Methods Protoc.*, https://doi.org/10.1385/1:59259-364:X:111 (2003).
Acknowledgements
We thank Ms. Maria José Manuel and Ms. Montserrat Navarro from the COPD Unit of Bellvitge University Hospital for their help with subject recruitment. We also thank the thoracic surgery team and pathologists of Bellvitge University Hospital for their assistance in sample collection, the Centres Científics i Tecnològics at the University of Barcelona for their technical assistance, and Anna Carrera-Salinas for her assistance in developing the heat maps. We acknowledge the CERCA Programme/Generalitat de Catalunya for institutional support. The research was funded by Instituto de Salud Carlos III through the grant PI16/00193 (co-funded by the European
Regional Development Fund (ERDF) ‘A Way to Build Europe’), as well as by grants from Menarini and SEPAR (Grant SEPAR 067/2015). E. Cuevas received a post-MIRC C. Recerca grant from Bellvitge University Hospital.
**Author Contributions**
O.C., participated in sample processing, TLDA experiments, data analysis, statistical analysis and figure preparation. E.C., participated in subject recruitment and data analysis. M.M.-E. performed the subject recruitment, participated in sample collection and performed sample processing. M.L.-S. participated in subject recruitment, sample collection and sample processing. Y.P.-G. participated in subject recruitment and data analysis. J.D. participated in subject recruitment, interpreting the results and providing a critical review of the manuscript for important intellectual content. E.A. is the co-corresponding author who contributed to the design of the study, sample processing and TLDA experiments, as well as being involved in obtaining funding, data interpretation, manuscript drafting, and critically reviewing the manuscript for important intellectual content. S.S. is the corresponding author who contributed to the study concept and design, as well as being involved in obtaining funding, study supervision, data interpretation, manuscript drafting, and critically reviewing the manuscript for important intellectual content. All authors have read and approved the final manuscript.
**Additional Information**
**Competing Interests:** The authors declare no competing interests.
**Publisher’s note:** Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.
**Open Access** This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons license, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/.
© The Author(s) 2019 |
Citizen Response to a Violent Intruder
Alert Lockdown Inform Counter Evacuate
Are they prepared for when Today is not like Yesterday?...
alicetraining.com
ALICE
TRAINING INSTITUTE
Why is Citizen Preparation Necessary?
- 25 years of mass shooting events have yielded a national average for the response time of Law Enforcement to an Active Killer scene.
- How long:
Why is Citizen Preparation Necessary?
- 25 years of mass shooting events have yielded a national average for the **arrival** response time of Law Enforcement to an Active Killer scene.
- How long:
**5-6 Minutes**
Citizen preparation for danger is nothing new. Where do we first learn what to do when...
- There is a fire?
- There is a tornado?
- There is an active shooter/violent intruder?
Who and/or what is responsible for developing the information that is taught?
Is this really all you need to know in order to respond to a Violent Intruder?
We Have Three NATURAL Responses
- **Fight**: Counter Strategies
- **Flight**: Evacuate
- **Freeze**: Lockdown (Secure-in-Place)
Which is the preferred?
Which responses do you observe?
Lessons Learned: There were many, but the primary one has often been missed...
911: "Jefferson Country 911."
Patti Nielson: "Yes, I am a teacher at Columbine High School, there is a student here with a gun, he has shot out a window... I believe... um... I."
911: "Columbine High School."
Patti Nielson: "I don't know what's in my shoulder, if it's just some glass or what."
911: "OK. Has anyone been injured ma'am?"
Patti Nielson: "I am, yes... yes!"
911: "OK."
Why did they STAY? Preferred Response?
Diagram 89
- Witness: Green
- Injured: Yellow
- Deceased: Red
- Klebold: Cyan
- Harris: Red
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Why did they STAY?
OK to leave after, but not before???
The Lesson from Virginia Tech:
| Room 210 | STAYED DOWN | JUMPED & BARRICADED | Room 200 |
|----------|-------------|---------------------|----------|
| No Class | Room 206 - 14 Present | Room 204 - 19 Present | No Class |
| | Killed – 10 | Killed – 2 | |
| | Wounded - 2 | Wounded - 3 | |
Hallway – Killed 1
Offices
| STAYED DOWN | BARRICADED AFTER 1ST TIME | BARRICADED |
|-------------|---------------------------|------------|
| Room 211 - 19 Present | Room 207 - 13 Present | Room 205 - 12 Present |
| Killed – 12 | Killed – 5 | Killed – 0 |
| Wounded - 6 | Wounded - 6 | Wounded - 0 |
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The Lesson from Virginia Tech:
28 vs. 2 (Fatalities)
Passive vs. Proactive
| | Wounded - 6 | Wounded - 6 | Wounded - 0 |
|----------|-------------|-------------|-------------|
| | | | |
alicetraining.com
A.L.I.C.E.
Common Sense, just not Common Knowledge
Alert
Lockdown
Inform
Counter
Evacuate
ALICE is NOT a linear, progressive response.
Alert
- Information is the key to good decisions
- Information should flow in all directions
- Provide as much initial intel as possible to as many people as possible
- Use any and all available means: Texts, PA, Digital Signage, Web, Twitter, Facebook, BELS, etc.
- May be your sensory inputs
ALERT needs to be of benefit to all...
Provide info, don’t issue commands.
Any School, USA
Change this...
LOCKDOWN!
LOCKDOWN!
alicetraining.com
ALERT needs to be of benefit to all...
Provide info, don’t issue commands.
Any School, USA
To THIS!
LOCKDOWN!
LOCKDOWN!
GUNMAN IN ADMIN HALLWAY!
GUNMAN IN ADMIN HALLWAY
alicetraining.com
Lockdown
- Excellent starting point
- When should doors be locked?
- Before, During, or After?
- Locked doors provide a time barrier. Locks can, and have been defeated.
**BARRICADE:** The idea is to create a stronghold that nobody can breach... **BE A HARDER TARGET!**
- Once Lockdown is in effect no one should be allowed into a secure room under any circumstances. Only open your locked door for uniformed police personnel.
Which is a more effective barricade for a door opening out?
Heavy Objects make good Obstacles
Inform
- As real-time information as possible will be provided by all means possible.
- Use this information to make single or collective decisions as to the best option for survival.
- Be flexible because the situation will be dynamic and fluid.
Play-by-Play Announcer
Scenario 2
Counter
- Is it possible to interrupt the skill set needed to shoot accurately?
Skill Level
- Active Shooters
- Police
Hit Rate
- Low: Police 20-30%
- High: Active Shooters 50%+
How Stimulus Can Effect Accuracy
Counter
You can survive contact with an armed intruder!!
- Police miss 70-80% of their shots in dynamic events.
- The “bad guy” is not usually a highly skilled shooter.
- Engage in acts that will require very high skill level:
- Noise
- Movement
- Distance
- Distractions
Survival Tactics:
Skills beyond lockdown that should be provided:
- Barricading, Cover and Concealment
- Evade/Escape
- SWARM
- Removing and Securing the Weapon
- Contact with Law Enforcement
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Evacuate
- Only 2% of Violent Intruder events have been by more than one person.
- If he is inside, you get outside.
- Cannot use car to evacuate
- Reunification points established
Where do they go? How do they go?
alicetraining.com
ALiCE
TRAINING INSTITUTE
A.L.I.C.E.
When faced with Danger, You Must DO Something.
"In a moment of decision, the best thing you can do is the right thing. The next best thing is the wrong thing. The worst thing you can do is nothing."
- Theodore Roosevelt
alicetraining.com
Attack Resolution
The NYPD organized attack resolutions in the active shooter data set into four categories: applied force, no applied force, suicide or attempted suicide, and attacker fled.
Table 2 shows that the vast majority of attacks in the active shooter data set ended violently, either by force applied by law enforcement, private security, bystanders, or the attackers themselves. Only 14% ended without applied force, such as by a negotiated surrender.
**Table 2: Number of Incidents by Incident Resolution**
| Resolution | Number of Incidents | Percentage |
|-----------------------------------|---------------------|------------|
| Applied Force Citizens and Police | 93 | 46% |
| No Applied Force | 28 | 14% |
| Suicide/Attempted Suicide Shooter | 80 | 40% |
| Attacker Fled | 1 | <1% |
| Total | 202 | 100% |
Source: NYPD, Active Shooter, Recommendations and Analysis for Risk Mitigation. 2011
Why should “they” act?
If it is going to take an aggressive act to stop the killing, who do we hope is committing this act first?
Table 2: Number of Incidents by Incident Resolution
| Resolution | Number of Incidents | Percentage |
|-----------------------------|---------------------|------------|
| Applied Force Citizens and Police | 93 | 46% |
| No Applied Force | 28 | 14% |
| Suicide/Attempted Suicide Shooter | 80 | 40% |
| Attacker Fled | 1 | <1% |
| Total | 202 | 100% |
Source: NYPD, Active Shooter, Recommendations and Analysis for Risk Mitigation. 2011
Observations
• Victims resolved two and a half times more incidents than Police did.
• Police-resolved incidents resulted in 25% more fatalities than victim-resolved incidents.
• Police-resolved incidents resulted in 30% more non-fatal casualties than victim-resolved incidents.
• Victim-resolved incidents resulted in almost three times fewer fatalities than shooter-resolve incidents.
• Police-resolved incidents resulted in 16% more casualties than shooter-resolved incidents.
Research courtesy of Bill Barchers, www.hardtactics.com
Casualties by Category Since 1966
Note: Graph includes Beslan casualties
- Killed
- Injured
- Total
Courtesy of Bill Barchers, www.hardtactics.com
Casualties by Category Since 1966
Note: Graph includes Beslan casualties
If the goal is mitigate casualties, we know which type of resolution does that.
Courtesy of Bill Barchers, www.hardtactics.com
There is now a movement towards Proactive Response at official levels:
DHS Recommendations
- October 2008
- Known as the 3-Outs Program
- Get Out
- Hide Out
- Take Out
IACP Recommendations
- October 2009
- Do not have a one-size fits all plan.
- Teachers choose to Evacuate or Lockdown
- Authorize decisions to be made
- Active Resistance is an option
Training:
- Train building occupants on response options outlined by the Department of Homeland Security in “Active Shooter: How to Respond” when an active shooter is in the vicinity:
- **Evacuate**: Building occupants should evacuate the facility if safe to do so; evacuees should leave behind their belongings, visualize their entire escape route before beginning to move, and avoid using elevators or escalators.
- **Hide**: If evacuating the facility is not possible, building occupants should hide in a secure area (preferably a designated shelter location), lock the door, blockade the door with heavy furniture, cover all windows, turn off all lights, silence any electronic devices, lie on the floor, and remain silent.
- **Take Action**: If neither evacuating the facility nor seeking shelter is possible, building occupants should attempt to disrupt and/or incapacitate the active shooter by throwing objects, using aggressive force, and yelling.
AL Gov’t and Homeland Security
- February 2013
- Specifically names ALICE and Run, Hide, Fight as official State recommendations for AS response plans.
Ohio Attorney General and Safety Task Force Recommendations
- June 2013
- Lockdown does not mean stand-alone defensive strategy of Securing in Place
- Evacuate, Barricading, Counter
- For Staff and Students
US Dept. of Ed REMS Recommendations
- June 2013
- Has to be the end of LOCKDOWN only as the response plan for schools.
Are your plans in agreement with these recommendations, or contrary?
ALICE has led this movement since 2001.
Citizens are Capable
Perry Hall Teacher Called "Heroic" for Stopping Shooter - WBFF 45
www.foxbaltimore.com/newsroom/top.../wbff_vid_14989.shtml
Aug 27, 2012 – Jesse Wasmer, the guidance counselor at Perry Hall High, rushed the ... Daniel, Victim of Perry Hall High School Shooting, Heading Home ...
Hero Teacher Reportedly Tackles Shooter at Normal, Illinois High ...
www.theblaze.com/.../hero-teacher-reportedly-tackles-gunman-at-illi...
3 days ago – NORMAL, Ill. (TheBlaze/AP) -- An otherwise normal morning turned into a nightmare scenario in Normal, Ill., Friday as a gunman opened fire at ...
Citizens are Capable
Are we cultivating these outcomes... or just hoping for them?
Usual Opponent Concerns:
• There could be more than one shooter.
• They could run into the shooter.
• How will we account for those who left?
• Who will be liable?
• Small children aren’t capable.
• Special Ed is not addressed.
• Rally Point could be a secondary attack location.
• Evacuating folks will get in the way of police.
• How will police distinguish friendlies from shooter if they get the gun away?
• Counter Strategies are ridiculous
Questions?
Thank you and Stay Safe!
Need more information or host requests:
330-661-0106
www.ALiCEtraining.com |
The Global Hydrogen Trade: Comparing Developments in the EU, the U.S., and Globally
Arij van Berkel, Ph.D.
SVP and Group Director
The IRA drives up to USD 175 billion investment in hydrogen production
Tax credits for hydrogen production can be as high as USD 3/kg
| CO₂ intensity (kg CO₂ equiv./kg H₂)* | Maximum tax credit (USD/kg H₂) | Minimum tax credit (USD/kg H₂) |
|--------------------------------------|-------------------------------|-------------------------------|
| 2.5–4 | 0.60 | 0.12 |
| 1.5–2.5 | 0.75 | 0.15 |
| 0.45–1.5 | 1.00 | 0.20 |
| 0–0.45 | 3.00 | 0.60 |
A factor 5 higher tax credit depends on conforming to prevailing wage conditions.
Data from the IRA 2022, *To be determined by a full life cycle analysis. Image source: Chemical Engineering
The IRA drives up to 28 Mtonne/y of hydrogen production
Hydrogen production capacity depends on the electricity source
Hydrogen production capacity (ktonne/y)
- Range of realistic capacity factors
Calculated based on electrolyzer investment data by Lux Research.
Image source: Chemical Engineering
In 2022, the EU revised its demand to 20 Mtonne of hydrogen by 2030.
REPowerEU is a plan to rapidly reduce reliance on Russian fossil fuels and accelerate the EU’s transition to carbon neutrality.
The EU will produce half its hydrogen locally and import the rest
Projected hydrogen demand in the EU by 2030
- Fit for 55: 6 million tonnes (Produced locally)
- REPowerEU: 10 million tonnes (Produced locally) + 10 million tonnes (Imports)
Up to 17.5 GW of electrolyzer manufacturing capacity is needed by 2025, at a cost of EUR 2 billion.
In addition, the EU will import up to 10 Mtonne of hydrogen by 2030.
The heavy-industry band will be net importing
2050
+0.7 Mt H₂ (France)
+1.3 Mt H₂ (Spain)
-1.3 Mt H₂ (Netherlands)
-11 Mt H₂ (Germany)
-3.8 Mt H₂ (Italy)
Europe’s heavy-industry heart
Source: World Energy Council, “Decarbonized hydrogen imports into the European Union: Challenges and opportunities” (2021).
The EUR 3 billion H2MED project consists of two pipelines with a combined length of 700 km.
Approximately 2 Mtonne of hydrogen will be transported through the pipeline, which will connect Portugal, Spain, France, and Germany.
The EU and the U.S. are on very similar tracks to scale hydrogen
**The IRA drives up to 28 million tonne of hydrogen production per year**
- Approximately 20 Mtonne/y production by 2035
- Up to USD 175 billion total investment by 2035
**The EU plans to produce and import hydrogen**
- The EU will produce half of its hydrogen locally and import the rest
- Up to 17.5 GW of electrolyzer manufacturing capacity is needed by 2025, at a cost of EUR 2 billion.
- In addition, the EU will import up to 10 Mtonne of hydrogen by 2030
- Approximately 20 Mtonne/y demand by 2030
- Domestic electrolyzer production supports at least EUR 150 billion investment between 2025 and 2030
The world focuses on building and partnering for hydrogen today
Hydrogen economy activity in Q2 2023, as tracked through Lux Research’s news commentaries
Energy transmission
Transportation fuel
High-temperature processes
Petrochemicals
Image sources, clockwise from top left: Kawasaki, Toyota, Wikimedia Commons, CelSian
Power densities change by 3 orders of magnitude
- Fossil power generation: 500–1,000 MW/km²
- Heavy industry: 30–60 MW/km²
- Offshore wind: 1–4 MW/km²
Renewable energy must be collected from a much bigger region, requiring much (10×) more transmission.
Land-dependent process industry is smaller (a factor of 3–5 times)
| Ethylene | Paper | Potato starch |
|----------|-------|--------------|
| Cracker capacity on one site | Largest mill capacity | Starch production |
| 1,825 ktonne/y | 250 ktonne/y pulp | 600 ktonne/y |
| Carbon content | Carbon content | Carbon content |
| 85% | 48% | 44% |
| Carbon processed | Carbon processed | Carbon processed |
| 1,564 ktonne/y | 122 ktonne/y | 267 ktonne/y |
© Lux Research, Inc. All rights reserved. | Lux Proprietary and Confidential
DiviGas
Novel membrane manufacturer
• Hollow-fiber membranes to improve gas separation performance.
• Can handle H₂ concentrations as low as 35% today; lower concentrations are possible in the future.
Lux Take
While the company is still at the pre-commercial stage, its solution offers clear performance advantages.
Hydrogen can be exported to places where renewable energy is USD 60/MWh more expensive
Cost of transporting hydrogen via liquid & chemical carriers (USD/kg)
- Liquefied hydrogen: $2.00
- Hydrogenation: $1.00
- Storage: $0.50
- Transport: $0.50
- Dehydrogenation: $0.00
- Ammonia: $2.00
- Hydrogenation: $0.50
- Storage: $0.00
- Transport: $0.50
- Dehydrogenation: $1.00
- LOHC: $2.50
- Hydrogenation: $0.50
- Storage: $0.50
- Transport: $0.50
- Dehydrogenation: $1.00
If ammonia can be used directly, you can export with USD 25/MWh price difference.
Data from Lux Research report "The Hydrogen Economy: The Cost of Storage and Transport."
AMMONIA FOR POWER GENERATION
TECHNOLOGY LANDSCAPE
1 | ENGINE
From top to bottom: corporates, SMEs, research institutes
| MAN Energy Solutions | Wärtsilä | WinGD | J-Eng | Bergen Engines |
|----------------------|---------|-------|-------|---------------|
| MAHLE Powertrain | Perkins | DB | | |
| Reaction Engines | Hydrofuel | Ammonigy | | |
| U.S. Department of Energy | | | | |
2 | TURBINE
From top to bottom: corporates, SMEs, research institutes
| Mitsubishi Power | IHI | Doosan | GE |
|------------------|-----|--------|----|
| | | | |
3 | DIRECT AMMONIA FUEL CELL
From top to bottom: corporates, SMEs, research institutes
| IHI | Alma |
|-----|------|
| | |
| U.S. Department of Energy | OntarioTech University | Kyoto University | CNRS |
|---------------------------|------------------------|------------------|-----|
© Lux Research, Inc. All rights reserved. | Lux Proprietary and Confidential
Industrial processes over 500 °C will struggle to electrify
- **180–500 °C**
- HGL*: 36%
- Natural gas: 29%
- Other: 24%
- Coal: 7%
- Cokes: 2%
- Electricity: 2%
- **500–1,000 °C**
- Natural gas: 36%
- Other: 24%
- Coal: 14%
- Cokes: 12%
- HGL*: 10%
- Electricity: 4%
- **100–180 °C**
- Natural gas: 36%
- Other: 24%
- Coal: 14%
- Cokes: 12%
- HGL*: 10%
- Electricity: 4%
- **> 1,000 °C**
- Natural gas: 36%
- Other: 24%
- Coal: 14%
- Cokes: 12%
- HGL*: 10%
- Electricity: 4%
*HGL, hydrocarbon gas liquids
Based on the EIA census 2018; *HGL, hydrocarbon gas liquids
Industrial processes over 500 °C will struggle to electrify
75% of industrial energy use in the U.S. occurs in industries requiring (somewhat) difficult-to-electrify heat.
Based on the EIA census 2018; *HGL, hydrocarbon gas liquids
The Renault Master van allows a like-for-like comparison
**Master E-tech**
- 100% battery electric
- Consumer sales price: > USD 58,000
- Range: up to 126 miles
- Charge time: 2 hrs. (for 80% range)
**Master H2-tech**
- Hydrogen fuel cell vehicle with Hyvia fuel cell
- Consumer sales price: > USD 85,000*
- Range: up to 250 miles
- Charge time: 5 min. (for 100% range)
*Price estimate by Lux based on adding a 30-kW fuel cell system.
The Renault Master van allows a like-for-like comparison
**Master E-tech**
- 100% battery electric
- Consumer sales price: $35,000*
- Range: 124 miles
- Charging: For delivery in cities: average speed about 25 mph
- That’s 2 hours charging for 4 hours’ driving.
- Maximum utilization: 65%
**Master H2-tech**
- Hydrogen fuel cell vehicle with Hyvia fuel cell
- Consumer sales price: $47,000*
- Range: 186 miles
- Charging: For delivery in cities: average speed about 25 mph
- That’s 5 minutes charging for 10 hours’ driving.
- Maximum utilization: 99%
- Two H2-techs can do the job of three E-techs
*Price estimate by Lux based on adding a 30-kW fuel cell system.
Images source: Renault advertisements
Production of chemicals and fuels won’t drive short-term hydrogen demand but may be the largest future market.
**CO₂ utilization potential (annual Gtonne), best case (2050)**
- Precast concrete: 1 Gtonne
- Methanol: 1 Gtonne
- Aggregates: 1 Gtonne
- Animal feed: 0.1 Gtonne
- Carbon black: 0.1 Gtonne
- Polyurethane: 0.01 Gtonne
- Formic acid: 0.001 Gtonne
**Market value (USD billion), best case (2050)**
- Precast concrete: $700 billion
- Aggregates: $400 billion
- Methanol: $200 billion
- Methane: $200 billion
- Jet fuel: $1,800 billion
- Animal feed: $900 billion
- Carbon black: $100 billion
Note: CCU end-products not present in the above figures failed to reach 10% market penetration or utilize 0.1 Gtonne of CO₂ in the best case.
Key Takeaways
1. Hydrogen is primarily a good way to move renewable energy, abroad and in the U.S.
2. The case for hydrogen mobility is precarious and hinges on vehicles requiring high utilization.
3. Industrial use is initially driven by the need to decarbonize heat; chemicals and fuels will follow in 10 years.
Thank you
A link of the webinar recording will be emailed within 24-48 hours.
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Treating gingival recession
Ronan Allen presents a practical guide to assessing and diagnosing mucogingival deformities, and discusses common treatment modalities involved in root coverage.
Over the last few years dentistry has evolved in such a way that clinicians are not only required to treat disease and improve function but also to cope with the ever-increasing aesthetic demands of our patients.
In order to attain a pleasing smile for patients, dentists must not only consider the position, shape and colour of teeth but also the gingival framework that surrounds them.
Periodontal plastic surgery is defined as any surgical procedure aimed at correcting deformities of the gingival or alveolar mucosa. With an ever-expanding list of surgical techniques and materials, the practitioner has a daunting task of deciding the appropriate treatment plan for the correction of biological, functional and aesthetic deformities of the gingival tissues.
The purpose of this article is to provide the dentist with a practical guide to the assessment and diagnosis of mucogingival deformities, and discuss common treatment modalities involved in root coverage.
Gingival recession and attached tissue
A thorough understanding of the anatomy of the supporting structures of the teeth is a prerequisite to correct diagnosis and treatment planning when dealing with mucogingival defects around teeth or implants.
Gingival recession occurs when the location of the gingival margin lies apical to the cemento-enamel junction (CEJ), leading to exposure of the root surface (Figure 1). Recession may lead to a mucogingival problem characterised by gingival inflammation in an area of limited or no attached tissue (Figure 2). It has been estimated that over 60% of the population has at least one such buccal recession defect and that such defects are predominately seen in patients with good oral hygiene (Oliver RC et al, 1998) (Figure 3).
The role played by the attached tissue in the maintenance of gingival health is somewhat controversial. While this width of attached/keratinised tissue should not be used solely to diagnose a mucogingival problem, it is commonly agreed that areas with less than 2mm of attached gingiva and decreased buccolingual thickness...
are at a higher risk of recession (Lang NP, Loe H, 1992) (Figure 4). Such areas should therefore be assessed longitudinally for presence of inflammation, development of recession and, therefore, treatment needs. Attached tissue becomes more important when subgingival restorations or orthodontic treatment is anticipated (Hall WB, 1984) (Figures 5 and 10).
Periodontal examination for mucogingival problems should therefore include not only measurement of recession and inflammation but also assessment of the gingival thickness (buccolingual dimension) and the vestibular depth.
The clinician can also use a simple ‘tension test’, which involves pulling the cheeks or lips away from the teeth to assess if there is adequate attached tissue. In areas of inadequate attached tissue there will be movement or blanching of the gingival margin (Figure 6).
Movement of the free gingival margin under tension is an absolute indication for surgical intervention (Figure 2). Blanching is a lesser indicator for treatment; however, if there is need for orthodontic movement or restoration in the area then surgical procedures should precede these therapies.
**Predisposing factors and rationale for therapy**
The causative agents involved in gingival recession all share a common feature – gingival inflammation (Hall WB, 1984). This inflammation can be induced by plaque or mechanically (a toothbrush) and may affect areas of limited or no attached tissue by causing recession.
The main aetiological factors associated with gingival recessions are tooth malposition, alveolar bone dehiscence, inadequate attached gingival dimensions (width and thickness), and lack of vestibular depth (Figure 4). Other predisposing factors include:
- Traumatic toothbrushing (Figure 3) and increasing brushing frequencies
- Periodontal disease
- Factitial injury
- Occlusal trauma (Figure 8)
- Iatrogenic factors related to location of restorative margins and gingival treatment procedures.
Treatment may also be directed by the patient’s concerns about aesthetics, longer teeth, exposed roots or, occasionally, root sensitivity. If untreated, recession may progress to the point where the tooth prognosis becomes questionable (Figure 8). Additionally, root surface exposure may result in caries (Figures 9a, 9b and 9c) or abrasion, with possible pulpal involvement. Regardless of the reason for treatment, the objectives should aim to cover denuded root surfaces, increase the width and buccolingual thickness of the attached tissue, and establish a proper vestibular depth where necessary (Figures 7a to 7f).
**Classification of gingival recession**
Miller (1985) proposed the most commonly used recession classification scheme almost 30 years ago. Although this classification was used when assessing defects treated with a free gingival graft, it can be applied.
regardless of treatment technique. This classification system uses defect depth in relation to the mucogingival junction and loss of interproximal tissue as a reference to predict success. Therefore it is clinically useful, as it determines the likelihood of root coverage success and therefore patient satisfaction (see Table 1). It should be remembered that 100% root coverage in class I and II recession defects initially greater than 5mm are unpredictable.
**Root coverage techniques**
A wide variety of surgical techniques and materials have been described for the treatment of soft tissue defects around teeth (see Table 2 overleaf). The clinician is faced with a plethora of differing techniques from which to choose but the correct decision is based on the fundamental principles of any surgery – success, reproducibility, reduced morbidity and economy.
One clinical method of improving surgical success is with the use microsurgical techniques – small instruments and sutures combined with magnification loupes help to reduce trauma and enhance wound healing. This not only improves the aesthetic result but also reduces patient discomfort.
At present the connective tissue graft with a coronally positioned flap or using the tunnel technique represent the most predictable and aesthetic root coverage modality (Figure 12). However, where there may be lack of vestibular depth, minimal or no attached tissue and very thin biotype, such as in the lower anterior, the free gingival graft is still a more dependable procedure notwithstanding the diminished aesthetics due to lack of colour match (Figure 10).
Another advantage of the connective tissue graft is that it can be harvested from
the palate with a single envelope incision (Figure 12c), which reduces post-operative morbidity compared to secondary intention healing of a free gingival graft (Figures 11a, 11b and 11c).
The patient in Figure 12 presented complaining of a discoloured upper right central incisor and asymmetry across the gingival zeniths in the anterior. There is obvious recession of UL1, UL2 and UL3 leading to disharmony in the smile line. The treatment of multiple recession defects, as illustrated in Figure 12d, shows how the connective tissue graft harvested from the palate is introduced in a tunnel technique (no vertical releasing incisions or papilla elevation) to minimise trauma and to maintain blood supply. The flap is released internally to allow tension-free positioning over the graft and secured by sling sutures 2-3mm coronal to the CEJ. Six months post-operatively the gingival margins are more
Table 1: Miller classification of marginal tissue recession
| Classification grade | Extent of recession | Interproximal bone/soft tissue | Anticipated % root coverage |
|----------------------|---------------------|-------------------------------|-----------------------------|
| I | <5mm and does not extend beyond MGJ | No bone or soft tissue loss | 100% |
| II | <5mm but extends to or beyond MGJ | No bone or soft tissue loss | 100% |
| III | Extends to or beyond MGJ | Soft tissue or bone loss apical to CEJ but coronal to level of recession | Partial |
| IV | Extends to or beyond MGJ | Soft tissue or bone loss apical to the level of the recession defect | None |
MGJ – mucogingival junction; CEJ – cemento-enamel junction. Adapted from Miller PD, 1985
harmonious and the patient is now ready for any restorative treatment.
**Acellular dermal matrix**
Unfortunately, the connective tissue graft (CTG) procedure still requires a donor site, which not only increases morbidity and post-operative complications (bleeding and palatal necrosis) for the patient, but also the palate may simply not provide enough connective tissue for advanced procedures. When there is insufficient adjacent tissue for CTG, a pedicle graft or a coronally positioned flap, then alternatives such as guided tissue regeneration (GTR) using a barrier membrane, or materials such as synthetic, allogenic or xenogenic dermis, would be beneficial. The benefits of an alternative tissue source include reduced patient morbidity and the convenience of an abundance of material with which to treat multiple defects.
For many years our medical colleagues have used an acellular dermal matrix (ADM) as a substitute for autogenous connective tissue for full-thickness burns.
and in other areas of plastic surgery. ADM is an acellular, non-immunogenic cadaveric human dermis. One side of the material has a basal lamina for epithelial cell migration and the other side an underlying porous dermal matrix, which allows in-growth of fibroblasts and angiogenic cells (Livesey SA et al, 1995). The use of an acellular dermal matrix allograft material has shown results comparable to CTG – the gold standard in terms of successful root coverage (Harris R et al, 2002).
After rehydrating the ADM for 20 minutes, the handling characteristics are similar to connective tissue, except that full coverage from the overlying flap is essential to prevent necrosis of the ADM. For this reason it is technically easier to use the alternate papilla tunnel technique (Cummings LC, 2007) so that full coverage, tension-free coronal positioning of the flap is achieved (Figure 13).
The real advantage of ADM grafting is when a patient presents with multiple defects such as that shown in Figures 14a to 14i. Treatment via traditional methods using connective tissue grafts would require multiple surgeries, harvesting of bilateral aspects of the palate and even re-entry of the previously harvested palate.
This young female patient had previous orthodontic treatment and presented complaining of sensitivity and concern over aesthetics of visible root surfaces with full smile. Treatment in this case is even more technique sensitive due to a lack of attached tissues, thin gingival biotype, thin or absent bony plates, and a history of aggressive tooth brushing. Due to difficulty in tunnelling so many teeth, the alternate papilla tunnel technique is again used in this surgery and with the use of ADM the whole mouth can be treated in a single visit. The two years post-operative photograph shows stability of result and excellent root coverage in most sites. The tissue has increased...
in thickness and with re-education in oral hygiene methods this result is maintainable over the long term.
**Assessment and education**
In summary, mucogingival defects and root coverage can be successfully treated using a variety of surgical procedures. However, regardless of treatment philosophy, it is imperative that the dentist and hygienist use gingival recession risk assessment protocols and longitudinal records as part of their oral examination. Patients should also be educated in oral hygiene practices that will minimise inflammation and trauma and, hopefully, prevent such defects.
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**References**
Bouchard P, Malet J, Borghetti A (2001) Decision making in aesthetics – root coverage revisited. *Periodontology 2000* **27**: 97–120
Cummings LC (2007) Treating multiple tooth recession defects using the alternate papilla tunnel technique with AlloDerm. www.biohorizons.com/documents/LD101.pdf
Hall WB (1984) *Recession and the pathogenesis of recession in pure mucogingival problems.* Quintessence, Chicago: 29-47
Harris R (2000) A comparative study of root coverage obtained with an acellular dermal matrix versus a connective tissue graft: results of 107 recession defects in 50 consecutively treated patients. *Int J Periodontics Restorative Dent* **20**: 51-59
Lang NP, Loe H (1992) The relationship between the width of keratinized gingiva and gingival health. *Journal of Periodontology* **2**: 22-33
Livesey SA et al (1995) Transplanted acellular allograft dermal matrix: potential as a template for the reconstruction of viable dermis. *Transplantation* **60**: 1-9
Miller PD (1985) A classification of marginal tissue recession. *International Journal of Periodontics and Restorative Dentistry*, 5: 9-14
Oliver RC (1998) Periodontal diseases in the United States population. *Journal of Periodontology* **69**: 269-278
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Dr Ronan Allen qualified from Trinity College Dublin in 2002 and completed his three-year Master’s programme in periodontology and implant dentistry in the University of North Carolina at Chapel Hill. Dr Allen now works in the Burlington Dental Clinic, a multi-specialist practice in Ballsbridge, Dublin 4. To find out more about the Burlington Dental Clinic, please visit www.burlingtondentalclinic.com. Follow the clinic on www.facebook.com/burlingtondentalclinic for events, news and discussions. |
High abundance of a single taxon (amphipods) predicts aquatic macrophyte biodiversity in prairie wetlands
Danelle M. Larson
Demey DeJong
Michael J. Anteau
Megan J. Fitzpatrick
Breanna Keith
See next page for additional authors
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Part of the Biodiversity Commons
Authors
Danelle M. Larson, Demey DeJong, Michael J. Anteau, Megan J. Fitzpatrick, Breanna Keith, Emily Schilling, and Barry There
High abundance of a single taxon (amphipods) predicts aquatic macrophyte biodiversity in prairie wetlands
Danelle M. Larson\(^1\) \(\ddagger\) · Demey DeJong\(^2\) · Michael J. Anteau\(^3\) \(\ddagger\) · Megan J. Fitzpatrick\(^4\) · Breanna Keith\(^5\) · Emily G. Schilling\(^2\) · Barry Thoelle\(^6\)
Received: 18 May 2021 / Revised: 3 January 2022 / Accepted: 25 January 2022
This is a U.S. government work and not under copyright protection in the U.S.; foreign copyright protection may apply 2022
Abstract
Conservation programs often aim to protect the abundance of individual species and biodiversity simultaneously. We quantified relations between amphipod densities and aquatic macrophyte (large plants and algae) diversity to test a hypothesis that biodiversity can support high abundance of a single taxonomic group. Amphipods (*Gammarus lacustris* and *Hyalella azteca*) are key forage for waterfowl and are declining in the Prairie Pothole Region of North America. We sampled a large gradient of amphipod densities (0–7050 amphipods/m\(^3\)) in 49 semi-permanent wetlands, and 50% of the study wetlands had high amphipod densities (> 500 amphipods/m\(^3\)). Generalized linear models revealed *G. lacustris* and *H. azteca* densities increased exponentially with macrophyte diversity indices. Further, *H. azteca* densities were greatest at moderate levels of submersed vegetation biomass. Community analyses showed both amphipod species were positively associated with diverse macrophyte assemblages and negatively associated with high coverage of cattails (*Typha* spp.), a taxon that creates monotypic stands, as well as bladderwort (*Utricularia* spp.), a carnivorous plant. Our results indicate that amphipods could be used as an umbrella species for protecting diverse macrophyte communities in semi-permanent and permanent wetlands of North America’s Prairie Pothole Region.
Keywords Amphipoda · Aquatic vegetation · Systematic conservation planning · Umbrella species · Waterfowl
Introduction
Systematic conservation planning has focused on maintaining, protecting, and restoring biodiversity. The systematic conservation planning model is used worldwide to identify and prioritize landscape conservation networks (Margules and Pressey 2000). Planners
first choose which conservation proxies, such as ecosystem functions or species, will be used to represent biodiversity (Bal et al. 2018). Biodiversity proxies often include individual taxonomic groups that are easy to measure and are environmentally sensitive (“indicator” species) and taxa whose protection will extend to a wide range of co-occurring species (“umbrella” species). Decadal long debates continue as to whether a single-species focus can conserve biodiversity (Simberloff 1998; Runge et al. 2019). More scientific evidence linking single species abundance and biodiversity may provide opportunities to combine these conservation strategies (Lindenmayer et al. 2007).
The implied idea of managing the abundance of specific species for conserving biodiversity or vice versa is paradoxical. So, a key question remains: is the conservation of *biodiversity* at odds or compatible with the conservation of the *abundance of a single species*? We evaluated this question by examining the role of wetland macrophyte diversity in supporting abundant populations of amphipods, which are a key food resource for many waterfowl and other wetland wildlife (Olenick and Gee 1981; Afton and Hier 1991; Benoy et al. 2002). Similarly, we explored whether amphipods could be an *umbrella species* (i.e., whose protection would extend to a large number of other species, such as macrophyte diversity). Identifying more umbrella species can help to address global freshwater biodiversity loss (Kalinkat et al. 2017) by prioritizing conservation reserves and evaluating the effectiveness of restoration.
Amphipods (*Gammarus lacustris* and *Hyalella azteca*) are wetland crustaceans of known ecological significance to waterfowl (Afton et al. 1991) that are easy to detect when found in high densities (Fig. 1a–c). However, it remains unclear whether amphipod abundance indicates ecosystem health (such as high diversity) and whether a conservation focus on this taxonomic group might also enhance wetland biodiversity. Amphipods are an especially important forage base for some waterfowl species such as Lesser and Greater Scaup (*Aythya affinis* and *A. marila*, respectively), hereafter scaup (Afton et al. 1991). Brood-rearing and migrating scaup preferentially inhabit wetlands (Fast et al. 2004; Anteau and Afton 2009; Kahara and Chipps 2009), and scaup forage most efficiently in wetlands with high amphipod densities (Anteau and Afton 2009).
Several studies have shown amphipod abundances have declined across the Prairie Pothole Region (PPR) of North America in the past few decades (Afton and Hier 1991; Anteau and Afton 2008a, b; Strand et al. 2008), which likely cascaded to partially cause scaup population declines (Anteau and Afton, 2006, 2008b; Austin et al., 2000). Previous studies showed amphipod densities are negatively correlated with fish densities (Hanson and Butler 1994; Anteau et al. 2011) and high hydrologic connectivity that allows fish passage into wetlands (Wiltermuth 2014). Amphipod densities are also correlated with moderate concentrations of organic suspended sediments and the abundance of submersed macrophytes (Kahara and Chipps 2009; Anteau et al. 2011) but not with upland cultivation or vegetation buffer widths (Janke et al. 2019). This body of previous work was informative but limited because it included few study wetlands with high densities of amphipods (Anteau and Afton 2008a). Occasionally wetlands in the PPR still host high amphipod densities (>500 amphipods/m²); however, little is known of the factors driving wetland habitat suitability for these high densities despite the importance of understanding those drivers to protect or enhance available habitat (Kahara and Chipps 2009; Larson et al. 2018).
Our research objective was to understand the association between macrophyte species diversity and high densities of amphipods (*G. lacustris* and *H. azteca*). We hypothesized that macrophyte diversity and amphipod abundance would be positively correlated because diversity may increase system productivity that could support amphipod forage
and because other factors such as water quality are interrelated. Further, we hypothesized that high amphipod abundance would be positively correlated to both submersed plant biomass and emerged cattail fringe because these plant resources could provide refuge from predation and a carbon-rich food source. We explored the idea that amphipods could be used as umbrella species because we hypothesized amphipods would have several characteristics of an umbrella species: (1) easy to detect in high densities, (2) are environmentally sensitive to factors such as water quality and macrophytes, and (3) amphipod conservation and management could likely extend to many other species (such as macrophyte diversity).
Methods
Study sites and design
We studied 49 small wetlands within the Prairie Pothole Region and forest-transition zone of Minnesota, U.S.A. Past research used random-sample approaches, which highlighted the lack of amphipod presence in most Minnesota wetlands and occasionally wetlands with very high densities (Anteau and Afton 2008a; Anteau et al. 2011). Those prior studies connected amphipod abundance with environmental conditions but contained few study sites with very high amphipod densities, thus limiting their inferential value for the environmental conditions of wetlands containing high amphipod densities. Therefore, our study design intentionally targeted wetlands with a range of amphipod densities, especially high densities not captured with previous studies. We randomly selected half of our study wetlands, and the other half were targeted to have high densities of any amphipod species. The high-density wetlands were identified through personal communications with eight resource managers in our study region, as well as the published reports by Anteau and Afton (2008a, 2009) and Janke (2016). A subsequent rapid assessment of amphipod density in spring 2018 at 111 candidate basins confirmed that 24 wetlands had > 500 amphipods/m$^3$, which we included in this study as high-density wetlands based on expert opinion by the authors and resource managers. The other 25 study wetlands with unknown amphipod presence and density were randomly selected with ArcGIS software the following criteria: (1) located within a 24 km radius of high-density wetland; (2) a semi-permanent or permanent water body where amphipods can persist (Anteau et al. 2011); and (3) similar ($\pm 25\%$) wetland surface area as the selected high-density wetlands. The intention of this selection criteria was to increase the likelihood of finding amphipods in suitable hydrology (semi-permanent yet shallow) and ease of sampling (e.g., not driving long distances between sites). The design was not a “paired design” because the wetlands were independent of one from another and not meaningfully matched pairs.
The 49 wetlands represented a variety of amphipod densities (0–7050 amphipods/m$^3$), land uses (including forested, native prairie, and agricultural cultivation), land ownership (including private wetlands, state lands, federal lands, and mixtures of ownership), wetland sizes (0.4–77 ha), average water depths (72–164 cm, excluding one outlier of 604 cm), water quality conditions, and macrophyte metrics and communities (see ‘Results’ below and the complete dataset [Larson et al. 2021]).
Field data collection
Amphipods were sampled in April and May 2019. We targeted adult amphipods and this sampling time because adults are easy to capture and identify as compared to juveniles that can be small and inconspicuous and to avoid detection error from high macrophyte biomass in summer. We sampled a total of eight stratified random sampling locations at each wetland. The strata included near-shore points (within $\sim 5$ m of shore or the outermost ring of impassable emerged vegetation) and deeper points ($\sim 50$ m from shore) to capture a range of habitats. Using ArcMap (release 10; ESRI, Redlands, California, USA), we generated eight equally spaced transects that ran perpendicular to the longest axis of the wetland. Each transect contained one sample point, alternating between near-shore points and deeper points. The sample points were preprogrammed into a Garmin 76 GPS unit for field navigation ($\sim 3$-m positional accuracy). Sampling was limited to points with a maximum
depth of 1.4 m due to sweep net limitations. Alternate points along the transect were sampled when water depth was > 1.4 m or the near-shore point was > 5 m from shore.
Separate water column and benthic samples were collected using sweep nets (mesh size: 1200 microns). Benthic samples were obtained by sweeping a D-frame net (net diameter: 0.0647 m$^2$) for 0.5 m along the wetland bottom to capture the top~3 cm of sediment and organisms. Water column samples were collected with a D-frame or circular sweep net (net diameter: 0.0452 m$^2$) that was bent 90° so the net opening was perpendicular to the handle. We plunged the sweep net to a depth of 30 cm (the benthic net height) above the benthos in an area undisturbed by the benthic sweep, moved the net horizontally to undisturbed water, and raised the net vertically out of water. During the plunge the net was inverted, so a sample was only collected during the vertical retrieve. Samples were drained of excess water and preserved in 95% ethanol. Samples were transported to the Minnesota Department of Natural Resources’ Wetland laboratory and processed within four months of collection.
We conducted comprehensive wetland habitat surveys once in July 2019 to capture representative wetland conditions and peak macrophyte species richness. Water samples were collected near the center of each wetland in 50-mL polypropylene sterile tubes, stored on ice in a cooler, and shipped on ice to the Minnesota Department of Agriculture Laboratory Services for analyses of total phosphorus (P). Wetland pH (Hach® HQ40d, Loveland, Colorado, USA) and turbidity (Hach® 2100P, Loveland, Colorado, USA) were also measured near the center of each wetland.
We sampled water depth and aquatic macrophytes (submersed aquatic vegetation [SAV], emersed, rooted-floating, and free-floating life forms) at evenly spaced, random sampling points. These sample points differed from where amphipods were collected, and so the depth and macrophyte data represent the entire wetland and not a sampling point. The entire wetland was gridded in ArcMap, and each grid provided a sampling point for water depth and vegetation. Grid size varied by wetland size; wetlands < 4 ha had 10 sampling points, and we increased sampling by one point for each additional 0.5 ha. The number of sampling points per wetland ranged from 10 to 67 (average: 25 points). We navigated via canoe to each sampling point using a Garmin 76 GPS unit. At each point, we measured water depth and dragged one plant rake of 35-cm circular diameter along the bottom of the wetland for 150 cm. We used a relative biomass index to estimate the total amount of submersed plants and filamentous algae on the rake (ordinal score ranging from 0 to 4; Online Appendix 1) and then identified each species present using identification keys (Skawinski 2018). We quantified emersed vegetation prevalence along shorelines using visual field surveys in which we recorded the presence of emersed vegetation guilds (including cattail, bulrush, and sedge/rush) at the end of each vegetation sampling transect line. Data from the individual points were compiled for each wetland to calculate average biomass and species-specific prevalence. We acknowledge that high wetland plant diversity occurs in the emergent and wet meadows on the upland periphery from the permanent water, but our assessments did not include species-level identification of shallow marsh plants principally because these are not the common habitats that amphipods reside in. Although fish abundance is known to be negatively correlated to amphipods, this study focused on the relations between macrophytes, water quality, and amphipods and not fish. Fish were not sampled as part of this study but may have been present.
Laboratory analyses
Sample contents were washed in a 500-µm rectangular sieve to remove fine sediments. All material on the sieve was suspended gently in a bucket of water to evenly disperse the contents. A grid was placed over the sieve to allow for sub-sampling. We picked a minimum of 25% of the sample on the sieve and added more grids until at least 400 invertebrates were picked or the entire sample was processed. All picked invertebrates were stored in 70% ethanol for identification and archiving.
We enumerated and identified all amphipods to the species-level using taxonomic keys (Merritt et al. 2008; Glazier 2014) by using a lighted trinocular microscope with 110× magnification potential. Amphipod counts were scaled to the entire sample if they had been subsampled. Amphipod abundance was the total number of individuals counted at each wetland ($n=8$ standardized sweeps). Average amphipod density (units: #/m$^3$) was calculated for each basin by dividing the basin-level abundance by the volume of water passed through the sweep net.
Data analyses
We averaged amphipod counts and density by wetland as response variables because the wetland was the experimental unit where samples were truly independent. Therefore, the inferences of amphipods and habitat associations were at the wetland-scale and not at the point of amphipod sampling. We calculated a variety of $\alpha$-biodiversity facets, including Simpson diversity index, Shannon diversity index, Pielou’s evenness index, and species richness using all vegetation species or guilds collected.
Three species of amphipods were collected in our study wetlands: *G. lacustris*, *H. azteca*, and *Crangonyx* spp. We chose to model *G. lacustris* and *H. azteca* separately because each species may respond differently to environmental predictors. We did not analyze *Crangonyx* spp. due to infrequent occurrences (<15%) and low densities (Table 1, Fig. 2).
We used two complementary analyses to infer biologically and statistically significant factors that influenced amphipod abundance: (1) generalized linear models to test our hypotheses that amphipod density would relate positively to SAV biomass, macrophyte diversity, and emersed vegetation prevalence along shorelines, and (2) a redundancy analysis (RDA) of amphipod abundance and macrophyte assemblages to test species affiliations. We reported the $p$-value with degrees of freedom and relative magnitude of differences to assess ‘statistical significance’ of model outputs. The statistical analysis outputs, graphical trends, and previous literature were used to conclude what constitutes ‘biologically significant’ results and where uncertainty remains (Wasserstein et al. 2019).
All models and graphs were produced using software R 4.0.5 (R Foundation for Statistical Computing 2018). We modeled species-specific amphipod counts to our predictor variables using a negative binomial distribution with a log link function using the ‘MASS’ package (Ripley et al. 2020); prior models with Poisson distribution of transformed data were over dispersed and thus not reported. We used the natural log of water-volume swept (m$^3$; summed per wetland) as an offset variable. The predictor variables included the three primary hypotheses about the influence of macrophytes on amphipods: (1) macrophyte diversity (all life forms); (2) SAV biomass; and (3) the percentage of shoreline rimmed by emersed vegetation. We also included several covariates to account for wetland-to-wetland
Table 1 The summary statistics of densities of each amphipod genus detected in the study ($n=49$ wetlands), which includes randomly selected wetlands, intentionally selected wetlands with known high densities (> 500 amphipods m$^{-3}$) of at least one species of amphipod, and the combined summaries of both wetland selection types
| Genus | Minimum | 1st quartile | Median | Arithmetic mean | 3rd quartile | Maximum |
|------------------------|---------|--------------|--------|-----------------|--------------|---------|
| **Randomly selected wetlands ($n=25$)** | | | | | | |
| Cragonyx | 0 | 0 | 0 | 1 | 0 | 23 |
| Gammarus | 0 | 0 | 0 | 12 | 0 | 200 |
| Hyalella | 0 | 0 | 19 | 189 | 102 | 1329 |
| **Intentionally selected, ‘high density’ wetlands ($n=24$)** | | | | | | |
| Cragonyx | 0 | 0 | 0 | 16 | 15 | 124 |
| Gammarus | 0 | 58 | 422 | 681 | 1050 | 2736 |
| Hyalella | 0 | 70 | 321 | 1001 | 1259 | 7050 |
| **All study wetlands ($n=49$)** | | | | | | |
| Cragonyx | 0 | 0 | 0 | 9 | 3 | 124 |
| Gammarus | 0 | 0 | 15 | 353 | 422 | 2736 |
| Hyalella | 0 | 13 | 77 | 620 | 734 | 7050 |
variability due to factors other than macrophytes. Our approach was to have a model for each amphipod species that contained at least three variables that represented each of the macrophyte hypotheses and then interpreted the strength of their support by examining the parameter estimates, 95% confidence limits, and $p$-values.
We took several steps to select the variables used in the final models. These steps included examining plots of the raw data, transforming data as necessary, and then performing a single-variable elimination. We assessed relative goodness of fit and parsimony by comparing the Type III likelihood ratio statistic, and single variables were eliminated if its $p$-value was > 0.05. We plotted species’ density against each potential variable to identify non-linear relations and any needs for transformations. The *H. azteca* densities graphically appeared to increase with SAV biomass up to a point then decreased, so we included a quadratic effect. The covariates we initially considered were maximum depth, wetland area, pH, total P, turbidity, and an index of suspended sediments. There were low correlations ($r<0.4$) among these covariates and our three hypothesized variables, with exception of turbidity and total P ($r=0.49$). We suspected that our turbidity measurement was composed of phytoplankton and suspended sediments, which could be an important covariate based on Anteau et al. (2011). So, like Anteau et al. (2011), we ran a regression using total P to predict turbidity (Turbidity = 0.94 + 75.48 × total P; $r^2=0.23$) and used the residuals of that regression to index suspended sediments. The resulting suspended-sediment index was orthogonal with total P. For *G. lacustris*, the plots indicated total P should be transformed with a natural log, and there were threshold effects of maximum depth (~ 150 cm) and wetland area (15 ha); so, we indexed maximum depths > 150 cm as “1” and ≤ 150 as “0” and wetland areas > 15 ha as “1” and ≤ 15 as “0.” For *H. azteca*, we did not consider maximum depth, wetland area, total P, and suspended-sediment index because preliminary analyses indicated no pattern with their densities. Lastly, we chose a single, most informative variable to represent the three hypotheses related to macrophyte diversity, biomass,
and emergent vegetation in the models. For both amphipod species, the SAV biomass index was more informative than SAV prevalence. Simpson’s diversity index was more informative than Shannon’s diversity index, species richness, or Pielou’s evenness. Shoreline emerged prevalence was a better predictor than total wetland emerged prevalence.
We reported results of full models that included the three hypothesized macrophyte variables and informative covariates (see Tables 2 and 3). To assess model fits, we used marginal model plots (Online Appendix 2) that compare the data and model fits. We calculated the predicted values of amphipod density of our hypothesized variables while holding the other covariates constant and provided graphs of each model’s predictions (Figs. 3 and 4).
In addition, we conducted a redundancy analysis to examine relations among species-specific amphipod counts and macrophyte assemblages using the ‘vegan’ package in software R (Oksanen et al. 2019). This analysis is a multivariate extension of multiple regression where the ecological community is constrained by linear combinations of the predictor variables. The two amphipod species were used as separate response variables. Predictor variables included prevalence for the eight most common SAV species, one prevalent emerged species (*Typha* spp.), and filamentous algae (not speciated). The aquatic vegetation species matrix did not have ecological transformations, but we ln-transformed the amphipod count data to fit linear assumptions. We conducted a permuted, multivariate
Table 2 Analysis results of maximum likelihood parameter estimates for *Gammarus lacustris*
| Parameter | DF\textsubscript{num} | DF\textsubscript{den} | Estimate | Standard error | Wald 95% confidence limits | Wald $\chi^2$ | p-value |
|------------------------------------------------|------------------------|-----------------------|----------|----------------|----------------------------|---------------|---------|
| Intercept | 1, 40 | | 1.54 | 2.97 | −4.28 – 7.36 | 0.27 | 0.604 |
| Simpson diversity | 1, 40 | | 13.16 | 3.31 | 6.68 – 19.63 | 15.85 | <0.001 |
| SAV biomass | 1, 40 | | −1.45 | 0.45 | −2.34 – −0.56 | 10.13 | 0.002 |
| Shoreline emergent prevalence | 1, 40 | | −0.02 | 0.02 | −0.06 – 0.02 | 1.25 | 0.265 |
| Maximum water depth | 1, 40 | | 1.77 | 0.88 | 0.04 – 3.49 | 4.02 | 0.045 |
| Wetland size | 1, 40 | | −4.33 | 1.11 | −6.51 – −2.15 | 15.15 | <0.001 |
| Total P | 1, 40 | | 1.05 | 0.53 | 0.00 – 2.09 | 3.87 | 0.049 |
| Suspended sediment | 1, 40 | | 0.14 | 0.06 | 0.02 – 0.26 | 4.89 | 0.027 |
| Dispersion | 1, 40 | | 3.71 | 0.95 | 2.25 – 6.11 | NA | NA |
The parameters included in this table were of primary interest with hypotheses of positive associations of *G. lacustris* and aquatic vegetation. Parameters in bold were primary hypothesized variables of interest related to aquatic vegetation and the others were covariates of secondary interest and included to improve parameter estimates.
Table 3 Analysis results of maximum likelihood parameter estimates for *Hyalella azteca*
| Parameter | DF\textsubscript{num} | DF\textsubscript{den} | Estimate | Standard error | Wald 95% confidence limits | Wald $\chi^2$ | p-value |
|------------------------------------------------|------------------------|-----------------------|----------|----------------|----------------------------|---------------|---------|
| Intercept | 1, 42 | | −18.87 | 4.90 | −28.48 – −9.25 | 14.79 | <0.001 |
| Simpson diversity | 1, 42 | | 3.20 | 1.32 | 0.59 – 5.79 | 5.80 | 0.016 |
| SAV biomass | 1, 42 | | 2.90 | 0.96 | 1.00 – 4.79 | 8.97 | 0.003 |
| SAV biomass × SAV biomass | 1, 42 | | −0.80 | 0.23 | −1.24 – −0.36 | 12.74 | <0.001 |
| Shoreline emergent prevalence | 1, 42 | | 0.01 | 0.01 | −0.01 – 0.03 | 0.54 | 0.464 |
| pH | 1, 42 | | 2.23 | 0.54 | 1.18 – 3.28 | 17.30 | <0.001 |
| Dispersion | 1, 42 | | 2.28 | 0.55 | 1.93 – 4.15 | NA | NA |
The parameters included in this table were of primary interest with hypotheses. Parameters in bold were primary hypothesized variables of interest related to aquatic vegetation and the others were covariates of secondary interest and included to improve parameter estimates.
analysis of variance (*perm = 9999*) to assess the statistical significance of the overall RDA model, axes, and terms.
**Results**
**Amphipod densities and species co-occurrences**
Our surveyed wetlands comprised a large range of amphipod densities (0–7050 amphipods/m$^3$). Several wetlands included exceptionally high density (Table 1, Figs. 1 and 2); half of the wetlands had >500 amphipods/m$^3$ (per the study design). Of the 25 randomly selected
Fig. 3 The model-predicted densities of *Gammarus lacustris* in response to wetland vegetation diversity (Simpson diversity index) and submersed aquatic vegetation biomass (SAV biomass index). Shaded areas correspond to the prediction’s 95% confidence intervals while other model covariates were held constant at their means.
Fig. 4 The model-predicted densities of *Hyalella azteca* in response to wetland vegetation diversity (Simpson diversity index) and submersed aquatic vegetation biomass (SAV biomass index). Shaded areas correspond to the prediction’s 95% confidence intervals while other model covariates were held constant at their means.
wetlands, 8% had *G. lacustris* present but with relatively low densities (geometric mean: 37 *G. lacustris*/m$^3$). The *H. azteca* were present in 70% of the 25 randomly selected wetlands (geometric mean: 63 *H. azteca*/m$^3$), and 12% of those wetlands had relatively high density (i.e., > 500 *H. azteca*/m$^3$).
The three amphipod species (*G. lacustris*, *H. azteca*, and *Crangonyx* spp.) typically co-occurred in wetlands, but only one species was dominant. *Gammarus lacustris* densities were not correlated with either *Crangonyx* or *H. azteca* densities ($r = -0.06$, $r = -0.02$, respectively). *Crangonyx* and *H. azteca* densities were positively correlated ($r = 0.43$).
**Relationships among *Gammarus lacustris*, macrophytes, and wetland characteristics**
The *G. lacustris* model was predicted by the independent variables of Simpson diversity, SAV biomass, shoreline emergent prevalence, maximum water depth, wetland size, total P, and suspended sediment (Table 2). The *G. lacustris* model predictions fit the observed data well ($r = 0.54$, Online Appendix 2A). The most informative macrophyte diversity metric (Simpson’s *D*) had a strong, positive correlation with *G. lacustris* densities (Table 2, Fig. 3, Online Appendix 3B). The high-density *G. lacustris* wetlands always had a Simpson’s D > 0.80. Although we hypothesized SAV biomass and shoreline emerged vegetation would be positively correlated with *G. lacustris* densities, the model indicated a negatively weak correlation and no correlation, respectively. The covariates showed that *G. lacustris* responded positively to wetland maximum water depth and productivity metrics but negatively to wetland size (Table 2).
**Relationships among *Hyalella azteca*, macrophytes, and wetland characteristics**
The *H. azteca* model was predicted by the independent variables of Simpson diversity, SAV biomass, a quadratic term for SAV biomass, shoreline emergent prevalence, and pH (Table 3). The *H. azteca* regression model fit the observed data less well than the *G. lacustris* model, but the predicted values were correlated with the observed data ($r = 0.37$). *H. azteca* were positively correlated to Simpson’s diversity (Table 3, Fig. 4, Online Appendix 3D), but not as strongly as *G. lacustris* based on the parameter estimates. The high-density *H. azteca* wetlands had diversity-index values from $D = 0.5$ to 1.0. The *H. azteca* densities displayed a significant quadratic relationship with SAV biomass whereby densities were maximized at moderate SAV biomass values. Shoreline emerged prevalence was not a significant predictor variable. Only one informative covariate (pH) was included in the model, which was positively correlated with *H. azteca* densities (Table 3).
**Community analysis of amphipods and macrophytes**
We used redundancy analysis to examine the community composition of macrophytes to explore which species were most closely associated with amphipod abundance. The full community model was significant ($F_{1,38} = 1.82$, $p = 0.040$) as was the first axis ($F_{1,46} = 15.80$, $p = 0.043$). *Lemna trisulca* (LETR) along the first axis was a predictor of *G. lacustris* abundance ($F_{1,38} = 5.09$, $R^2 = 0.19$, $p = 0.001$) and *Myriophyllum sibiricum* (MYSI) was a predictor of *H. azteca* abundance ($F_{1,38} = 5.55$, $R^2 = 0.21$, $p = 0.005$).
Graphically, the redundancy analysis showed biologically significant relationships between macrophyte assemblages and amphipod abundance (Fig. 5). Most wetlands were
spread across ordination space (i.e., not clumped together on the graph), indicating that they had differing plant-community composition and amphipod abundances. The two amphipod species were not correlated and fell along two different ordination axes, indicating that the species often did not co-occur in the same wetlands and that each amphipod species were associated with different macrophyte assemblages. The *G. lacustris* was strongly associated with *L. trisulca* (LETR), which was positively correlated with SAV diversity and species richness but not evenness (Online Appendix 3B). The *H. azteca* was associated with macrophyte assemblages composed of predominately *Stuckenia pectinata* (STPE15), filamentous algae, *Potamogeton friesii* (POFR3), *Potamogeton zosteriformis* (POZO), and *M. sibiricum* (MYSI); these macrophyte species were also prevalent and had moderately high SAV biomass. Both amphipod species were negatively associated with high prevalence of *Typha* spp. (TYPHA) and the carnivorous plant, *Utricularia macrorhiza* (UTMA). *Chara* spp. (CHAR) and sometimes *Ceratophyllum demersum* (CEDE4) were
**Fig. 5** A triplot of the amphipod communities and aquatic vegetation communities at 49 wetlands (triangles) in the Prairie Pothole Region, Minnesota, USA. The amphipod community in this analysis included two species: *Hyalella azteca* and *Gammarus lacustris*. The species included in the ordination included the ten most prevalent macrophytes: *Typha* spp. (TYPHA), *Utricularia macrorhiza* (UTMA), *Lemma trisulca* (LETR), *Potamogeton zosteriformis* (POZO), *Myriophyllum sibiricum* (MYSI), *Potamogeton friesii* (POFR3), *Stuckenia pectinata* (STPE15), filamentous algae (ALGA; not speciated), *Ceratophyllum demersum* (CEDE4), and *Chara* spp. (CHAR). The ordination scaling and interpretations are based on correlations; therefore, the vectors at $<90^\circ$ angles are positively correlated, vectors at $90^\circ$ angles are uncorrelated/orthogonal, and vectors at $180^\circ$ are negatively correlated
dominant plants (SAV species richness = 1; biomass scores = 3–4), and neither amphipod species thrived in those conditions. The results of the redundancy analysis complemented the univariate regression models (Tables 2 and 3) without conflicting results, except the redundancy analysis indicated a negative association of *Typha* spp. (TYPHA) and amphipod densities (Fig. 5).
**Discussion**
We found that high densities of *G. lacustris* and *H. azteca* were positively associated with macrophyte taxonomic diversity, and *G. lacustris* were especially sensitive to macrophyte diversity and other wetland characteristics. The greatest amphipod densities were found in macrophyte assemblages composed of both cosmopolitan macrophytes (e.g., *S. pectinata* and filamentous algae) and less common macrophytes (e.g., *L. trisulca*). Both amphipod species had lower densities in wetlands with high cattail (*Typha* spp.) prevalence. Our results clearly showed strong, positive correlations among amphipods and several macrophyte metrics, but the causative relationships could only be speculated. The results indicated that amphipods could be an indicator and umbrella species for wetland plant diversity; macrophyte diversity provides habitat conditions that favor high amphipod densities; macrophytes and amphipods simply require similar wetland conditions (e.g., moderate water depths and semi-permanent hydrology); and that loss of macrophyte diversity could cascade to affect amphipod abundance due to habitat loss. Regardless of which causal mechanism(s) relate amphipods and macrophyte diversity, conservation actions that support either amphipod abundance or macrophyte diversity will likely aid the other taxa (with possible caveats described further herein). Specifically, amphipods as an umbrella species may also help conserve wetland biodiversity in semi-permanent and permanent wetlands. Likewise, a conservation strategy with a focus on aquatic macrophyte communities might concomitantly result in greater amphipod abundance.
**Amphipod species abundances and wetland relations differed**
*Hyalella azteca* was much more common and abundant than *G. lacustris*, which was also the case in other Prairie Pothole Region wetlands in recent past (Anteau and Afton 2008a). Densities of *H. azteca* were often three times greater than that of *G. lacustris*, which may be partially explained by the smaller body size of *H. azteca* that allows more occupation in the same space (Thomaz and Cunha 2010). *Hyalella* also have advantageous life-history traits such as greater reproductive capacity than *Gammarus* (Glazier 2014). Although *H. azteca* were more abundant, *G. lacustris* are also ecologically significant given their high density and large body size and biomass that is important for foraging water birds (Anteau and Afton 2006).
*Hyalella azteca* were tolerant to a wide range of wetland conditions, whereas *G. lacustris* had a narrower and more defined ecological niche (as indicated by the number of informative covariates in the models and model fits). This result corroborates findings of Anteau and Afton (2008a, b) that *H. azteca* were generally more widespread on the landscape. In our study, *G. lacustris* were more common in small wetlands (< 20 ha), were not found in average water depths < 100 cm and were positively related to wetland productivity measures like total P and turbidity. Previous work demonstrated fish are more common in large, permanent Prairie Pothole Region wetlands and that fish can negatively affect
amphipod abundance (Hanson and Butler 1994; Wiltermuth 2014; Janke 2016). Therefore, our significant results on wetland size and depth may either indicate increased carrying capacity for amphipods, or reflect the unmeasured, interactive effects of fish abundance more so than wetland size or depth independently. Note our study wetlands had typically $4 \times$ lower productivity (total P and turbidity) compared to other Prairie Pothole Region wetlands in Minnesota that were classified as a degraded “turbid state” (Larson et al. 2020b), so we do not know if *G. lacustris* declines after certain productivity thresholds of eutrophication. Our findings refined niches of *H. azteca* and *G. lacustris* in relation to macrophyte communities and showed *G. lacustris* had a narrow niche breadth and is likely an environmentally sensitive species to wetland factors such as macrophyte diversity and biomass, as well as wetland size, water depth, total P, and suspended sediments.
**Macrophyte biodiversity shapes the wetland that supports amphipods**
Our results showed that both amphipod species were affiliated with macrophyte diversity. We suspect macrophyte diversity is indicative of overall wetland condition and supports the “biodiversity ecosystem functioning” concept (Engelhardt and Ritchie 2002; Brisson et al. 2020). Ecosystem functions provided by macrophytes to amphipods may include nutrient turnover, carbon availability, structural habitat, and water purification (Carpenter and Lodge 1986). A previous study indicated positive associations of amphipod density and stands of *Potamogeton* spp. and *L. trisulca*, but not *Chara* spp. (Hanson 1990). Our results from 49 wetlands concurred (Fig. 5) with findings from Hanson (1990) and may hint at niche-differentiation or other mechanisms linking biodiversity and amphipods.
**SAV biomass**
*Hyalella azteca* densities were maximized at moderately high macrophyte biomass whereas *G. lacustris* densities were negatively associated with SAV biomass. Total macrophyte leaf surface area and complexity from leaf branching presumably support amphipods by providing places of attachment for shelter and feeding (Thomaz and Cunha 2010). More space provided by macrophyte abundance and leaf branching is a plausible reason that the smaller-bodied *H. azteca* were often found at higher densities than the larger-bodied *G. lacustris*. Although fish can also be attracted to macrophyte beds, and the SAV biomass and complexity can reduce fish foraging effectiveness (Thomaz and Cunha 2010) and could reduce predation. We suspect *G. lacustris* were negatively associated with SAV biomass because *G. lacustris* were more common in deep wetlands, which can have less SAV due to light limitations.
**Monocultures**
*Chara* spp. and *C. demersum* were species that often dominated in high biomass, and amphipods were not typically detected in those conditions (Fig. 5). These plant species were typically found in wetlands with species richness < 2 and high SAV biomass scores from 3 to 4. We speculate the negative associations among amphipods, *Chara* spp., and *C. demersum* are related to the strong affinity of amphipods to macrophyte diversity (Figs. 3 and 4) more than the plant biomass itself. First, amphipods consume a broad array of
aquatic plants, whereas most other herbivorous aquatic invertebrates consume only one or two plant species (Newman 1991). In near monocultures, the plants senesce at the same time of year, which could reduce the availability of detritus over a long overwintering season. In contrast, a staggered timing in macrophyte senescence and varying plant decay rates could provide an ongoing refuge and detrital food base for amphipods. Further, *Chara* spp. are often encrusted with ‘marl,’ which are carbonate compounds from hard water that are slow to decompose and release carbon for detritivores. Non-native species like *Potamogeton crispus* or *Myriophyllum spicatum* can reduce macrophyte diversity and can have exceptionally high biomass, so we speculate these common invasive plants could negatively affect amphipods.
**Typha × glauca**
The emergent vegetation in this study was predominately cattails (presumably the invasive hybrid *Typha × glauca*), which are ecologically important but can also encroach shallow wetlands which have strong, negative ecological effects (Bansal et al. 2019). We found a weak, negative association among *Typha*, macrophyte diversity, and amphipods (Fig. 5), but our sweep-net sampling technique via canoe was insufficient for capturing amphipods in the interior of dense *Typha* beds where amphipods may reside in high density (Christensen and Crumpton 2010). Wetlands with low to moderate *Typha* prevalence are usually larger basins with enough water depth to support *G. lacustris* and dynamic water levels that prevent *Typha* dominance. *Typha* dominance is often a symptom of multiple issues, including consolidation drainage and nutrient loading (Wiltermuth and Anteau 2016; Bansal et al. 2019). The ‘hemi-marsh’ of interspersed *Typha* and open water are also beneficial to an array of water birds that feed on *G. lacustris* (Murkin et al. 1997). Management of *Typha* dominance remains a high conservation priority and challenge in North America (Bansal et al. 2019; Larson et al. 2020a, b), but may benefit *H. azteca* that resides in shallow waters where *Typha* can dominate.
**Conservation strategy: using amphipods as indicators and umbrella species to protect diversity**
*Gammarus lacustris* and possibly *H. azteca* could be indicators and umbrella species in semi-permanent and permanent wetlands in the Prairie Pothole Region because (1) both species are easy to detect and enumerate (Fig. 1a–c), (2) *G. lacustris* are particularly sensitive to environmental conditions (Table 2; Anteau and Afton 2011), and (3) their conservation might extend to a suite of other species, like macrophyte biodiversity (Tables 2 and 3). However, amphipods would not be a suitable umbrella species for naturally ephemeral wetlands that frequently dry. An important trait in an umbrella species is that species conservation can improve management decisions. A separate structured decision making approach would be warranted to fully determine the ability for management to influence amphipod populations and protect macrophyte diversity (Bal et al. 2018). Here, we provide two examples of how amphipods could be used for systematic conservation planning and watershed restoration.
Amphipod distribution mapping could be a tool for conservation planning. The ease of detecting high densities of amphipods during early spring after ice-out (Fig. 1a–c) could allow for a feasible, landscape sampling campaign. Sampling amphipods is currently a
more efficient approach to indexing wetland quality than sampling macrophyte diversity or relative fish abundance. Amphipods are easy to identify and rapidly quantify in the field, thereby negating the need for costly sample preservation and laboratory quantification. In contrast, macrophyte surveys took our team about 2–5× longer in the field and required knowledge to identify many species. However, advances in remote sensing of submersed macrophyte diversity could reduce field sampling costs and increase access to larger landscapes in the future. Previous work showed that macroinvertebrates are indicator species because they are easy to measure compared to fish and can indicate fish absence (Schilling et al. 2009). A limitation of this study is we did not sample the wet meadow vegetation diversity, which can host many species; therefore, amphipods may or may not capture diversity alterations to the shallow marsh and wet meadow plant communities. Regardless, mapping the distribution of amphipods across the Prairie Pothole Region could help managers prioritize and conserve the remaining diverse, semi-permanent wetlands in this highly degraded landscape.
Amphipods could be an indicative metric for assessing conditions of the catchment and its terminal basins, which tend to have semi-permanent and permanent hydroperiods that amphipods favor (Anteau and Afton 2011, this study). Sustained amphipod populations are limited to basins with semi-permanent and permanent hydroperiods for overwinter survival, and such basins are typically found at the catchment terminal. Managing directly for amphipod success may be difficult, but restoration of suitable wetland types specific for amphipods could extend to improving catchment health. Hydrology of these basin types is strongly affected by land use and wetland drainage throughout the catchment (McCauley et al. 2015), and in turn, the hydrology affects connectivity and macroinvertebrate communities within these terminal basins (Wiltermuth 2014). Restoration of all wetland types and wetland complexes throughout a catchment can restore natural hydroperiods of the terminal basin (Anteau 2012), and thus support amphipods. Consolidation drainage also provides more permanent water that might be favorable to amphipods, but consolidated basins are also likely to support high abundances of fish and cattails that negatively affect amphipods (Wiltermuth 2014; Wiltermuth and Anteau 2016).
**Conservation strategy: managing aquatic plant diversity to provide habitat for high amphipod abundance**
Our results indicated that restoring and managing wetlands for macrophyte diversity can produce habitat suitable for amphipods to thrive in high densities. Wetland restorations are often successful at simultaneously restoring hydrology, vegetation cover, and biodiversity (Galatowitsch and van der Valk 1996a; Larson et al. 2020b). Prairie wetland restorations are particularly successful at restoring the diversity of the submergent and emergent plant communities (Galatowitsch and van der Valk 1996b), and our results showed amphipod densities were strongly correlated with diversity in these plant community types. In degraded or recently restored Prairie Pothole Region wetlands, management of related wetland factors such as nutrient loading, water depth, and fish abundance is sometimes feasible and often successful for promoting macrophyte abundance and diversity (Larson et al. 2020a). Wetlands with varying water levels over space and time promote water depth requirements for amphipods and predictable, diverse macrophyte communities (Larson et al. 2020b). Major changes to the Prairie Pothole Region landscape over the past century have stabilized the water levels of many wetlands and adversely affected water clarity, macrophytes, and macroinvertebrates (McCauley et al. 2015; Wiltermuth and Anteau 2016;
Water level management (through intentional drawdowns) represents a strategy to mimic ecosystem processes that would otherwise remove nuisance fish, increase water quality, increase macrophyte diversity and abundance, and attract waterfowl (Hanson and Butler 1994; Larson et al. 2020a).
Our results indicated low water depths of < 100 cm during a drawdown may preclude high densities of *G. lacustris*, although the survival, growth, reproduction, and recruitment of amphipods following drawdown would warrant more study. Given the sheer number and small size of these wetlands, a possible approach for promoting variable water levels and deeper refuges for amphipod overwintering may be restoration of wetland complexes that include several hydrologic regimes. The careful application of an ecosystem-functioning based approach may preserve or restore dynamic wetland hydrology (Euliss et al. 2008), remove nuisance fish, increase macrophyte diversity, and benefit amphipods in this heavily modified landscape.
A habitat conservation strategy assumes the amphipods are not dispersal limited; if the correct habitat conditions are available (such as semi-permanent water and diverse macrophyte communities), then amphipods would relocate and establish successfully. Amphipods are likely dispersal limited because they do not have a life stage capable of flight, unlike most wetland invertebrates. Instead, amphipod dispersal is limited to transport by other organisms or flowing water and therefore dispersal depends on wetland complexes that have adequate proximity and some hydrologic connectivity. Careful evaluation of purposeful reintroduction by translocating amphipods to restored wetlands may be considered (Larson et al. 2018), and our results suggest suitable wetland habitat conditions for amphipod translocation and stocking.
**Conclusions**
A probable cause of amphipod and scaup abundance declines may be attributed to a loss of wetland quantity and quality (Austin et al. 2000; Anteau and Afton 2006). Using amphipods as an umbrella species may be useful for managers in identifying and prioritizing conservation for biodiversity across the Prairie Pothole Region. Likewise, the preservation and restoration of amphipod abundance may be achieved through explicit conservation and management of macrophyte diversity. The seemingly disparate strategies of conserving a single taxon (e.g., amphipods) and biodiversity (e.g., macrophyte communities) can be compatible and complementary.
**Supplementary Information** The online version contains supplementary material available at https://doi.org/10.1007/s10531-022-02379-9.
**Acknowledgements** We thank N. Hansel-Welch, J. Boucher, P. Borash, and D. Perleberg for suggestions on protocol development and teaching plant identification skills. We are especially grateful to C. Isaacson and J. Carleen for protocol development, and to A. Medina, K. Cross, and M. Bieganek for helping collect and process data. Thank you to our reviewers J. Delaney, M. Anderson, J. Sauer, M. Gaikowski, and two anonymous journal reviewers for improving this manuscript.
**Author contributions** All authors have made significant contributions to this work. DML designed research, analyzed data, and wrote the manuscript; DD designed research, collected data, analyzed data; MA designed research, analyzed data, wrote the manuscript; BK designed research, collected data, analyzed data; MF designed research, analyzed data; ES designed research, edited manuscript; BT designed research, wrote the manuscript.
Funding Funding was provided by the Minnesota Environment and Natural Resources Trust Fund, the Minnesota Department of Natural Resources, U.S. Geological Survey, and Augsburg University.
Data availability Any use of trade, firm, or product names is for descriptive purposes only and does not imply endorsement by the U.S. Government. The peer-reviewed, analysis-ready dataset is available for public download using this citation: Larson, D.M., DeJong, D., Anteau, M.J., Fitzpatrick, M., Keith, B., Schilling, E.G., and Thoel, B., 2021, Macrophyte and amphipod surveys in prairie wetlands of Minnesota in year 2019: U.S. Geological Survey data release, https://doi.org/10.5066/P9INBET3.
Code availability Any use of trade, firm, or product names is for descriptive purposes only and does not imply endorsement by the U.S. Government. The peer-reviewed, analysis-ready dataset is available for public download using this citation: Larson, D.M., DeJong, D., Anteau, M.J., Fitzpatrick, M., Keith, B., Schilling, E.G., and Thoel, B., 2021, Macrophyte and amphipod surveys in prairie wetlands of Minnesota in year 2019: U.S. Geological Survey data release, https://doi.org/10.5066/P9INBET3.
Material availability Any use of trade, firm, or product names is for descriptive purposes only and does not imply endorsement by the U.S. Government. The peer-reviewed, analysis-ready dataset is available for public download using this citation: Larson, D.M., DeJong, D., Anteau, M.J., Fitzpatrick, M., Keith, B., Schilling, E.G., and Thoel, B., 2021, Macrophyte and amphipod surveys in prairie wetlands of Minnesota in year 2019: U.S. Geological Survey data release, https://doi.org/10.5066/P9INBET3.
Declarations
Conflict of interest The author declare that they have no conflict of interest.
Ethical approval Not applicable.
Consent to participate Not applicable.
Consent for publication Not applicable.
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**Publisher’s Note** Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.
Danelle M. Larson\(^1\) \(\bullet\) Demey DeJong\(^2\) \(\bullet\) Michael J. Anteau\(^3\) \(\bullet\) Megan J. Fitzpatrick\(^4\) \(\bullet\) Breanna Keith\(^5\) \(\bullet\) Emily G. Schilling\(^2\) \(\bullet\) Barry Thoele\(^6\)
Demey DeJong
email@example.com
Michael J. Anteau
firstname.lastname@example.org
Megan J. Fitzpatrick
email@example.com
Breanna Keith
firstname.lastname@example.org
Emily G. Schilling
email@example.com
Barry Thoele
firstname.lastname@example.org
\(^1\) U.S. Geological Survey, Upper Midwest Environmental Sciences Center, 2630 Fanta Reed Road, La Crosse, WI 54603, USA
\(^2\) Augsburg University, 2211 Riverside Avenue, Minneapolis, MN 55454, USA
\(^3\) U.S. Geological Survey, Northern Prairie Wildlife Research Center, 8711 37th Street SE, Jamestown, ND 58401, USA
\(^4\) Wetland Wildlife Population and Research Group, Minnesota DNR, 102 23rd St. NE, Bemidji, MN 56601, USA
\(^5\) Bemidji State University, 1500 Birchmont Dr. NE, Bemidji, MN 56601, USA
\(^6\) Lincoln Bait, LCC, 48301 County 21, Staples, MN, USA |
10 STEPS TO Organizing Your Holiday Promotion for Maximum Results
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Introduction | 01 |
| Your Holiday Promotion Game Plan | 03 |
| Step 1: Reflect on Past Holidays | 06 |
| Step 2: Set a Goal for Your Promotion | 08 |
| Step 3: Choose a Promotion to Achieve Your Goal | 09 |
| Step 4: Identify Your Target Market | 10 |
| Step 5: Position Your Offer | 12 |
| Step 6: Segment Your Email List | 14 |
| Step 7: Tease Your Promotion | 16 |
| Step 8: Schedule and Send Your Promotional Email Series | 18 |
| Step 9: Follow Up with Another Offer | 21 |
| Step 10: Measure Your Success | 23 |
| 3 Small Business Holiday Promotions | 24 |
| How to Cash in on a Big Black Friday Deal | 24 |
| How to Prime Your Email List for a Holiday Promotion | 26 |
| How to Prime Your Email List for a Holiday Promotion | 27 |
| Conclusion | 29 |
Think back to last year’s holiday season. Were you completely relaxed, with no worries about your life or business, and enjoying more free time than you knew what to do with?
Yeah, didn’t think so. What we call the most wonderful time of the year is also the most stressful. In a study by the American Psychological Association, 85 percent of Americans said they’re more stressed about their lack of time during the holidays than throughout the rest of the year.
The season may be even more stressful for people trying to balance the typical demands of the holidays—shopping, traveling, entertaining, staying on budget—with the never-ending challenges of running a business.
If you own or manage a small business, the thought of running a special holiday promotion might just sound like more work and stress. But it doesn’t have to be—not when you start planning early with a game plan for getting organized, and
not when you leverage technology like customer relationship management (CRM) and automation tools to make your marketing efforts more efficient and effective.
With an organized plan and the right tools, your holiday marketing efforts can help connect you with customers and boost your bottom line.
In this guide, we’ll share a step-by-step plan for organizing a holiday promotion, along with stories from three small businesses that boosted sales through well-planned holiday marketing campaigns. Read on to learn how to make this season your least stressful, most successful yet.
Your Holiday Promotion Game Plan
Holiday shopping has become synonymous with deals and specials, especially during the promotional bonanza that is the weekend after Thanksgiving. According to the National Retail Federation, 42 percent of Americans shopped online and in stores that weekend. And by the end of the season, they had spent a whopping $626 billion.
If you sell toys or Christmas decorations, you’re probably not hurting for business this time of year. But even if your products and services don’t obviously relate to the season, you can still grow sales with a holiday promotion. This time of year, consumers have been conditioned to look for and react to offers from businesses. They’re ready to spend—so give them a reason to buy from you instead of your competitors.
This 10-step plan helps you get organized for the holidays, walking you through choosing a promotion that’s attractive both for your customers and your bottom line, then promoting
This time of year, consumers have been conditioned to look for and react to offers from businesses.
it through a series of emails. Email marketing—considered by digital marketers across companies to be the most effective marketing tactic—is particularly important during the holidays when consumers are primed to hear about promotions. In 2015, 70 percent of consumers looking for deals learned about them via email, according to research from Magnetic and Ipsos Connect.
The plan assumes you’ll start organizing your holiday campaign in October and early November before launching it the week of Thanksgiving for the trifecta of shopping holidays: Black Friday, Small Business Saturday, and Cyber Monday.
(Start early: According to a study by Nielsen, nearly half of Americans started their 2015 holiday shopping before November.) However, you could also use this campaign later in the holiday season—or for a different time of year entirely.
To use this plan, you need only a customer email list. But you’ll be able to run this promotion much more efficiently if you have a CRM to organize and segment your customer data, as well as a marketing automation tool that allows you to automatically trigger emails based on customer behavior. (Infusionsoft combines both tools.)
Here’s how to get started.
Step 1: Reflect on Past Holidays
Family feuds and last minute shopping aside, what happened last holiday season? Before you jump into planning for this season, consider how you could improve on last year’s efforts.
Take a look at your sales figures, asking these questions:
- How much revenue did your business generate in November and December? How do those figures compare to other months?
- Which products or services were the best and worst sellers?
- During which days and weeks were your sales highest?
- Did you sell more to new customers or people who had purchased from you before?
- What was your profit during the holiday season, considering the cost of acquiring those customers through advertising and other expenses?
Dig up holiday emails you sent, looking at:
- What subject lines and messages did you use in your emails?
- When did you send the emails?
- What was the open rate and click-thru rate for each email?
- Who did you send the emails to: prospects, customers, people who had purchased specific products or services—or all of the above?
If you’re struggling to answer these questions, a CRM, email marketing provider, and e-commerce solution can give you the data you need to inform your strategy.
A CRM stores and organizes customer information so you can keep track of customers’ interests and interactions with your business. An email marketing provider measures which emails were most effective, while an e-commerce solution tracks orders and sales figures. When all three systems are combined, as they are in Infusionsoft, you know what customers purchased and which emails they clicked, allowing you to create the offers and emails that resonate most.
Need help making sense of your email metrics? Use the Infusionsoft Email Campaign Performance Tool to analyze metrics like your open rate, click-thru rate, cost per version, and more.
Step 2: Set a Goal for Your Promotion
For a consumer, a sale’s a sale. For a business, a sale or special offer is a strategy.
Before choosing a holiday promotion, you need an objective. Are you trying to gain the awareness and interest of new customers? Launch a new product or service? Boost sales of something that’s relevant for the holidays? Get rid of inventory by the end of the year?
Considering the numbers you crunched in Step 1, think about what the holiday promotion should do for your business (besides make money, of course).
Step 3: Choose a Promotion to Achieve Your Goal
Once you set a goal, you can choose a promotion that helps you achieve it. A “buy one, get one free” promotion would help you clear inventory if that’s your objective, while a tripwire—a low-dollar offer that consumers don’t hesitate to act on—could be the key to landing new customers.
For an example, say you run a salon and spa, and the spa side of the business is slow during the holidays. That problem won’t necessarily be solved if you offer a Black Friday discount on all services. Customers could take advantage of the discount on beauty services during a time when the salon is booked solid with women primping for holiday parties. You’ll make less than you would have without the promotion.
Instead, you could use Black Friday to offer a discounted gift card for spa services (like $25 off a $100 gift card purchase), stipulating that it expires at the end of January. That way, you’re driving sales of spa services in December and January, when fewer massages and facials are booked.
Step 4: Identify Your Target Market
Now you have an idea for a holiday promotion that’s appealing to consumers and beneficial for your business. So to whom are you promoting?
The answer shouldn’t be “anyone who will buy.” Promotions—and any marketing efforts, for that matter—work best when you can focus your efforts and messages on a target customer with specific needs and interests.
Back to our spa example: Anyone, man or woman, could purchase the holiday gift card. But who is more likely to buy: A man purchasing a gift for a woman, or a woman buying for herself?
Before you decide, consider your sales data and what you know about your customers. You might assume the man is your target customer for the gift card because men are, well, not always the most creative gift givers.
But maybe an analysis of your customer base shows that you have far more women than men on your email list. Then you
consider the **psychographics** of your customers: the attitudes, challenges, habits, and emotions that drive purchase decisions. You know that your female customers love getting a massage or facial, but they often feel guilty spending their limited time and money on a spa day—especially during the busy holiday season.
These factors considered, you decide your target customer for this holiday promotion isn’t the male gift giver. It’s the woman who needs a reason to treat herself during the holidays.
Step 5: Position Your Offer
Once you’ve identified a holiday promotion and a target customer, it’s time to consider what you’ll say in marketing that offer to that customer.
Think about the following questions as you position your promotion:
- What’s the biggest problem that this offer solves for your target customer?
- How does your offer solve the problem?
- What benefits does the offer provide for your target customer?
- With regards to the problem, what are the most important features of your product or service?
- What makes it better than a competitor’s solution?
With the answers to these questions, you have a product positioning statement:
[Your product/service] allows [your target customer] to enjoy [these benefits and solutions] using these [features].
For example: The spa gift card allows a busy woman who’s stressed about the holidays to enjoy relaxation and time to herself by booking a massage or facial at a discount.
With that kind of messaging, you’re more likely to connect with your target customer’s needs and emotions than you would if you simply advertised a discount.
Step 6: Segment Your Email List
By deciding that you’re promoting the spa gift card deal to women and not men, you already started segmenting your customer list.
Segmentation—the act of dividing your customers into smaller, similar groups based on factors like gender, location, and purchase history—helps you create more targeted marketing messages that stand out amid the holiday hoopla. If you’re sending emails that feel personalized and relevant, customers are more likely to open them (and less likely to unsubscribe from your list).
While you can segment your email list manually, segmentation is much more organized and efficient with the use of technology. Automation software can automatically tag...
customers based on factors like purchase history and store that information in your CRM. With these tools, you can search your CRM for a customer segment (like customers who have previously purchased spa services) and send emails to only that group.
Segmentation also helps you avoid sending emails that would be inappropriate based on customer demographics or purchase history. For example, your spa and salon could use segmentation to exclude anyone who recently purchased a spa gift card, as well as anyone who already paid for a spa service in December and January. No one likes finding out they could have saved money they already spent.
To further personalize the messaging behind your holiday promotion, you could create additional customer segments and send similar yet different emails to each group. Frequent spa customers get a reward for their loyalty, customers who haven’t purchased recently get an incentive for coming back, and those who have never visited the spa get a special offer to try it for the first time.
For an in-depth look at segmentation, check out this guide, Take Your CRM Contact List to the Next Level with Segmentation.
Step 7: Tease Your Promotion
When you’re hosting a holiday promotion, you have to, well, promote it—even before your offer is valid.
More emails are sent on the day before Thanksgiving, Black Friday, and Cyber Monday than any other days throughout the year, according to research by Experian Marketing Services. For a better shot at standing out in the inbox, start promoting your offer before there’s even a deal to be had.
The week before Thanksgiving, send an email advising customers to be on the lookout for your offer next week. Share the news on your social channels, too, encouraging followers to opt-in to your email list to be notified when the offer is live.
If you use automation software, you can use the teaser email to create a segment of customers who are especially interested in your promotion. Offer the opportunity for customers to be added to an early notification list, which entitles them to a
24-hour head start on your promotion. Software automatically tags the customers who click on the email link for the early notification list, allowing you to later share the promo code or link for your offer with only those customers.
Now you have those customers’ permission to contact them more frequently and aggressively about your promotion—a strategy that can be particularly effective if you’re selling a limited number of items. Later in this guide, you’ll see how Luc Stokes at Degree33 Surfboards uses this strategy to drive sales over Thanksgiving weekend.
Step 8: Schedule and Send Your Promotional Email Series
The week of Thanksgiving, consumers will be bombarded with dozens (if not hundreds) of holiday deals via email, TV, social media, radio, and more. A single email about your holiday promotion probably isn’t going to cut it.
Instead, plan a three-email series that launches on Black Friday and continues through the weekend, potentially into Cyber Monday. Each email should convey an increasing sense of urgency as the countdown on your offer winds down.
For example, use subject lines like these:
Email No. 1: Holiday sale for three days only!
Holiday Sale for three days only!
Email No. 2: Get [offer] now before it’s gone!
Email No. 3: Today is the last day for [promotion]!
Automation software will help you manage the promotion in a more organized and efficient way, especially if you’re sending personalized messages to different segments of your customer base (as explored in Step 6). With software, you can schedule
each email to be sent on a specific day and time, ensuring you don’t have to interrupt holiday family activities with email prep.
Software also comes into play in tracking customer purchases. If a customer takes you up on the offer after receiving the first email, you don’t want to annoy them with subsequent messages about something they already bought. You can build an automated sequence that ensures customers who purchased your offer are removed from the email list while you continue to follow up with those who haven’t taken action.
Step 9: Follow Up with Another Offer
Thanksgiving weekend may be the busiest time to buy, but it’s still only the beginning of the holiday shopping season. In 2015, about **90 percent** of consumers told the National Retail Federation that their holiday shopping lists weren’t complete as of December 15.
To keep up the holiday sales momentum, look to your best customers: the ones you already have. People who have already purchased from you are inherently sold on your business and more likely to buy again. The probability of selling to an existing customer is **60 to 70 percent**, compared with 5 to 20 percent for a new prospect, according to the book "Marketing Metrics." Plus, considering the money and effort it takes to win over a new customer, marketing to repeat customers is more cost-effective, too.
In December, send another offer to the customers who took advantage of your first promotion. It could be an upsell that builds on the previous promotion, a cross-sell of a
complementary product or service, or simply a thank you gift, like a promo code or gift card to be used on the next purchase.
Another idea: While customers are in the mood to give (and to receive gifts) this season, offer incentives for customers to refer a friend to your company. Using automation software, you can send an email to existing customers that directs them to a web form. When a customer enters a friend’s email address, both parties receive a promo code for an offer, like $20 off their next purchases.
With referrals, everyone gets a gift: Customers and their friends receive a little holiday cheer, and you gain more contacts for your email list. (But be sure to ask new contacts to officially opt-in to your communications so they don’t treat you like a spammer.)
Learn more ways to keep customers coming back for more in this guide, Repeating History: Small Business Strategies for Earning Repeat Sales and Customer Loyalty.
Step 10: Measure Your Success
When all the gifts are unwrapped and the fridge is devoid of leftovers, the holiday season still isn’t over just yet. While the season is fresh in your mind, dedicate time to reviewing the results of your holiday promotion.
Revisit the questions from Step 1 about your sales and email metrics, recording notes you can reference to improve on your next promotion. If the stats aren’t as impressive as you’d hoped, that’s OK: Marketing is essentially one big trial-and-error experiment, and even the most successful marketers are continually measuring and optimizing their campaigns. And there’s always next year—or Valentine’s Day, only 45 days away.
3 Small Business Holiday Promotions
Big-box stores aren’t the only pros when it comes to holiday promotions. Here are three stories from small businesses that boosted holiday sales with promotions that stood out against the competition.
How to Cash in on a Big Black Friday Deal
Luc Stokes, founder and president, Degree33 Surfboards
San Diego, California
The same strategy that helps big-box stores sell electronics also works on handmade surfboards, Luc Stokes has found. For the past several years, Stokes has offered Black Friday discounts on Degree33 surfboards, finding that the Thanksgiving-weekend sale suits the mindset of his customers.
“They’re mentally in a position of, ‘This is when I’m going to buy whatever I’m going to buy,’” Stokes said. “I’m going to buy my microwave, my Blu-ray player—oh, there’s also a sale on surfboards.”
And like the big-box stores, Stokes starts hyping the sale early. Two weeks before Black Friday, Stokes uses Infusionsoft to ask all of his contacts whether they’d like to join an early notification list for Black Friday details. By joining the list, customers also get access to the sale four hours earlier than the general public. When customers opt-in by clicking a link, the software automatically tags them appropriately, allowing Stokes to deliver on the promotional emails they asked for.
Over the course of Thanksgiving week and weekend, the early birds receive about twice as many promotional emails as the contacts who didn’t sign up. From Black Friday through the weekend, Stokes sends a series of increasingly urgent, automated emails about the promotion: $100 off a purchase (the average sale is $550). The same offer, previously unadvertised, is offered on Cyber Monday as a last-minute bonus.
By the end of the four-day promotion, Degree33 typically brings in more than $150,000 in sales. And, it turns out, the early birds caught (or bought) the worms: Stokes estimates that 80 percent of weekend sales stemmed from the early notification list.
How to Take Advantage of the Holidays as a Non-Holiday Business
Corey House, founder and owner, F.I.T. Strength & Conditioning
Albany, New York
The holiday season wouldn’t seem like the time for Corey House to sell his most-expensive offering: a one-year membership to his fitness training facility, F.I.T. Strength & Conditioning. Over the holidays, people buy for others more than for themselves—and they tend to eat more than they exercise. But House found that timing annual membership offers to New Year’s resolutions wasn’t effective, either: After weeks of spending on gifts, customers balked at the cost of nearly $2,000.
Instead, House began promoting membership deals over Thanksgiving weekend, before the full holiday season left customers feeling spent. “Once they’re in holiday mode, they’re not going to really care about buying a fitness membership,” he said. “They’re more centered around family.”
Using Infusionsoft to send automated emails, House offered a one-month training discount of $200 on Black Friday. On Cyber Monday, he advertised a 12-month membership with three free months for $1,764.
**The results:** More than $20,000 in sales—not bad for campaigns that House estimated required 30 minutes of work.
For Thanksgiving weekend, Stephanie Soebbing plans not just one holiday promotion but five of them. From Thanksgiving Day to Cyber Monday, Quilt Addicts Anonymous offers a flash sale on a different quilting kit or pattern, using email to promote the deal of the day.
When she launched the promotion for the first time in 2015, Soebbing found that a customer who bought the first day would often buy again the next.
“By the end of the weekend,” she said, “I had hardly any inventory.”
Thanks to the promotions, Soebbing achieved her goal of clearing older products that hadn’t been selling—and brought in 11 percent of her annual online sales in a single weekend. If the same percentage holds this year, her weekend sales could top $10,000.
The email flash sales wouldn’t work, of course, if Soebbing didn’t have anyone to send emails to. She attributes the success of the holiday promotion—and her business—to her email list of 34,000 subscribers, cultivated from years of sending helpful content and free resources.
In 2014, Quilt Addicts Anonymous was Soebbing’s hobby: a blog where she could expand her quilting lessons beyond the five students who had signed up for her class at a local quilt shop. The blog evolved into a business after the success of a Block of the Month program, in which participants received month-by-month directions for sewing a quilt. By the end of the year, more than 12,000 people had downloaded her free block patterns and tutorials.
In the past year, the business has grown 240 percent as Soebbing quit her day job at an ad agency to work full-time on growing Quilt Addicts Anonymous. The growth has allowed Soebbing to hire an assistant and envision the business someday supporting her husband and two-year-old daughter.
But while Soebbing focuses on growing revenue by selling more quilting kits and patterns, two-thirds of her email content still centers around the original purpose of Quilt Addicts Anonymous: quilting education. She sends a new tutorial every Monday and a podcast every Wednesday before introducing a product for sale on Fridays.
The mix of content and promotional emails seems to work: Email drives 84 percent of Quilt Addicts Anonymous sales, with 22 percent originating from upsell offers sent automatically via Infusionsoft. With content preceding it, the product offer email seems less about making sales and more about introducing materials needed for Soebbing’s quilting tutorials.
“Anytime you can teach somebody how to do something that involves your product—yeah, you’re selling, but you’re not really selling,” Soebbing said. “If you keep that balance between content and sales, I think people are more likely to open your sales emails.”
Conclusion
Big-box stores aren’t the only game in town when it comes to holiday promotions. Small business owners can also take advantage of the year’s busiest time to buy—and without sacrificing too much of their already-limited time and resources.
A successful holiday promotion starts with planning objectives, a target market, and messaging, and ends with launching a promotional email series—and follow-up offer, too. Getting organized early means less stress later, especially when you leverage technology to help you plan and execute your promotion. CRM and marketing automation tools help you organize your customer information, measure the effectiveness of your promotion, and reduce the time you spend on manual tasks.
And as a bonus: “Holiday” doesn’t have to refer only to events in November and December. The plan behind this promotion can be repurposed for other occasions throughout the year, whether it’s Valentine’s Day, Halloween or your company’s anniversary. And you can use a similar promotion next November and December, too.
Amy Saunders is a content creator at Infusionsoft, where she writes content that inspires and empowers small business owners. Writing about business brings Amy’s work full circle: She began her career as a business reporter at The Columbus Dispatch in Ohio before becoming a features writer. After more than six years there, she moved to Phoenix, where she was an editor at a content marketing agency before joining Infusionsoft.
As a lifelong Midwesterner, Amy promises to never take Arizona weather for granted and spends her free time riding horses, playing tennis and hiking in the sun.
Follow her on Twitter @amyksaunders
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Stabilix Underwriting Framework & CloudEx Platform
Copyright 2014 Stabilix® Corporation. All Rights Reserved.
Introduction
Stabilix® Underwriting Framework is a highly adaptable XML based J2EE compliant software platform built on the Stabilix’s business process automation (BPA) suite, code named CloudEx. CloudEx is designed to carryout a wide variety of business processes specific to the insurance domain.
The Underwriting Framework provides a scalable and configurable solution for defining, capturing and deploying insurance applications over the web. The Framework will also automate the underwriting business process of insurance applications. The tool is designed in Service Oriented Architecture (SOA) that allows seamless integration with external applications.
The Underwriting Framework has an intuitive process language to express business processes graphically for tasks, asynchronous wait states for communication, timers, automated actions, etc. The Underwriting Framework has minimal dependencies, and is designed to be used in large enterprises where extreme throughput and high availability are crucial.
The Underwriting Framework can be configured with any database and it can be deployed on any application server.
Key Features and Benefits
- Includes XML based Orbeon presentation framework. Supports multiple products, version and state specific changes.
- Includes full support for J2EE Web Services and the Service Oriented Architecture (SOA) based on XMLRPC.
- Contains workflow solution based on open source workflow solution JBPM. Supports integration with organizational user information systems like LDAP and Active directory.
- Provides a workflow client interface and administrative panel to manage workflow incidents.
- Provides a loosely coupled design-Workflow, Rules Engine and other Framework components are designed so that all are independent of each other.
- Provides a Rules Engine to manage business rules within the Underwriting Framework.
Workflow Graphical Process Designer
Underwriting workflow business processes can be designed using the graphical designer tool. The graphical designer tool includes support for both the tasks of business analyst and the technical developer, thus enabling a smooth transition from business process modeling to practical implementation.
User Integration
The workflow integrates with any company directory that contains users and other organizational information. The organization information can be imported to JBPM identity component from LDAP or Active Directory. The identity component model can be stored, either as an XML document or within relational data model.
Workflow Client
Underwriting Framework serves the following purposes:
→ As central user interface for interacting with runtime tasks generated by process executions
→ As administration and monitoring console that allows to inspect and manipulate runtime instances
→ The client provides a way to integrate with external applications
Sample implementation of a workflow based on Stabilix® Underwriting Framework
Stablix Underwriting Framework
Start
Step 1
Web App?
Yes
No
Step 2
Quick Entry
Step 3
Pre-VeriFication
Step 4
Auto Approve Rules Evaluation
Step 5
Approved
No
Step 6
Decline Rules Evaluation
Yes
Step 7
(Referral?)
Step 8
New Business
Step 9
NB Req. Open?
Field Queue
No
Yes
Step 10
NB Letter
Step 11
Medical Verification
Step 12
Underwriting
Step 13
UIW Res. Open?
Field Queue
No
Yes
Step 14
UIW Letter
Step 15
Final Action
Step 16
APPROVE? ELT?
No
Yes
Step 17
PHD?
DCL / NTR / WTH
Step 18
Final Hold
Step 19
Decline Letter
Step 20
End
Copyright © 2014 Stablix® Corporation
StabiliX® Underwriting Framework uses JBPM as the core workflow engine. The process definition is written in JBPM process definition language (JPDL). The process definition represents a typical Underwriting business process scenario. The definition is composed of business steps (nodes) and transitions. Every node seen in the graph, is of a specific type. The users have the option of defining different types of process definitions. For example, the process definition could be an interactive step such as new business, an automated step like letter generation, or a rule engine process like auto decline or auto approve. A process definition has exactly one start and end state.
**About CloudEx**
StabiliX® Underwriting Framework is built on our business process automation (BPA) suite, code named CloudEx (Flexible Extensible Logical Infrastructure with XML). CloudEx is a software development and integration platform based on Open System computing standards. Whatever you need incremental automation, major overhaul, or enterprise-wide integration, CloudEx can help by making it easy to connect people, information and applications in just the right combination for your business.
CloudEx provides the tools to rapidly integrate sophisticated process management into business operations and applications. It models, extends, configures, and automates business processes. The software platform is a portfolio of integrated yet highly modular solutions for service automation, analytics and enterprise information integration.
CloudEx enables all constituents of an organization to use personalized applications based on roles, contexts, actions, locations, preferences and workflow collaboration needs. The software platform provides a composite infrastructure & application framework with advanced tooling for flexible, SOA-based solutions, as well as scalability required by any size organization. CloudEx derives its power from the highly integrated yet modular set of components and can be used to jumpstart enterprise web application development.
The promise of open systems is faster and more economical development of high-quality systems that are technologically current. CloudEx is built on several open source platforms while using the open system leverage of a sound baseline application, standards-based framework of functionality and interfaces.
CloudEx architecture includes two major sets of components (i) enterprise infrastructure services and, (ii) integrated set of enterprise application modules. Customer specific application modules can be built on top of this component stack. The component structure of CloudEx is illustrated below.
CloudEx Infrastructure components provide all the necessary plumbing required to quickly build and rollout a Java EE web application.
The core components include:
- Core Web application components for data persistence and caching
- Internationalization and localization API
- Highly flexible and advanced security API
- MVC based presentation framework built on top of Struts2
- Ajax based UI components with built-in security and internationalization support
- An workflow engine on which event management application module is built
- An administration console for all Infrastructure features
- Hibernate for data persistence
CloudEx application modules provide prebuilt common application modules required in large enterprise projects. These application modules are built on top of CloudEx infrastructure components. All these application modules are highly integrated and can also be easily integrated to the application being built.
CloudEx application modules include,
- An integrated e-Forms module which enables quick Web deployment of manual business processes (paper forms to electronic forms conversion)
- An integrated event management module built on top of workflow system
- Document management module which can be integrated with an enterprise file storage system
- A module for campaign creation, execution and result analysis
- A module for survey creation, execution and result analysis
- Contact management system
Enterprise Web applications can be quickly built using the above set of prebuilt application components.
**CloudEx Infrastructure Services**
CloudEx Infrastructure services are a set of components built to provide common Java EE enterprise application needs. This is a highly integrated yet modular set of components built on a layered architecture as shown below.
**Key Features and Benefits**
*CloudEx Presentation Framework:*
- Integrated security and internationalization support
- Support for high level UI widgets (CloudEx UI widgets)
- Model-View-Controller (MVC) architecture
- Support for multiple view components (JSP, FreeMarker, Velocity, etc.)
- Interceptor component which promotes SOA design
**CloudEx Presentation Framework**
CloudEx Presentation Framework is built on top of the Struts2 open source Web application framework. Application screens can be quickly built using CloudEx Presentation Framework and CloudEx UI widgets.
CloudEx Presentation Framework is fully integrated with core platform features and supports multiple view technologies. It also enforces a clean separation of Model, View and Controller (MVC) elements. Application UI built using CloudEx Presentation Framework can be easily customized (using CSS style sheets).
CloudEx provides internationalization support “out of the box”. All UI components in CloudEx has built-in i18n support and includes labels, messages, dates, currency format, page layout and images.
CloudEx provides an advanced security framework which is used across all the CloudEx modules. CloudEx security framework is a very flexible identity and access management system. The security infrastructure is designed to minimize administrative effort in security configuration.
CloudEx security can also integrate with enterprise authentication systems such as LDAP. It can also easily be customized to model an existing enterprise organization hierarchy.
CloudEx UI components are integrated with core infrastructure services and hence have built-in security and internationalization features. CloudEx also provides a set of high level UI widgets to speed up application development.
CloudEx UI widgets have a uniform API structure and are easy to learn and implement. Appearance of UI components can be easily customized using predefined CSS style sheets. They can also be configured for optimum usage of memory and performance.
Following diagram shows a UI widget (WebTable) used in CloudEx user administration,
| Name | User Name | Created by | Created On | Status |
|----------|-------------|--------------------|---------------|--------|
| subadmin1| subadmin1 | corporate-profile-user | 14/09/2008 | Blocked|
| adminuser| adminuser | fabiuser | 31/05/2008 | Active |
| subadmin1| subadmin1 | corporate-profile-user | 14/08/2008 | Active |
| sub admin2| sub admin2 | corporate-profile-user | 14/08/2008 | Active |
View Details
Edit
Block
CloudEx Application Modules
Following diagram shows various application modules available as part of the CloudEx product.
**Key Features and Benefits**
**CloudEx e-Forms:**
- Drag & drop screen design using IBM Forms Designer
- Integrated with Document management system and Event management system
- Can be extended using custom UI components
**Key Features and Benefits**
**CloudEx Event Management Module:**
- Case management including incident/complaint management
- Activities/Task management
- Reporting and analysis
- Integration with Knowledge base of Document management system
- Integration with Contact management system
**Key Features and Benefits**
**CloudEx DMS:**
- Provides file management and Knowledge base management
- Document version management and categorization
- Advanced keyword based document search
- Integration with document repository systems such as FileNet
- Provides easy integration with other application modules
**CloudEx E-Forms support**
CloudEx enables quick migration of existing paper based processes to web based workflow based processes using e-Forms and Event management system. Using e-Forms designer, existing paper forms can be quickly converted to electronic forms. CloudEx can deploy these e-Forms as Web based data capture screens and can start a workflow based on the captured data.
CloudEx e-Forms are based on the XForms specification and are powered by open source Orbeon XForms engine.
**CloudEx Event Management Module**
Event management system is a workflow based module which allocates events/tasks to appropriate individuals or groups. Event management subsystem includes case management which can be used for tracking various requests from customers. EMS module is powered by a workflow engine and provides support for a wide range of workflow patterns (sequence, parallel, split, synchronization and exclusive choice).
The workflow engine is a flexible, extensible workflow tool, based on an intuitive process definition language to express business processes graphically in terms of tasks, wait states for asynchronous communication, timers, automated actions, etc. Optional processes can be defined in Business Process Modeling Language (BPML) and translated during design time.
CloudEx Document Management Module
CloudEx DMS module provides ability to access, share and track electronic documents. All application modules access documents/attachments through DMS module. DMS can be easily integrated to new application modules.
DMS is integrated with core CloudEx modules such as Event management system, e-Forms and Campaign management system. If an existing file repository system is used in an enterprise, it can be easily integrated with DMS.
CloudEx Contact Management Module
Contact management module can be used to manage contacts, prospective clients and customers of an enterprise. CloudEx product by default provides a wide variety of information including contact names, addresses etc. Integration with document management, event management and campaigns provide powerful features for the enterprise.
CloudEx also provides a facility to easily extend contact information during specific application deployments.
CloudEx Campaign Management Module
CloudEx campaign management module can be used conduct marketing campaigns, collect campaign results and to perform analysis of the campaign results. It also provides strong integration with other application modules such as document management system and survey management system.
CloudEx campaigns are highly configurable and can be targeted to precise set of audience. It also provides online campaign components which can be integrated in the application. Campaign module also provides ROI analysis.
CloudEx Survey Management Module
CloudEx survey management module can be used to design and conduct online surveys. This module can be used to create, publish, collect and track questionnaires and answers.
Survey module offers integration with other modules such as campaign and document management systems. It is also possible to analysis and reporting across multiple surveys using generic questions.
CloudEx System Requirements
Recommended Server Configuration for Windows 2003 Server and above
- 2.6 GHz Intel Pentium IV or equivalent
- 1GB RAM
- 1GB Free Disk Space
Recommended Server Configuration for Solaris OS version 10—SPARC
- UltraSPARC Illi 1 GHz
- 1GB RAM
- 1GB Free Disk Space
Recommended Server Configuration for Linux (Ubuntu 7.x+, Red Hat EL 4 etc.)
- 2.6 GHz Intel Pentium IV or equivalent
- 1GB RAM
- 1GB Free Disk Space
Supported Application Servers
- Apache Tomcat 5.5.4+
- JBoss AS 4.2.1+
- Bea WebLogic 9.0+
- IBM WebSphere 6.1+
Database Requirements
- Oracle 9i+ and above
- MySQL and above
- Microsoft SQL server 2000 and above
About
The Stabilix® Insurance Platform was designed from the ground up around an extremely flexible, adaptive Service-Oriented Architecture (SOA). It leverages leading lightweight, reliable open source core engines such as Orbeon, JBPM and Hibernate, as well as proven enterprise design patterns and mature Java EE technologies for demanding production environments. The unique integration, synchronization and centralized management provide unmatched functionality, flexibility and performance at the lowest possible cost for the client.
For more information please contact:
Stabilix® Corporation
www.stabilix.com
Send an email to firstname.lastname@example.org or call 830. 438. 5760
This document is for informational purposes only.
Stabilix® Corporation makes no warranties, expressed or implied, in this document.
Copyright 2014 Stabilix® Corporation. |
Paradigm shift: Recent advances in model building and imaging at Shenzi
Brad Wray*, Lin Zheng, Fabian Rozario, Xue Zhang, and Nicolas Chazalnoel (CGG); Cheryl Mifflin (BHP)
Summary
After many years of processing seismic streamer data acquired over the Shenzi field in deep-water Gulf of Mexico (GOM) with the best available technology, the workflows have remained highly interpretive, far from robust, often time-consuming, and ultimately proved inadequate for resolving the complexity of the salt and subsalt velocity models. Recent advances in full-waveform inversion (FWI) algorithms combined with a newly acquired, ocean bottom node (OBN) data set have ushered in a fundamental shift in velocity model building and imaging at Shenzi as we move away from mostly interpretation-driven to more data-driven processes.
While the velocity model obtained from Time-lag FWI (TLFWI) using the legacy rich-azimuth (RAZ) streamer data provided significant imaging uplift over the best previous processing, an additional step-change improvement in image quality was achieved by running TLFWI with the OBN data. The OBN TLFWI model combined with the long offsets of the OBN data allowed steeply dipping events along the salt feeder to be seen for the first time on the reverse time migration (RTM) image. However, despite these large improvements, the image still suffers in areas of low illumination. Least-squares RTM (LSRTM) showed some good improvement over the RTM but proved less effective where the starting image was too poor. By running TLFWI to a maximum frequency comparable to the RTM, we were able to generate an FWI Image, an estimation of the reflectivity obtained directly from the FWI velocity model, with good S/N, more balanced amplitudes, and improved steep-dip and fault imaging, making it a direct rival to the RTM and LSRTM images.
Introduction
The Shenzi field, located in deep-water GOM, consists of a set of Miocene reservoirs flanking a steep and complex salt feeder, all lying beneath a thick salt canopy. Exploration using 2D narrow-azimuth streamer data began in the 1990s with production commencing in 2009. In 2005, a high-fold, RAZ streamer survey with 8.5 km maximum offset was acquired to provide better illumination over this geologically complex area (Howard, 2007).
Despite several reprocessings of the RAZ data with the most advanced imaging and model building techniques available, imaging issues persisted. At the subsalt level, noise interference, lack of resolution, and zones of weak amplitude all complicated the interpretation. Synthetic studies indicated that these problems were predominantly due to an inaccurate velocity model. Additionally, the steep dips along the salt feeder had yet to be imaged with the RAZ data set.
Each previous RAZ processing project followed a conventional top-down model building flow. Salt geometries were first updated through manual interpretation and many salt scenario tests. Subsalt velocities were updated by propagating local velocity information from well data throughout the project area. Then subsalt velocity tomography based upon RTM surface offset gathers (SOGs) was applied to flatten the gathers (Yang et al., 2015). This traditional flow is highly interpretive, fails to capture the subsurface complexity, and often operates poorly in areas of complex geology.
To address the velocity model and imaging issues, a more powerful approach is needed. Advances in FWI algorithms are transforming our ability to update salt and subsalt velocities. We have seen recent successes applying FWI with OBN data to update salt velocities (Michell et al., 2017; Shen et al., 2017; Shen et al., 2018; Zhang et al., 2018; Nolte et al., 2019). Our method follows a similar strategy, leveraging improvements from TLFWI (Zhang et al., 2018; Wang et al., 2019) with more appropriate data from a long-offset OBN acquisition to update the velocity model. In this workflow, the entire velocity model is updated in a data-driven means with minimal human intervention. Equipped with a better velocity model, the contribution of the OBN data to the subsalt image is examined, including full-wavefield imaging through FWI.
Impact on model building
While the OBN data were being acquired, TLFWI using the RAZ data was run to improve the starting model for the OBN velocity update. Three rounds of TLFWI up to 6 Hz were carried out, with the first round starting from a smoothed version of the legacy model. In between the rounds, edits were made to the initial model based upon either well information, updates from RTM SOG subsalt tomography, or modifications to the salt geometry based upon indications from the previous round of TLFWI (Kumar et al., 2019). The result was consistent image improvement throughout the project area.
Figures 1a-b show the RAZ legacy model and RAZ TLFWI model overlaid on their respective 15 Hz RAZ RTM images. The salt feeder was reshaped by RAZ TLFWI, and the inversions started to detect the faster Mesozoic velocities that extend from the bottom of the subsalt basin along the feeder flanks. The basement image remains broken but
Figure 1: a) Legacy model, b) 6 Hz RAZ TLFWI model, and c) 11 Hz OBN TLFWI model overlaid on top of their 15 Hz RAZ RTM images. The dashed line indicates the salt geometry of the legacy model. The salt wing (red arrow) is completely removed in the OBN TLFWI model.
becomes more coherent and continuous overall. Figures 2a-b show the 15 Hz RTM images of the RAZ data migrated with the legacy and RAZ TLFWI models on another line cutting through the feeder. Here the crest is weak and broken on the legacy image, while the amplitudes become stronger and more coherent with the RAZ TLFWI model.
Even though the application of TLFWI with the RAZ data alone provides substantial improvement in image quality, event breaks or remaining undulations indicate that the velocity model, the input data, or both are not good enough. To make better use of the improved algorithm, we combined it with the long-offset, full-azimuth coverage of the OBN data. The OBN survey consisted of a dense core of nodes surrounded by a halo of sparse nodes. Maximum offsets are in the range of 20 – 45 km. Good S/N and the TLFWI algorithm allowed the OBN inversion to start at 1.6 Hz, reducing the chances of cycle-skipping. The OBN TLFWI was run to a maximum frequency of 11 Hz, but most of the kinematic errors were corrected by < 6-7 Hz.
Figure 1c shows the OBN TLFWI velocity model overlaid on its 15 Hz RAZ RTM image. The salt wing that was present in the legacy model and partially present in the RAZ TLFWI model has been completely removed, and the amount of salt in the feeder has increased substantially. We note that the basin velocities have slowed in the Miocene/Oligocene interval, allowing this expansion to take place. The Mesozoic velocities first detected by RAZ TLFWI have been further refined, with the velocity model becoming more structurally conformal to these packages. Basement and autochthonous base of salt (BOS) events are much better focused and aligned, an indication of more accurate velocities above. In Figure 2c, the structure is further improved everywhere with less crossing of events.
Figure 2: 15 Hz RTM images using a) legacy model, b) 6 Hz RAZ TLFWI model, and c) 11 Hz OBN TLFWI model.
Amplitudes of events climbing over the salt are stronger on the RTM image from the OBN TLFWI model. The basement has healed almost completely and is now much more simplified.
To study the model accuracy, we examined the illumination maps generated from large scattering angle RTM images (Ahmed, 2018). The maps give a qualitative picture of the model accuracy and diving wave illumination to the extent where the model is sufficiently accurate. We generated them for three different models (legacy, RAZ TLFWI, OBN TLFWI) using RAZ (Figures 3a-c) and OBN data (Figures 3d-e). Due to the limited offsets available in the RAZ data, the illumination maps change very little for the three different models, and the diving wave penetration is limited to above the salt (Figures 3a-c). On the other hand, the impact of the longer offsets of the OBN data can already be seen on the legacy and RAZ TLFWI maps through increased illumination in the subsalt (Figures 3d and 3e). However, because the maps were generated from the crosscorrelation of forward- and back-propagated wavefields, they are affected by the accuracy of the model used to generate them. Hence the extended illumination in Figure 3f shows that the OBN TLFWI model is of much better quality than the RAZ TLFWI model. It also demonstrates that the diving waves penetrate down to the basement in the OBN data.
**Impact on imaging**
The OBN TLFWI gave substantial uplift on the 15 Hz RAZ RTM image, but the steep-dip imaging remains poor for this data set. Figures 4a-b compare 25 Hz RTM images generated by migrating the RAZ and OBN data with the OBN TLFWI model. The steep dips along the flanks appear on the OBN RTM image although the amplitudes remain rather weak in these areas, an indication that illumination remains poor. Least-squares processes offer a means to potentially address illumination issues. The single-iteration image domain LSRTM based upon curvelet domain matching filters applied to angle gathers shown in Figure 4c provides some amplitude compensation in these low illumination areas (Wang et al., 2016).
However, for particularly challenging areas, e.g., steep dips below BOS, the LSRTM fails to fully balance the amplitudes. We found that the image with the best illumination compensation and most balanced amplitudes is the FWI Image, an estimation of the reflectivity derived directly from the FWI velocity model (Zhang et al., 2020). The image is calculated as the derivative of the velocity model along the direction normal to the reflector dips, assuming constant density. The FWI Image coming from the 11 Hz OBN TLFWI model is shown in Figure 4d. Steep dips are better imaged, especially in complex areas, and it offers better illumination compensation than the LSRTM. The raw data input to TLFWI contains transmissions, primary reflections, and their free-surface and internal multiples. The subsurface is therefore illuminated by a greater number of modes than present in the down-going wavefield used in RTM and LSRTM that has undergone free-surface multiple attenuation. Additionally, FWI itself is a least-squares process, and the FWI Image exhibits many features of least-squares migration, including more balanced amplitudes and attenuation of migration noise.
Given the improved kinematics of the model and the benefits observed on the 11 Hz FWI Image, the maximum frequency of the inversion was pushed to 20 Hz to generate a high-frequency FWI Image that is more comparable to the 25 Hz maximum frequency of the LSRTM. Figure 5 compares the 11 Hz FWI Image, the 20 Hz FWI Image, and the 25 Hz LSRTM. The 20 Hz FWI Image shows resolution similar to the 25 Hz LSRTM image in the subsalt but with more balanced amplitudes and better event separation. The high-frequency FWI Image is particularly good for imaging steep dips and small-scale faults. The combination of high resolution, good S/N, and improved illumination make the 20 Hz FWI Image a key volume for structural interpretation and a rival to RTM and LSRTM.
**Conclusions**
We have shown the impact of TLFWI using OBN data on the model building and imaging at Shenzi. Through the combination of a more powerful FWI algorithm and more appropriate input data, the velocity model has been updated in a data-driven way to give significant uplift on the RTM image. The TLFWI algorithm alone was enough to produce some good improvements in image quality, but by combining TLFWI with a long-offset OBN data set, another step-change was achieved. Not only were the OBN data critical for the velocity update, they were important for the
RTM images as well, particularly for steep dips along the feeder flank. Still, even with the increased illumination from the OBN data, weak zones persisted on the image. A single-iteration LSRTM was able to provide some compensation, but it appeared insufficient in places. The volume with the most balanced amplitudes is the FWI Image derived from the TLFWI velocity model itself.
Despite the improvements in image quality, several challenges remain. For instance, effects from viscosity and anisotropy continue to be an issue because of our limited ability to reliably estimate the parameter values used in the modeling. Due to the large crosstalk between these parameters and velocity, their uncertainty can significantly affect the inverted model. Synthetic studies at Shenzi have shown that the feeder flank position can shift by several hundred meters given incorrect viscosity and anisotropy parameters.
While FWI has proven to be extremely effective for updating salt and subsalt velocities, the success of its application largely depends on contribution from diving waves. In areas of Shenzi where the diving wave illumination is poorer, such as just below BOS, well information was used to guide the FWI solution. The impact of these changes on the structure proved to be minor overall, but they helped improve the well ties, illustrating that it is important to understand the limitations of the update.
To extend the FWI Image beyond a structural interpretation tool, there is a need to improve our understanding and the reliability of the FWI Image amplitudes. For instance, being able to update the density would help as currently we only invert for velocity. Including more physics in the modeling and inversion (visco-elastic effects) would also increase the amplitude fidelity of the FWI Image, but obtaining the correct additional model parameters remains a challenging area to be researched.
**Acknowledgments**
We thank BHP, Repsol, and CGG for permission to publish this work.
REFERENCES
Ahmed, I., 2018, Diving wave illumination using RTM to analyze acquisition geometries for FWI: 88th Annual International Meeting, SEG, Expanded Abstracts, 1299–1303, doi: https://doi.org/10.1190/segam2018-2997116.1.
Howard, M., 2007, Marine seismic surveys with enhanced azimuth coverage: Lessons in survey design and acquisition: The Leading Edge, 26, 480–493, doi: https://doi.org/10.1190/1.2723212.
Kumar, R., H. Zhu, V. Vandrasi, D. Dobesh, and A. Vazquez, 2019, Updating salt model using FWI on WAZ data in the Perdido area: Benefits and challenges: 89th Annual International Meeting, SEG, Expanded Abstracts, 1270–1274, doi: https://doi.org/10.1190/segam2019-3216761.1.
Michell, S., X. Shen, A. Brenders, J. Dellinger, I. Ahmed, and K. Fu, 2017, Automatic velocity model building with complex salt: Can computers finally do an interpreter’s job?: 87th Annual International Meeting, SEG, Expanded Abstracts, 5250–5254, doi: https://doi.org/10.1190/segam2017-17778443.1.
Nolte, B., F. Rollins, Q. Li, S. Dadi, S. Yang, J. Mei, and R. Huang, 2019, Salt velocity model building with FWI on OBN data: Example from Mad Dog, Gulf of Mexico: 89th Annual International Meeting, SEG, Expanded Abstracts, 1275–1279, doi: https://doi.org/10.1190/segam2019-3216777.1.
Shen, X., I. Ahmed, A. Brenders, J. Dellinger, J. Eigen, and S. Michell, 2017, Salt model building at Atlantis with full-waveform inversion: 87th Annual International Meeting, SEG, Expanded Abstracts, 1507–1511, doi: https://doi.org/10.1190/segam2017-17738630.1.
Shen, X., I. Ahmed, A. Brenders, J. Dellinger, J. Egen, and S. Michell, 2018, Full-waveform inversion: The next leap forward in subsalt imaging: The Leading Edge, 37, no. 1, 67b1–67b6, doi: https://doi.org/10.1190/tle37010067b1.1.
Wang, P., A. Gomes, Z. Zhang, and M. Wang, 2016, Least-squares RTM: Reality and possibilities for subsalt imaging: 86th Annual International Meeting, SEG, Expanded Abstracts, 4204–4209, doi: https://doi.org/10.1190/segam2016-13867926.1.
Wang, P., Z. Zhang, J. Mei, F. Lin, and R. Huang, 2019, Full-waveform inversion for salt: A coming of age: The Leading Edge, 38, 204–213, doi: https://doi.org/10.1190/tle38030204.1.
Yang, Z., S. Huang, and X. Yan, 2015, Improved subsalt tomography using RTM surface offset gathers: 85th Annual International Meeting, SEG, Expanded Abstracts, 5254–5258, doi: https://doi.org/10.1190/segam2015-5848366.1.
Zhang, Z., J. Mei, F. Lin, R. Huang, and P. Wang, 2018, Correcting for salt misinterpretation with full-waveform inversion: 88th Annual International Meeting, SEG, Expanded Abstracts, 1143–1147, doi: https://doi.org/10.1190/segam2018-2997711.1.
Zhang, Z., Z. Wu, Z. Wei, J. Mei, R. Huang, and P. Wang, 2020, FWI Imaging: Full-wavefield imaging through full-waveform inversion: 90th Annual International Meeting, SEG, Expanded Abstracts, 656–660, doi: https://doi.org/10.1190/segam2020-3427858.1. |
TOWARDS A NEW STATE OF MATTER
Luciano Maiani $^{a*}$.
$^a$Università di Roma La Sapienza and INFN, Roma, Italy.
Progress on Quark-Gluon Plasma (QGP).
1. INTRODUCTION
The issue of hadronic matter at high temperature was raised in the study of the Early Universe, at least this is where I met it first.
Quoting from the book of S. Weinberg [1]: \textit{if we look back ...when temperature was above $10^{12} \ 0K \ (100 \ MeV)$, we encounter theoretical problems of a difficulty beyond the range of modern statistical mechanics... There were, at the time, two extremely different simple models...the hope is that one or the other may come close enough to reality to lead to useful insights about the very early Universe.}
The first model was the so-called \textit{Bootstrap} originated in the sixties and evolving in the Dual Models, in the early seventies: all hadrons are composite of one another (a concise summary of the early Veneziano and Dual Models and the role of an infinitely rising spectrum is found in [2]). The second model, just taking over in these years in the form of the present Standard Model, was the \textit{Elementary Particles} model. Matter and radiation are made of elementary constituents: photons, leptons, quarks, gluons, which behave as free particles at high energy (asymptotic freedom). As we know today, both models may be right, although in different energy and temperature ranges.
The bootstrap hadron picture applies in the low energy, strongly interacting, regime, giving rise to an almost exponentially rising hadronic level spectrum and to a limiting temperature that can be estimated from the hadron spectrum, the Hagedorn temperature, $T_H = 170$-$180 \ MeV$. Just before reaching the limiting temperature, hadrons \textit{melt} in a deconfined state made by the elementary constituents (the Quark Gluon Plasma, QGP in brief).
There are still many open questions in this field:
- is deconfinement a true phase-transition or simply a smooth cross-over?
- in the latter case, is there a tri-critical point where hadronic and QGP phases coexist?
- is chiral symmetry restored in the deconfined phase?
\footnote{Work supported in part by Ministero Istruzione, Università e Ricerca and by Istituto Nazionale di Fisica Nucleare, Italy}
• after the transition, do we find an almost free gas, or rather is there an intermediate phase of strongly interacting Quark Gluon Plasma (sQGP)?
An important theoretical guidance is provided by Lattice QCD calculations, which indeed show a rapid rise in the energy density of hadronic matter around $T \simeq 170$ MeV and energy density $\epsilon \simeq 2$ GeV/fm$^3$ [3], at baryon chemical potential, $\mu_B = 0$ (see Fig. 1). The last years have seen many attempts to explore theoretically the $\mu_B \neq 0$ region, with a variety of methods that will be reviewed in this Conference and that witness the vivacity and interest of this field.
![Figure 1. Energy density, $\epsilon$, vs. temperature, T, from lattice QCD calculations [3]. For convenience the ratio $\epsilon/T^4$ is plotted.](image)
Experiments with Heavy Ion Collisions, performed over the last decade at the AGS (Brookhaven), SPS (CERN) and RHIC (Brookhaven) have addressed these issues with increasing depth and precision, as this Conference will show, and provided us with an exciting mix of expected results and big surprises.
Fig. 2 shows the location of each series of experiments in the $(T - \mu_B)$ plane. The points correspond to the hadrons at the chemical freeze-out point, the final stage of the fireball created in the collision, when hadrons cease to interact and fly undisturbed towards the detectors. Fig. 3 shows a pictorial view of the phase diagram corresponding mostly to our theoretical guesswork, with superimposed the location of the regions within reach of the SPS, RHIC and the LHC.
Remarkably, the working points of the accelerators go across the region where the transition should occur, according to the theoretical investigations. With increasing energy, the freeze-out points head towards vanishing $\mu_B$, the domain of the Early Universe, which will be explored exhaustively with the LHC. The study of QGP is thus a fertile ground for theory-experiment cross talk, which makes it particularly fascinating and rather unusual in today’s High Energy trade.
I was asked by the Organizers to comment on the SPS results, five years after their presentation at CERN. There are at least two other good reasons to do so.
This year, the results of the second generation experiment following the first SPS campaign, NA60, have been presented. It is illuminating to confront the new data with the older ones, to get a better picture.
The second reason is that you will hear exhaustively at this Conference about RHIC results, which dominate the scene today, so I do not have to feel guilty if, in the search of a new state of matter, I shall concentrate on the onset of the transition, the lower energy region where the SPS seems to be luckily sitting.
2. THE SPS CAMPAIGN AT CERN
The Heavy-Ion facility at the CERN SPS was realized as a collaboration between CERN and the laboratories reported in Table 1. It was a good example of an international collaboration to build a new facility, a model for the LHC and for future High Energy facilities. The SPS provided ion beams to several experiments in the North Area.
The main campaign of data taking at the SPS involved four detectors operated by large international collaborations: NA50, dedicated to the observation of $\mu$ pairs at high energy, in particular in the $J/\psi$ region, NA57 (previously WA97) and NA49, focused on strange particle production, and NA45 (CERES) on low energy electron pairs. The campaign ended in 1999, after which only one new experiment, NA60, was put on the floor by a continuation of the NA50 Collaboration. This year the NA60 results, really of second generation quality, have been presented, for the first time, at the EPS HEP05 Conference in Lisbon [12] and now here at Quark Matter [13].
Table 1
Participating institutions in the construction of the SPS Heavy Ion facility
| Institution | Location | Country |
|--------------------------------------------------|------------|-------------|
| GANIL | Caen | France |
| INFN | Legnaro | Italy |
| Università | Torino | Italy |
| GSI | Darmstadt | Germany |
| Institute of Applied Physics | Frankfurt | Germany |
| Variable Energy Cyclotron (VECC) | Calcutta | India |
| Baba Atomic Research Centre (BARC) | Mumbai | India |
| Tata Institute (TIFR) | Mumbai | India |
| Academy of Sciences | Prague | Czech Rep. |
In-cash contributions from Sweden and Switzerland.
The results of data collection at the SPS were summarized in February 2000: ... *data provide evidence for colour deconfinement in the early collision stage and for a collective explosion of the collision fireball in its late stages. The new state of matter exhibits many of the characteristic features of the theoretically predicted Quark-Gluon Plasma ... The challenge now passes to the Relativistic Heavy Ion Collider at Brookhaven and later to CERN’s Large Hadron Collider.*
3. CRITICAL LENGTHS FOR J/ψ ABSORPTION IN HEAVY NUCLEI
There are two characteristic lengths in the process:
\[ A + A' \rightarrow J/\psi + \text{anything} \]
namely (see Fig. 4):
- the length of the nuclear matter column, \( L \), that the \( J/\psi \) has to traverse during the collision; \( L \) determines the nuclear absorption coefficient, which is given by \( \sigma_{\text{abs}} \rho_{\text{nuc}} L \) and \( \sigma_{\text{abs}} \) is determined experimentally by studying \( J/\psi \) production in \( p+A \) reactions as function of \( A \) (in the c.o.m. the length is \( L/\gamma \) but \( \rho \) is increased by the same Lorentz factor so that the attenuation is boost independent);
- the second one, denoted by \( l \), is the initial transverse size of the fireball; \( l \) determines the absorption of the \( J/\psi \) by the mid-rapidity hadrons (the *comoving particles*).
The transverse size, \( l \) is related to the impact parameter (for equal nuclei, \( l = 2R - b \), where \( R \) is the nuclear radius) and also to the commonly used number of participant nucleons, \( N_{\text{part}} \) (for small \( l \), \( N_{\text{part}} \simeq \text{const.} \cdot l^3 \)). For given nuclei, \( L \) is also a function of \( l \) that can be computed, in the approximation of sharp spheres or with Wood-Saxon distributions, with very similar results.
In fact, $L$ is maximum for the largest centrality, $l = 2R$. This determines the very peculiar turning down in Fig. 5. This feature simply signals non-vanishing absorption by comovers:
$$\frac{\partial}{\partial L}(\text{Rate}) = \frac{\partial}{\partial l}(\text{Rate}) \cdot \frac{1}{(\partial L/\partial l)^3}; \quad \text{i.e. } \frac{\partial}{\partial L}(\text{Rate}) \to -\infty, \quad \text{if } \frac{\partial}{\partial l}(\text{Rate}) < 0$$
$l$ is a good candidate to be the critical parameter. The transverse length determines the linear size of the initial fireball and therefore its initial volume. It is most reasonable that collective phenomena like the ones we are addressing can take place only when the hadron matter involved reaches a certain minimum volume. In addition, the number of nucleons per unit surface which take part in the collision increases with $l$. Related to the energy density, the temperature of the fireball also increases: increasing centrality (i.e. $l$) we make a temperature scan which may cross the critical temperature.
4. LIMITING TEMPERATURE AND J/$\psi$ DISSOCIATION
The basic cross sections for:
$$\pi/\rho + J/\psi \rightarrow \text{open charm}$$
are large (few to 10 mb) and strongly energy dependent, due to the proximity of several thresholds (see e.g. [6]). Assuming a thermalized fireball, its opacity to the J/$\psi$ increases strongly with temperature: we could account for a large absorption with correspondingly large T (not a discontinuity, which is, however, more difficult to prove).
A limiting temperature of hadronic matter around 170-180 MeV is suggested by independent theoretical arguments and is supported by the approximate exponential behavior of the hadron level spectrum and by observed limiting features in the hadronization process [10]. In turn, a limiting temperature implies, most likely, a limiting absorption. Thus, hadronic matter only cannot explain the observed opacity, if the latter turns out to exceed the limiting absorption itself [9].
Thermalization of the initial fireball is an important issue, that deserves consideration "per se", because of its implications on other aspects of the data, such as the elliptic flow of the outgoing particles. Data gathered at RHIC speak in favor of very early thermalization. This should apply to SPS as well, where hydrodynamic elliptic flow has been reported [7,8].
Fig. 6 shows a recent analysis of the NA50 (Pb-Pb) [11] and NA60 (In-In) [12,13] data performed by our group along these lines [9]. Assuming a limiting temperature of 180 MeV, we see that the nuclear+hadronic absorption by a hadron gas falls short from reproducing the observed drop beyond $l = 4$-5 fm.
The ratio \textit{Observed/Expected} vs. $l$ (Fig. 7) shows a clear discontinuity around $l = 4$-5 fm. There is reasonable agreement between Pb and In data. If the driving consideration is the energy density produced by the collision, the step should occur later in $l$ for Indium, due to the lower baryon surface density at given $l$ [4] (a similar conclusion is found in the percolation model [14]).
In fact, the agreement between In and Pb data is slightly better if we plot the same ratio versus the energy density, computed by fixing $\epsilon = 2$ GeV/fm$^3$ at $l = 4$ fm and scaling $\epsilon$ to other values of $l$ with the baryon surface density, as implied by the Bjorken formula [4] (see Fig. 8). The scale of the energy densities agrees reasonably with those expected for the disappearance of the higher charmonium states, $\psi'$ and $\chi_c$ [15], which are an important source of J/$\psi$ (see e.g. Ref. [16]).
5. STRANGENESS ENHANCEMENT AT THE SPS
Primary strange particle densities in phase-space are parameterized according to:
$$\rho_S(E, T) = (2J + 1)(\gamma_S)^{n_S} e^{\frac{\mu \cdot q - E}{T}},$$
(4)
where $n_S$ is the number of valence strange quarks and antiquarks in the particle, $\vec{q}$ are a set of conserved charges, $\vec{\mu}$ the corresponding chemical potentials and $\gamma_S$ is the strange particle suppression factor. But $\gamma_S$... what is it?
The rationale usually given is that $\gamma_S$ summarizes the deviation from statistical equilibrium of strange particles, due to a "lack of time" for equilibrating strangeness from the initial state which contains very few strange quarks.
The standard picture, then, is that strange quarks should equilibrate better in the deconfined phase, because of the small strange quark current mass, and strange hadrons form more efficiently from quark recombination at freeze-out. Hence, the "fudge factor" $\gamma_S$ approaching unity should be a good indicator of QGP formation. Indeed thermodynamical fits of particle abundances at RHIC find $\gamma_S \simeq 1$ [17].
In this framework, one may search for a correlation between J/$\psi$ suppression and the observed increase of strange particle production observed at the SPS. The previous discussion suggests to look for a correlation of $\gamma_S$ with centrality. Ratios of strange to non-strange particle production as function of centrality have been published recently by NA49 [5] and show indeed a rapid increase for $N_{part} \simeq 80$. We have followed the suggestion made in [18], to look for the behaviour of $\gamma_S$ as function of $l$ and correlate it to J/$\psi$ suppression.
Figure 9. Strangeness undersaturation factor, $\gamma_S$, and $J/\psi$ anomalous suppression ratio, $R_{J/\psi}$, as functions of the transverse size of the interaction region in heavy ion collisions at $\sqrt{s}_{NN} = 17.2$ GeV (see text for definitions). $J/\psi$ points are from Pb-Pb (NA50) and In-In (NA60) collisions (triangles and circles, respectively, with vertical error bars only); values of $\gamma_S$ refer to Pb-Pb, Si-Si, C-C and p-p collisions (triangles, circle, box, star, with vertical and horizontal error bars), data from NA49 and NA57.
Our main result [19] is shown in Fig. 9, where $\gamma_S$ is reported as function of $l$, together with the double ratio:
$$R_{J/\psi} = \frac{[Rate(J/\psi)/(D-Y)]_{\text{Observed}}}{[Rate(J/\psi)/(D-Y)]_{\text{Expected}}}.$$
(5)
Indeed, $\gamma_S$ departs from its low value in proton-proton or light nuclei collisions to approach unity in the same centrality range where $R_{J/\psi}$ drops below unity.
The correlation we observe in Fig. 9 makes it considerably stronger the case for the SPS being right at the onset of QGP formation. Further experimental investigations in this energy range are clearly called for, to elucidate the nature of the transition.
6. GLIMPSES OF STRONGLY INTERACTING QGP
Main findings at RHIC can be summarized as follows [20]:
- Particles are produced from matter which seems to be well equilibrated by the time it gets to chemical freeze-out: particle abundances follow the Boltzmann law and $\gamma_S \simeq 1$;
- Very robust collective flows were found, indicating very strongly coupled Quark-Gluon Plasma (sQGP);
- Strong quenching of large $p_T$ jets: they are strongly absorbed by the fireball. The deposited energy seems to go into hydrodynamical motion (conical flow);
Early thermalization and low viscosity suggest that above the transition there is a strongly interacting quark-gluon *liquid*, rather than a weakly interacting QGP, perhaps coexisting with the most tightly bound hadrons ($\rho$, $\omega$, $\phi$, $J/\psi$).
In a colored medium, color forces are screened and there is not a strong difference between color singlets and non-singlets - at least for heavy quarks. It is an intriguing speculation the possibility that there may be color non-singlet bound states as well [20].
*Figure 10.* Dimuon spectrum after subtraction of the *cocktail* distribution of known resonances except the $\rho$. Data from NA60 presented at this Conference [21]. Solid red line: the $\rho$ line shape expected in absence of effects from the medium.
One possibility to reconcile the sQGP with the precocious asymptotic freedom that we *do see* in deep inelastic scattering processes is the fact that temperature increases very slowly with the energy density of the medium, in fact like $e^{1/4}$ (unlike $Q^2$ in deep inelastic scattering) so that even at RHIC we happen to be still very near to the transition region. If this is indeed the case, experiments at the SPS can be useful, to shed light on the bound states that may populate the sQGP.
An intriguing example of effects of the medium is provided by the NA60 data on the distribution of low energy dimuons, which confirm and extend the previous NA45(CERES) results. Fig. 10 shows the data after subtraction of all signals expected from known sources (the *cocktail*) but the $\rho$ [21]. If we assume that the residuum is indeed the $\rho$ signal and compare it with the same signal *in vacuo*, we see a considerable broadening (in agreement with some models [22]) but no shift in the resonance mass (in contrast with other models [23]).
Definitely, we need to know more about this issue, *at both RHIC and the SPS*.
7. CONCLUSIONS
All indications are that deconfinement is seen at the SPS, in the collisions with largest centrality. Strangeness enhancement and $J/\psi$ suppression are correlated in centrality, the $\rho$ spectral function is modified w.r.t. normal vacuum.
If this is so, the SPS offers the unique possibility to study the onset of deconfinement and give significant contribution also to the lower temperature sQGP. This possibility should be carefully considered in planning future experiments at CERN.
It seems out of question that a new hadronic phase is showing up at RHIC, with quite surprising features, however. Collisions of the initial partons seem to take place from a very peculiar configuration, the Color Glass Condensate [24]. A very dense, fluid phase results after thermalization: a strongly interacting Quark Gluon Plasma? In turn, the sQGP raises the issue of which excitations may populate it.
New phenomena call for new probes. At RHIC, jet tomography and collective motion have revealed new aspects. Beauty quarkonia could be also very useful as well as muon pairs, to probe hadron resonances surviving in the sQGP.
What about the LHC?
The structure of the initial partonic state can be investigated by the study of hard jets, or heavy particle production (what about top pairs?) or the Higgs boson (recalling the saying that yesterday’s glamour is today’s signal... and tomorrow’s background). Thermalization of the mid rapidity fireball can be a delicate issue at the large LHC energies: does an asymptotically free fireball have time to thermalize?.
Acknowledgments
I would like to thank F. Becattini and A. D. Polosa for interesting discussions on the subjects presented here and for substantial help in the preparation of my talk.
REFERENCES
1. S. Weinberg, *Gravitation and Cosmology*, John Wiley & Sons, Inc. New York, London, Sidney, Toronto, 1972.
2. M.B. Green, J. Schwarz and E. Witten, *Superstring Theory*, Vol. 1, Cambridge University Press, 1987.
3. F. Karsch, *Lattice QCD at High Temperature and Density*, in Lect. Notes Phys. **583** (2002) 209-249.
4. J.D. Bjorken, Phys. Rev. **D27** (1983) 140.
5. C. Alt *et al.*, (NA49 Collaboration), Phys. Rev. Lett. **94** (2005) 052301.
6. N. Brambilla *et al.*, *Heavy Quarkonium Physics*, FERMILAB-FN-0779, CERN-2005-005, Dec 2004. Published as CERN Yellow Report, CERN-2005-005, Geneva: CERN, 2005. -487; hep-ph/0412158.
7. C. Höhne (for the NA49 Collaboration), these proceedings.
8. D. Miskowiec (for the NA45/CERES Collaboration), these proceedings.
9. L. Maiani, F. Piccinini, A. Polosa, and V. Riquer, Nucl. Phys **A748** (2005) 209.
10. F. Becattini, Nucl. Phys. **A702** (2002) 336.
11. M.C. Abreu *et al.*, (NA50 Collaboration), Phys. Lett. **B450** (1999) 456; Phys. Lett. **B477** (2000) 28. For the latest analysis see: http://na50.web.cern.ch/NA50/.
12. C. Lourenco (for the NA60 Collaboration), talk on the EPS HEP05 Conference, Lisbon, 21-27 July, 2005.
13. E. Scomparin (for the NA60 Collaboration), these proceedings.
14. S. Digal, S. Fortunato, and H. Satz, Eur. Phys. J. **C32** (2004) 547.
15. T. Matsui and H. Satz, Phys. Lett. **B178** (1986) 416; for a review, see e.g. R. Vogt, Phys. Rep. **310** (1999) 197.
16. B.L. Ioffe, *10th International Workshop on High-Energy Spin Physics* (SPIN 03), Dubna, Russia, 16-20 Sep 2003, Phys. Part. Nucl. **35** (2004) S98.
17. P. Braun-Munzinger, *Hadron production in ultra-relativistic nuclear collisions and the QCD phase boundary*, 5th International Conference on Physics and Astrophysics of Quark Gluon Plasma, Salt Lake City, Kolkata, India, 8-12 Feb 2005, nucl-ex/0508024.
18. L. Maiani: *Concluding Remarks*, ALICE-ITALIA, Catania, 12 Jan. 2005.
19. F. Becattini, L. Maiani, F. Piccinini, A. Polosa, and V. Riquer, Phys. Lett. **B**, to appear, and hep-ph/0508188.
20. E. Shuryak, Seminar given at Laboratori Nazionali di Frascati, Frascati, Italy, Spring 2005, and talk at this Conference, hep-ph/0510123 v2.
21. S. Damjanovic (for the NA60 Collaboration), these proceedings.
22. R. Rapp and J. Wambach, Adv. Nucl. Phys. **25** (2000) 1.
23. G.E. Brown and M. Rho, Phys. Rev. Lett. **66** (1991) 2720.
24. L.D. McLerran and R. Venugopalan, Phys. Rev. **D49** (1994) 2233. |
League City recently upgraded to a new utility billing software system. During the conversion process to the new system, the City was unable to process any payments for customers set up for bank drafts or automated credit card/debit card payments during the time period of March 11 to March 31, 2019.
Because of this, many League City Utility Billing customers are receiving an April 2019 utility bill statement (paper or e-bill) with two billing cycles on it—February and March. The statement also says “past due” on it. The “past due” amount is for the February 2019 billing cycle that was NEVER charged to your bank or credit/debit card. The “current due” is for the March 2019 billing cycle.
We would like to assure our residents that the February bill is not past due. As we continue our transition to this software system and to minimize any further inconvenience, we are suspending all utility bill late fees and no shut off orders will be issued for any League City utility customer.
Customers signed up for automated bank draft payments will have two drafts from their account made during the month of April. One for the February bill amount and one for the March bill amount.
Customers set up for recurring credit card/debit card payments will need to register for the online Customer Self-Service (CSS) Portal at this link using their NEW account number and NEW CID (customer number). Customers can find these numbers on their April utility bill statements, which are still in the process of being mailed and emailed.
April 2019 Utility Billing Statements - Continued
This is a new CSS portal, so even if you were registered for the old online portal you need to re-register using your new account and CID numbers. Click here for a PDF with instructions on how to register. Once registered, customers will need to make a one-time credit card payment, and then select recurring credit card payments. The CSS portal also allows customers to set up recurring bank draft payments, sign up for e-billing, and review their monthly billing statements.
Customers can also make a credit card, cash, or check payment in person at City Hall or at the City Hall drive-thru window. Customers wishing to pay by check can also use the 24-hour drop box located in the parking lot between City Hall and the Civic Center. Questions and concerns can be directed to 281-554-1335 or email@example.com.
Thank you for your patience and understanding as we work through the transition to this new software system. Once again, we apologize for any inconvenience we may have caused our residents.
Bank Draft Error
While implementing League City’s new utility software system, an error occurred during the automated bank draft payment process causing some of our customers to be incorrectly charged or charged multiple times during the time period of March 28 through Monday, April 1.
League City Utility Billing has issued a reversal of all bank draft payments made during this time period. If you believe your bank account was incorrectly drafted during the time period and you have yet to see a reversal, please call 281-554-1335 or email firstname.lastname@example.org.
If you were adversely impacted by this error and incurred any fees or charges from your banking institution, please call 281-554-1335 or email email@example.com, so the City can reimburse you.
FAMILY CAMPOUT CANCELED: Due to this weekend’s expected rainy weather, the League City Family Campout has been canceled. Stay tuned for more information regarding a new date.
April 7-13 National Crime Victims’ Rights Week
The League City Police Department (LCPD) is hosting various activities to recognize National Crime Victims’ Rights Week from April 7 to 13. All League City residents are invited to the 3rd annual “Together We Can” Community Fair on Monday, April 8 from 4:30 to 7:30 p.m. at the Johnnie Arolfo Civic Center.
The free, family-friendly event will feature food, children’s haircuts, a K9 demonstration, and tours of the City’s new SWAT vehicle and a League City Volunteer Fire Department firetruck. In addition, LCPD will be hosting a blood drive on Thursday, April 11 in the parking lot of the public safety building.
April 17 Town Hall
League City will be hosting a Town Hall on Wednesday, April 17 for residents to learn more about the progress of the City’s Strategic Action Plan and the three propositions on the ballot in the City’s upcoming special election. This town hall will feature a new format, including student entertainment, free Chick-fil-A sandwiches for the first 100 guests, and various door prizes donated by local League City businesses.
Election 2019 Facebook Live Lunch and Learns
Residents who want to learn more about the City’s upcoming special election can hear directly from City Council members about why they voted to place two propositions and a sales tax referendum on the ballot. Over the next several weeks, every Wednesday at 12:30 p.m., council members will be visiting the City’s new Facebook Live studio for a “Lunch and Learn” with League City Director of Communications Sarah Greer Osborne. This week Councilman Nick Long answered questions about the upcoming election.
Parks and Recreation Updates
Parks Administration Office Temporarily Relocated
The City’s Parks and Cultural Services Administration Office is temporarily moving to Suite 400 at the “Blue Building” on Parks Street, while renovations are made to the exterior of the Old Train Station Master’s House, also known as the Burd House, located at 200 N. Avenue in League Park. As a precautionary measure, the “Boundless Playground” located next to Burd House will also be closed during these renovations. The renovations are scheduled to last approximately 60 days. An update will be released when both facilities are open again to the public.
Parks and Recreation Updates
Pick Up Your Copy of Beyond the Oaks
Printed copies of League City’s Summer 2019 Parks and Recreation Guide, Beyond the Oaks, are available at Hometown Heroes Park and the Helen Hall Library.
The guide includes information on children, adult, and senior classes and activities, registration details and deadline dates for summer camps and sports leagues, and upcoming special events hosted by the City’s Parks and Recreation Department. The guide also includes a full listing of summer programs and activities at the Helen Hall Library. Click here to access an online version.
Nature with Kristine April 13
The League City Parks and Recreation Department has partnered up with Texas Master Naturalist Kristine Rivers to offer a free program called “Nature with Kristine” every second Saturday of the month. The next class will be on Saturday, April 13 and will feature a “Bird Walk” along the trails. Rivers is a nature enthusiast, avid birder and owner of Birding for Fun, a program that provides educational services, field trips and guided tours for birding.
At each event, Rivers encourages residents to explore the outdoors at the Dr. Ned and Fay Dudney Clear Creek Nature Center through activities, such as nature arts, crafts, games and scavenger hunts. Each class takes place under the main pavilion from 9 to 11 a.m.
Community Garage Sale April 13
If you’re looking to do some spring cleaning and decluttering your home, you can turn your trash into someone’s treasure by participating in this year’s Community Garage Sale on Saturday, April 13 at Hometown Heroes Park. Register now to rent out a 10 by 10 foot booth for the event or just stop by for a fun morning of shopping from 8 a.m. to noon. Booths will be assigned randomly and rent fees will be $25 for residents and $36 for non-residents. You can sign up in person at Hometown Heroes Park or call (281) 554-1180 for more information.
Athletic Program Registration Now Open
Registration for League City residents is currently open for summer athletic programs, including basketball, flag football, baseball, cheerleading and sand volleyball.
Participants can register online at leaguecityparks.org, or in person at Hometown Heroes Park. Youth basketball will practice and play on weeknights, while all other sports will practice one night during the week with games on Saturdays. Registration is on a first come / first service basis, as spots do tend to fill up quickly. For more information, call Hometown Heroes Park at 281-554-1180, or email Tara Dahl-Campbell at firstname.lastname@example.org.
Parks and Recreation Updates
Park Operations
Right on time for the upcoming swim season, the Walker Campus Municipal Pool re-plastering project is now complete and is looking great with a few minor details, painting, and clean up being performed in house by staff and the SCAT swim team that utilizes the facility each year.
At the Chester L. Davis Sportsplex, staff installed new competition-rated volleyball nets, which were donated by the Gulf Coast Volleyball Association. The new nets are black in color, rather than white, and will provide improved visibility for GCVA players, along with participants in the City’s Recreation Program who utilize the six courts at the Sportsplex. Thank You, GCVA.
Over at Hometown Heroes Park (HHP), spring ball prep is still underway with soccer net replacement and installation for use by different age groups. Staff also made various preparations this week, including the application of insecticide, to prepare for the sold out Family Campout at HHP.
Astronomy in the Park April 6
Join us at the Rustic Oaks Park on Saturday, April 6 and on the first Saturday of every month till November for a totally free and fun evening of amateur astronomy from 7 to 9:30 p.m. Besides current celestial events, participants will be able to view:
• A 100’ model of the solar system
• Major constellations and asterisms
• Telescope observation of the stars and visible planets
• Binocular astronomy demonstrations
• Computer displays of free astronomy software, DVDs, and presentations
Public Safety Updates
Guns versus Hoses
The second annual Guns vs. Hoses Charity Softball event took place this past Saturday, March 30. The event was a huge success, raising more than $10,000 for the Blue Santa program. The game was close, but the boys in blue pulled out a win, scoring 24 runs to the fire fighters’ 18. Our first responders want to thank the many sponsors for making this such a worthwhile event and to all who participated.
Fake Warrant Scam
A popular scam, called the “fake warrant phone call scam” is making the rounds again. In this scenario, the scammer will call and claim to be a law enforcement officer and say you need to pay them money, or else you will be arrested for a warrant. In recent events, the scammers even used real names of League City Police Officers. Also, the phone number may show as the actual number of LCPD or another law enforcement agency. Law enforcement agencies at any level, do not operate like this. If you receive one of these calls, tell them you are going to contact your local law enforcement agency and hang up. Likewise, if someone calls you saying they are an IRS representative and you will be arrested if you do not send them money, it is a scam. The following link is the Texas Attorney General’s list of consumer alerts for scams: https://www.texasattorneygeneral.gov/consumer-protection/common-scams
Purrs and Paws Shower April 6
For the entire month of April, League City Pets Alive is collecting donations for the shelter’s neonatal puppies and kittens, which typically increase during spring’s warmer weather. To kick off the collection drive, the shelter is hosting its “Purrs and Paws Kitten Shower” on Saturday, April 6 from noon to 2 p.m. at League City Pets Alive located at 821 North Kansas. Those who donate 100 pee pads or more, a case of Royal Canin Puppy/Kitten food, or a $50 Gift Card will be entered into a prize drawing.
Second 2019 Fire Academy Scheduled
Because of a record amount of applications during the City’s recruitment campaign for volunteer firefighters, the League City Volunteer Fire Department will be hosting two fire academies this year. The first session began in January with 33 cadets who are in the midst of intense training. A second academy will be held in August for another 20 or more cadets who applied to become volunteers and are currently on a waiting list.
Public Safety Updates
New Medical Facility for EMS Transport
On Saturday, March 30, League City EMS Medic 3 and EMT-A transported the first ambulance patient to the new UTMB Clear Lake Campus Hospital.
Helen Hall Library
Volunteer Appreciation Celebration
The Helen Hall Library wants to thank its volunteers for all the time and effort they have contributed to the library and to the League City community over the years. All past and present volunteers are invited to join the City’s librarians and library staff for a celebration with sweet treats, prizes, and more on Saturday, April 13 from 4 to 6 p.m. in the library’s theater.
London Lawrence, the library’s new volunteer coordinator, is hosting this celebration. Volunteers of all ages are welcome. For more information, please contact him at 281-554-1116 or through e-mail at email@example.com.
Public Works Updates
Waterline Replacement
City Line Repair crews are replacing a 2” water main on Butler Avenue between East Wilkins Street and East Saunders Street with a 6” water main. The existing 2” water main is constructed of galvanized pipe, and due to the age, pin hole leaks are not uncommon. The new 6” line will provide better pressure and allow for the installation of fire hydrants to provide needed fire protection for the residents in the area. This replacement is part of an ongoing project in the area to improve service and provide needed fire protection. The waterlines on East Wilkins Street between Hwy 3 and Butler Avenue and on Butler Avenue between East Galveston Street and East Wilkins Street have already been upgraded.
Traffic Signal Timing Project
This week, the League City Traffic Department kicked off the next phase of a multiphase traffic signal timing project that consists of re-timing 21 traffic signals along three of the City’s major traffic corridors. The corridors selected are all in need of updated signal timings due to the rapid growth in the area, most of which is on the west side of League City. At the beginning of this week, staff conducted traffic counts at each of the signals on the corridor of League City Parkway from Hobbs Road to SH 3. The counts indicate that the number of vehicles traveling eastbound from Hobbs to I-45 along the League City Parkway corridor has doubled in just the past few years.
Because of the increase, staff created and immediately implemented a model to lengthen signal timing cycle lengths along the corridor. Due to the larger cycle length, drivers will notice a slightly longer wait time on the side streets, but once on the main thoroughfare, they will have a much shorter drive time overall. During this signal timing implementation phase, ongoing timing adjustments will be made until the signal timings are balanced to accommodate the current traffic demands.
2019 Texas Water Conference
This week members of the City’s Water Production Department attended the 2019 annual Texas Water Conference and Exhibition, the largest water-related conference event held in North America on a statewide or regional basis. Water Production sent staff, as well as volunteers to help with the event, including Captain H2O, the City’s water conservation mascot. The Texas Water Conference, which is sponsored by the Texas American Water Works Association (TAWWA) and the Water Environment Association of Texas (WEAT), is widely recognized as being the premier water and wastewater related conference held annually in Texas. The conference offers an excellent opportunity for staff to collaborate with a broad range of industry administrators, operators, engineers, and manufacturers. Continuing to educate and network with people in the water industry is a great way to stay in tune to the new technologies, water conservation, equipment, and other industry standards.
Disinfection System Bulb Replacement
The Wastewater Department is performing an ultraviolet (UV) bulb replacement on the Aquaray 40 VLS UV Disinfection System at the Southwest Water Reclamation Facility. The ultraviolet disinfection system has a germicidal effect on the UV light, which inactivates most microorganisms, such as bacteria, viruses and parasites, while eliminating the need for dangerous chemicals. As the UV bulb accumulates high hours, the intensity of the bulb decreases, which lowers the disinfection rate, so replacement of the bulbs is necessary for disinfection. The manufacturer recommends bulb replacement every 6000 hours. UV disinfection is particularly effective against chlorine resistant microorganisms and is an ideal solution for reuse applications.
Water Smart Summit April 27
League City is in the midst of updating our Water Conservation Plan to ensure the City’s water supply and infrastructure will meet the demands of our growing population. To kick off our efforts, we are hosting the first ever League City Water Smart Summit on Saturday, April 27 from 8 a.m. to noon at the Home Depot in League City Town Center. Join Captain H2O at this family friendly event to learn more about how you can join League City’s efforts to preserve and conserve our water supply for the future. There will be water smart products and plants, sprinkler and lawn watering tips, prizes, giveaways, games, and a free breakfast.
CIP Updates
Burd House Exterior Renovation (PK1801B): The contractor will start exterior renovations to the Burd House (Parks Administration Office) next week. It is expected to take 60 days to complete. During this time, Parks Administration will be relocated with Public Works at 144 Park Avenue. This project will include removal and disposal of lead-based paint materials in the proper mandated fashion, the replacement of rotten wood, the re-glazing of old window panes, and the painting of the building with exterior grade primer/paint to match the existing color.
Downtown Plan – Park Avenue Reconstruction (ED1503): The notice to proceed has been issued for the contractor to start work beginning April 8. The scope of the project includes the reconstruction, and widening, of the roadway from asphalt to concrete curb and gutter, new underground electrical, on street parking, and enhanced streetscape to improve the aesthetic quality of downtown. The first phase of construction will be to install a new drainage system that will be on the west side of Park Avenue. During construction, Park Avenue will become a one-way street entering at Main Street and heading south to Walker. The Park Avenue construction will be the first of three projects to enhance the Downtown District.
Fire Station No. 6 (FR1701): This week, the contractors were able to install the site waterline for Fire Station No. 6. The waterline is now functional, and the crews continue to prepare the site for the foundation installation. The completion of the new fire station near the intersection of League City Parkway and South Shore Boulevard is on schedule to be completed in the spring of 2020.
Smith Lane Lift Station Improvements (WW1502): Council approved the construction contract to Matula & Matula on March 26, 2019 for the rehabilitation of the existing Smith Lane Lift Station. This project includes the replacement of the existing pumps and piping, structural modifications, electrical improvements, and miscellaneous improvements. Construction is anticipated to be complete by the end of 2019.
Calder Road Reconstruction (ST1002): The work on Calder Road is nearing completion. The contractor is working on the ditch grading and surfacing, sealing the pavement, and installing pavement striping. This project converted Calder Road from an open ditch rural roadway to a concrete-curb and gutter enclosed storm sewer roadway. This roadway travels from I-45 State maintenance at Calder Road and Turner Street approximately 5,600 feet south to Ervin Street. The new pavement section is a two-lane concrete roadway with a continuous bi-directional left-turn lane.
Ghirardi House Renovation (PK1907): The white structure on the west side of League City’s Heritage Park that looks like an old farmhouse is just that, and so much more. The house, known as the Ghirardi House, was donated to the City by the Ghirardi family in 2002 and moved to the park from its former location at the intersection of FM 518 and Louisiana Street. City Council dedicated $175,000 in the FY2019 Capital Improvements Plan to improve the house structure and its utilities.
This is the first step in a larger and longer process, which will require additional funding, to turn the house into a museum depicting the contributions to League City’s history by Italian descendants. The long term plan is for the Butler Longhorn Museum, also in the park, to administer the historical house as an additional museum in the future. The City’s project manager is currently consulting with the City’s Director of Parks and Cultural Services and Superintendent of Parks Operations to determine the scope and priority of renovations. The first step is to determine if the house contains asbestos or lead-based paint, an effort that is scheduled to begin in April 2019.
Following that work, an engineer will determine if any structural issues under the house need to be addressed prior to any additional renovations being undertaken. Once the status of those important items is determined, then final estimates will be developed, and construction work will move forward. The priority for use of the funding is as follows:
• Removal of asbestos and lead-based paint (if present)
• Repair of any foundation and roof structural issues that are discovered
• Replacement of the roof with new shingles that meet City code
• Other improvements to restore the building’s integrity, inside and outside, including replacement of damaged or rotting wood and painting
• Installation of a security system, electricity, and heating and air conditioning
The City of League City Project Management Department is handling the work on the Ghirardi House. Please contact Bob Duke, Parks Planner/Project Manager, at 281-554-1456 for more information.
Communications Updates
Mondays with Mayor Pat
Every Monday from 12:30 to 12:45 p.m., League City Mayor Hallisey discusses important City issues and initiatives and answers questions Live on the City's Facebook page. Have something you want to talk about on Monday's with Mayor Pat? Email firstname.lastname@example.org.
LC Local of the Week
LINDA MCKILLIP
#LCLOCAL RESIDENT & PRESIDENT OF THE LEAGUE CITY GARDEN CLUB
Why did you become a master gardener?
I initially did it to learn how to grow tomatoes. I hated the taste, so I used lots of fertilizer.
What one word would you use to describe League City?
Community.
What is your favorite place to go in League City?
Helen's Garden.
The women, and men, who make up our club not only show a love for plants and gardening but a love for volunteering and supporting our city.
How long have you lived in League City?
Since 2000. My husband and I moved her shortly after getting married because of the small town feel and proximity to Clear Lake.
Click here to read more about Linda
Upcoming Events
April 6:
Astronomy in the Park
LCPA Purrs and Paws Shower
April 8:
"Together We Can" Community Fair
April 9:
Council Meeting
April 13:
Community Garage Sale
Nature with Kristine
April 14:
Egg Scramble
Get this week's LC Lowdown |
Lecture 1
“Career” – Its Manifestation and Meaning
Intended Learning Outcome
At the end of this module, it is expected that the participant will:
1. Have a historical orientation to the emergence of career and career guidance.
2. Describe the characteristics of career as a form of work.
3. Describe the manifestation of career in varied contexts with specific reference to tribal and indigenous groups.
4. Articulate a personal definition of career and career guidance.
5. Articulate the difference between work, job and career.
CONCEPTUAL FOUNDATIONS
1. Work is Influenced by Global Forces
Work, occupation, and career development are themes that are fundamental to a wide range of human activities and relevant in some way across all cultures. Our focus is not “a” career, but “career” as a form of work. The manner in which career manifests itself is a complex phenomenon, influenced by a wide variety of factors. All through its evolution, large-scale factors, operating at the macro level—such as industrialization, modernization, colonization, Westernization and, today, globalization—have shaped and formed human orientations to work. There are very few cultures and contexts (perhaps none) that have not been influenced by these forces in some way.
Over the last year all of have experienced a powerful, global force in the form of the pandemic that severely affected career development across all age groups. Such events have characterised the evolution of work over the ages. A reciprocal relationship seems to exist between human engagement with work and co-occurring global trends.
1.1. The Hunter-Gatherer Period: Work for Survival
Human work began in a world that was wild, untamed, and perhaps hostile. Survival was most likely the prime concern. Small bands of early humans would have secured ongoing safety and survival through generic work activities such as building shelters against the elements, hunting, and gathering food. These groups tended to be wanderers, following herds of animals and other sources of food and sustenance, and at the same time making discoveries that improved the quality of their lives as they trudged along. It is quite probable that during the initial stages of its evolution:
- work was a group activity.
- individual members of the group had to learn to provide for and support the group’s needs as quickly as possible
- work was not considered separate from daily life.
Work was life and life was work. However, with the passage of time, this form of human engagement with work has undergone many changes.
1.2. The Neolithic Revolution: Settling Down
A significant milestone in the evolution of work was perhaps triggered by the Neolithic Revolution—circa 10,000 to 5000 BCE. Humankind gradually decreased its itinerant search for food and began to domesticate plants and animals. Hunter-gatherers, on different parts of earth, began to make the transition to agriculture and to establishing themselves in a specific location. This transition perhaps presaged the imbuing of work with cultural overtones.
The Neolithic Revolution led to a tremendous diversification of work skills. The settling down of groups in specific locations gradually transformed human beings from nomadic groups into sedentary societies. Villages were established which grew into towns and later into cities.
Çatalhöyük, in Turkey is one of the best preserved Neolithic towns that existed between 6200 BCE to 5200 BCE
https://ataviipgroup.com/en/destinations/catalhoyuk-the-symbol-of-neolithic-civilization/
The excavation and a reconstructed model of what the Neolithic city may have looked like. Special to this settlement in Çatalhöyük, is a unique streetless arrangement of houses clustered back to back with roof access into the buildings!
By this time, people had developed the ability to wrest the land from the wild, tame it, and make it arable. Given the massive investment of effort and the highly satisfactory returns on this investment, people became attached to certain locations and *land increased in its value*. Property ownership became increasingly important and acquired the status of being a highly valued possession.
With the passage of time, a complex of *other occupations* began to evolve which included trade and business, construction and architecture, administration and management, law and governance, protection and security, health and medicine, industry and technology. It is possible that systems emerged to classify workers according to ability and status. Specializations began to evolve and thus emerged occupational categories such as fishermen, farmers, cattle breeders, weavers, healers, traders—a list that will continue to grow for as long as human needs exist.
From the Neolithic times, work was slowly transformed from a raw and primal engagement with the surroundings, to:
- an activity characterized by customs, laws, value attributions, social standards, religious beliefs, and traditions
- the organization and classification of work activities into occupations that were governed by hierarchies
- the transmission of these learnings to others through the process of cultural learning.
Occupations and trades ran in families/close-knit groups, and expertise related to professions was transmitted from the adult to the young within the family or through *guilds* of professionals. It has also been observed that populations that were able to organize work around a central principle (for example, principles emanating from religion) were more prosperous. Hence, work as a human activity became deeply embedded in human culture.
### 1.3. The First Industrial Revolution
An important milestone in the evolution of work in Western society was the Industrial Revolution that began in England around 1760 and stretched to around 1840.
Coupled with the Protestant Reformation, a new work atmosphere was created wherein traditional practices of occupational role allocation were no longer as applicable as in earlier times. In economies that came under the influence of the Industrial Revolution and the Reformation, the nature of work was no longer typified by a specific set of activities that one engaged in for a lifetime, in order to earn a living. Work now presented prospects for change and advancement. People began to approach work as a means for achieving growth and personal development, as also for changing their class or position in society.
1.4. Ongoing Industrial Revolutions
The first and second industrial revolutions (circa 1760 to early 20th century) saw the transformation of predominantly rural, agrarian England, Europe and the United States into urban, industrialised economies.
The third industrial revolution beginning around the 1960s was undergirded by the computer/digital revolution and caused the next big shift in human engagement with work. Technology shifted away from mechanical processes to the use of digitisation and brought devices such as the computer and the internet into work.
Today we are said to be at the threshold of the fourth industrial revolution (4IR) which will be characterised by cyber-physical systems (CPS) where physical and software components are deeply intertwined and able to operate on different spatial and temporal scales, and interact with each other in ways that change with context. It is expected that the 4IR will further embed information technology processes into human society and even the human body through advances in a wide range of fields including robotics, artificial intelligence, nanotechnology, biosynthetic materials, quantum computing, biotechnology, 3D printing and autonomous vehicles.
Other re-orientations such as the emergence of nonstandard work, deglobalisation, financialization and the devalorization of mid-skill jobs are increasing the precarization of work. Technological advances are leading not merely to automation but to the autonomisation of work tools and processes (e.g., driverless cars) leading in turn to a reduced dependence on human effort. What seems to be unique about this revolution is the fusing of physical, digital and biological worlds. The foundations upon which the meaning of work have rested for thousands of years have been questioned. Artificial intelligence for example is challenging what it means to be human and against that background what human culture is.
2. Work as Career
Work, is as old as the history of mankind. Career, on the other hand, is a relatively newer construct, whose emergence coincides with changes in the evolution of work brought about by the 1st Industrial Revolution. These changes threw up new work roles that require specialisation in a particular skill set and the commitment to meeting the demands of these specialised work roles for a duration of time – sometimes for the entire duration of one’s availability to the work force. It is the relatively modern concepts of specialisation and the focused development of specific work roles that define the term career.
All careers are forms of work, but the reverse may not be always true. As an area of human activity, work is broader in what it encompasses. Career, therefore, is work imbued with certain characteristics. These characteristics are discussed in more detail in a later section.
2.1. Characteristics of Career
Career has certain distinct characteristics that allow us to describe it as a form of work. It is these characteristics that create a matrix within which career counselling and guidance can occur.
A. Making a choice and exercising the will
Career brings with it the question of *choice, decision-making* and the exercise of one’s *will*. Presented with numerous opportunities, the career aspirant is required to discriminate between various possibilities and identify the career that he/she wishes to follow. Having made this choice the individual then is required to identify and select the path that will lead to the chosen career. Decision-making however does not end at the crossroads that the individual faces at the point of initiation into the world of work. A career path is not a course that leads directly from one point to another. Career goals are not uniform, solitary targets that one must reach. A career path twists and turns often bringing the individual to new crossroads. New career goals emerge when one target has been reached. All through this course, the aspirant is required to take decisions and make measured choices.
B. Suitability
A career implies *specialisation* in a clearly circumscribed area of skills. Specialisation brings with it the implication of the individual’s *suitability* for a *specific* set of work skills. Discovering personal suitability for a career requires identifying personal interests, talents and inclinations.
The question of suitability persists throughout the individual’s career. Suitability is a particularly critical concept at the point of entry into a career. It is essential that the career aspirant discovers the career in which he or she is likely to excel and finds the highest degree of comfort. Having entered a career, the moulding of personal suitability to career tasks is the challenge before the career aspirant. Further training would be necessary to sharpen basic suitability for a set of tasks as one’s career progresses. The individual is not likely to be completely suitable for all the requirements of the chosen career. Success at a career requires making adjustments and learning to cope with newly emerging career demands.
C. Preparation
Preparation for entry is an essential characteristic of the modern career. Career preparation presents two points for consideration. At one level, preparation comprises *study, training and skill development* to meet the demands of the chosen career. Inadequate training or a poor knowledge base compromises the type of job for which one would be accepted. At another level, career preparation is linked to the attitudes with which one views oneself and a career. For example, the unwillingness to mould oneself to the requirements of a career could result in severe conflict. Career preparation also requires developing an *attitudinal readiness* to survive and progress in the world of work.
D. Ongoing development
We could perhaps link the term career to *carrière*, which is French for racecourse. In many ways, a career is a course that one follows. Movement along this path calls for fitting into predefined structures and following prescribed rules; while simultaneously exhibiting excellence, creativity and initiative. By its very nature, career offers opportunities for further development toward the higher reaches of an area of work specialisation. Promotions, switching employers, branching into other areas of specialisation are all examples of ongoing career development.
E. Social – personal dimensions
Running the course of a career is essentially the result of an intricate psycho-social process. A group of people (society at large) presents a wide variety of needs that demand attention. Individuals from within this larger group, develop the expertise to meet one of these needs or specific components of a need in a professional manner. Career is a mechanism whereby society utilises the services of its members to contribute to its wellbeing, progress and development. The larger society in return compensates the individual for delivering a particular service. An individual’s career therefore has its being in the dynamic interaction between the garnering of personal gain and the service he/she renders to society at large. Career development suffers or even grinds to a halt when this delicate balance is disturbed. An individual willingly spends energy to meet career demands because this investment of effort yields some form of personal gain. At one level this maybe in the form of higher remuneration and material benefits. At another level, the career one follows and the career progress one registers is closely linked to social status and prestige. At the deepest level, a career is a mechanism that can facilitate the unfolding of personal potentials, the realisation of one’s dreams and ultimately the actualisation of one’s self.
3. Career and Career Guidance and Counselling
3.1. What is “career”?
Based on the points made above we could say that career, as distinct from work, is characterised by the *willful direction of energy and specialised effort, for a required duration of time, toward meeting societal needs through a specific area of work, for which one gains the means not only for a livelihood but also for the realisation of personal potentials*.
It must be kept in mind, that this description of career and its development is an ideal description. In reality, a variety of forces act together to facilitate, thwart or divert the unfolding of this process. A career rarely bursts abruptly upon the individual. A person’s orientation to work and then to career is something that develops over a period of time.
3.2. Birth of Career Guidance
Beginning with the 1\textsuperscript{st} Industrial Revolution, as new occupations emerged, the issue of *matching people to jobs* surfaced as a question that needed an urgent answer. On the one hand, industry demanded workers with certain combinations of qualities, abilities and skills; on the other, the would-be worker needed guidance toward jobs for which he or she was most capable.
It was at this point in the evolution of work that career guidance emerged as a method to support the new industrial work order. Accordingly, systems were developed whereby people could be matched for jobs on the basis of their traits, abilities, and talents. This systematization of methods to support and facilitate career choice and decision making marks a notable landmark in the history of work. During earlier times when the allocation of work roles was led by social and cultural norms, there was possibly little or no need for career counselling and guidance. Today, in some cultures and economies, the individual has before him/her a wide assortment of occupational possibilities and prospects. In these cultures, individuals (based of course on their qualifications and education) are relatively more free to select and follow the career of their choice.
It is in the interface between the burgeoning of opportunities and the freedom of choice that career guidance and counselling finds its relevance. And since its inception more than a century ago, the field has grown and prospered, addressing, supporting, and facilitating individuals’ engagement with the world of work.
3.3. Manifestation of Career: Varied Contexts
As we have seen, historically the notion of career was born in a Western, individualistic, industrialized context, and was nurtured by a work ethic that promoted freedom of choice. But, not all economies came directly under the influences of the Industrial Revolution and the Protestant Reformation. In many other non-Western societies, human engagement with work progressed as it had for centuries earlier. Even today, all one has to do is to step a few miles outside the cities of economically developing countries to enter a world of work that is characterized by preindustrial features, where work is linked to the marshalling of resources to secure basic necessities such as food, clothing, and shelter. Career as it has been described earlier in this writing barely exists in these cultures and economies.
Nonetheless, global forces have and continue to have an impact on work behaviour in almost all contexts. In virtually all societies, work has changed from being simply linked to survival needs to something far more complex, requiring increasing amounts of specialization and training. Accordingly, the notion of a personal career has made its appearance in many more parts of the world. Yet, over the years global forces such as colonisation have transported the idea of career to many other cultural and economic locations. And career is a reality now in almost all economies.
It seems, therefore, that the manifestation of career can be seen in two broad contexts: contexts to which career is indigenous and contexts where it is, in many respects, culturally alien. In the former, the manifestation of career would be spontaneous and culturally congruent; in the latter, its manifestation could be the result of exigency induced by global transformations. The delineation of work from carer could be described to lie along a continuum. At one end is “career” in its fully developed form, as it has been described above; at the other end is a complete absence of this notion of career; and along the continuum are various manifestations of the idea of career. This manifestation is strongly influenced by local social, cultural, economic, and psychological factors.
3.4. What is Career Guidance?
Keeping these multiple orientations to work in view, career guidance could be described as a service that aims at helping the individual optimise personal potentials through the effective realisation of his or her social and economic role as a “worker” for lifelong development of personal wellbeing as well as the prosperity of the immediate community and society at large. To be effective, career guidance must be informed by a culturally-resonant interpretation of social, behavioural and pedagogical sciences.
At the same time it must be kept in mind that while the notion of career is becoming more and more universal, what it means, how it is manifested, and how the individual engages with career, can vary from one context to another. In one setting, the focus of career guidance may be to help an individual discover whether he/she should take up law, business studies, or product design. In another, it may be to help an individual gain contemporary skills to manage his/her traditional, rural occupation more efficiently.
4. The Emerging Code of Work
Two important features characterize the contemporary work environment and career development
4.1. Changes in conceptions of time and space
Information and communication technologies (ICT) have transformed ideas of space and time within the world of work. Today communication across vast distances can be almost instantaneous. Networks allow for the creation of virtual workspaces that need not have specific geographical locations. Many work environments take us beyond the execution of a specific set of duties, during a set work shift, at a specific location. Today, if the work partner of an Indian lives in England, it is not likely that the Indian worker can begin work as usual at 9 am because it would be 5 am on the Lebanese side! Today it is common for us to use a variety of ICTs to enter a virtual work place within which we interact with people who live in different parts of the globe and together complete units of work without ever ‘meeting’ each other. This de-linearisation and de-synchronisation of time and space (Tractenberg, Streumer Jan, & Van Zolingen, 2002), has created a new environment within which new patterns of thinking about the world of work have emerged.
4.2. Redefinition of skill requirements
Unemployment is a problem that has always characterised the world of work. The nature of and the reasons for unemployment however have changed as work has evolved. During the pre-industrial and industrial periods, unemployment quite often was linked to the vagaries of economic cycles. While this reason continues to persist, unemployment in the information age is also linked to skill redundancy.
The difference today is that changes within the world of work are so rapid and continuous that skills that were relevant even six months ago could be redundant in the here and now. Career Psychologists compare industrial age jobs with the information age and point out that in the past work was broken up into simple units that were repetitive requiring minimal amounts of critical thinking or judgement. Jobs in the information age, in contrast, are described as ‘high-discretion’ jobs requiring well-developed abilities for independent functioning and decision-making based on the effective manipulation of knowledge data bases. A new work code has emerged today where the worker-machine interface has given place to a worker-knowledge interface. Whether a person is an engineer, a psychologist or a computer programmer the worker of the future will be called a knowledge worker simply because all careers would require a high potency for manipulation and administration of information.
4.3. Lifelong learning
Education-work-retirement has been the traditional approach to the unfolding of a significant portion of an individual’s life. The emerging work ethic calls for a change in this linear and sequential way of thinking. The future world of work is no longer likely to offer jobs that could be pursued for the entire span of an individual’s working life. The worker of the future is likely to be required to make several job shifts over one life time. This could be the result of skills becoming rapidly redundant or because the new world of work offers ever increasing opportunities for greater self-fulfillment. Furthermore, if the jobs of the future are going to be ‘high-discretion’ jobs, career success is going to be dependent on the constant updating of knowledge and skills. Within this context, learning must perforce be
redefined. Careers in the future world of work require broad learning foundations that leave the option open for ongoing learning and skill development. Training courses with long periods of gestation leading ultimately to just one career possibility are likely to decrease in their relevance. Educational foundations that offer the flexibility for career change over the course of one’s life are the need of the hour. This requires a closing of the gap between knowledge transmission and skill acquisition. Embedding work-related experiences in the school curriculum for example could contribute to the closing of this gap. Employers also will need to devise strategies and methodologies that could contribute to the ongoing knowledge and skill development of their work force. A work environment where ongoing learning becomes an essential aspect of career development is expected to be the work ethic of the future.
If lifelong learning is to be possible, it is essential that mindsets also change to accept this reality. Social-cognitive environments that do not allow the worker to remain a learner could prove to be barriers to career success in the emerging post-industrial world of work.
4.4. Coping with diversity
The information age has created dramatic changes in conceptions of time and space within the world of work. The worker is today expected to discharge work roles in an environment that is characterised by social, cultural and economic diversity. Until now conceptions of preparing for the world of work were limited to learning to know and learning to do (Delors, 1996). The future world of work is going to be populated by individuals who come from varied cultural backgrounds, carrying their own ways of engaging with career and work. One of the crucial elements of the new work environment is that the individual is simultaneously aware of the diversity within the human race as well as the need for interdependence between every society. One facet of the emerging work ethic therefore would be learning to live together (Delors, 1996). A concern that has been consistently expressed about the world of work is that the forces of globalisation and technological advancement would lead to the loss of individual identities. Success in the new world of work would be linked to the individual’s ability to maintain personal autonomy and freedom of thought and judgement within a shifting, changing and diverse work environment.
5. Challenges for the Future
Some of the largest workforces in the world lie in the developing world—a world to which the notion of career is not indigenous. At the same time, career guidance is rapidly emerging as a strongly felt need in these contexts. Yet, very little attention has been directed toward understanding orientations to work and the manifestation of career in these environments. Instead, career guidance in these contexts is driven by definitions of career that have been transposed upon these cultures. As a result, those involved in workforce and career development in these contexts learn about constructs and ideas that do not equip them to effectively address felt needs.
But given the reality that career now exists outside the setting in which it was born, the challenge before the career counsellor in these contexts is to break of new ground. This is a pathway that is a less trodden one. For contexts in which career is not indigenous this may have to begin even with a redefinition of what career means in these environments. It requires innovation and creativity. Most importantly it requires a deep integration with underlying cultural forces.
6. Conclusion
Man’s most ancient preoccupation – work, has today yielded the concept of career. Indeed career development has become an important aspect of the overall development of the human individual. Yet as we have discussed above, prevailing beliefs, attitudes and mindsets influence approaches to work and career. If they are to be relevant, career counselling services must be rooted in the contextual realities of which the career chooser is a part.
REFERENCES
References marked with * are linked to the original paper. Click to read the paper.
Delors, J. (1996). *Learning: the treasure within; report to UNESCO of the International Commission on Education for the Twenty-first Century*. Paris: UNESCO.
* Trachtenberg, L., Streumer, J., & van Zolingen, S. (2002). Career counselling in the emerging post-industrial society. *International Journal for Educational and Vocational Guidance, 2*, 85-99. Click here for the paper: https://www.thepromisefoundation.org/files/documents/8414c0fa-168c-4d39-bef4-d6f1702d4311.pdf
OPEN ACCESS MATERIAL
Given below links to open access material such as papers and web based resources, that you would find interesting.
- The Prehistoric Ages: How Humans Lived Before Written Records: https://www.history.com/news/prehistoric-ages-timeline
- History of the organization of work: https://www.britannica.com/topic/history-of-work-organization-648000/Medieval-farming-and-craft-work
- A retrospective on the History of Work: https://www.atlassian.com/history-of-work
- Guilds: https://en.wikipedia.org/wiki/Guild
- The Learning Years of Medieval Childhood: https://www.thoughtco.com/medieval-child-the-learning-years-1789122
- The Neolithic Revolution: https://www.youtube.com/watch?v=rboewQNMpdU
- The origin of tool use: https://www.livescience.com/7968-human-evolution-origin-tool.html
- The Protestant Reformation: https://www.livescience.com/7968-human-evolution-origin-tool.html The Protestant Work Ethic: https://en.wikipedia.org/wiki/The_Protestant_Ethic_and_the_Spirit_of_Capitalism
- Medieval Technology: https://en.wikipedia.org/wiki/Medieval_technology
- The cognitive bases of human tool use: https://www.eva.mpg.de/documents/Cambridge/Tennie_Cultural_BehBrainSci_2012_1566208.pdf
Note to Facilitator
During our conceptual foundations we discussed the point that career is a form of work. This is a practical exercise that can be done as a part of a career guidance workshop.
Job-matching is a phrase that is often linked with career guidance. A commonly expected outcome of career guidance is that the career guidance intervention matches and links the person to a job. Of course finding a job is of great importance. But is that all career guidance is about? Does the role of career guidance end once the person has been matched to a job?
Career guidance goes beyond merely matching a person to a job. The overarching objective of career guidance is lay the foundations for life long career development. It is important therefore that time is taken to help the young person:
- understand the difference between, work, job and career.
- learn that a strong career is made of many jobs.
- acknowledge the importance of preparing for a career and not just a job.
- understand that a career is related to one’s suitability.
- that by pursuing a career rather than a job, one has a better chance of realising one’s potentials and serving society.
The most important learning we want to achieve through this exercise is that one should prepare for a career and not just a job.
How to Use the Worksheet
A sample of the worksheet that can be used for this exercise is provided below. The worksheet uses the “fill-in-the-blank” method to have a discussion with the young person on work, job and career. The worksheet has two sections as follows:
- **What’s the Difference**: This section aims are making distinctions between work, job and career. The worksheet shows a boy cooking as a spare time activity and a girl working as a qualified footwear designer. The boy could be pursuing a job and the girl could be pursuing a career. Use these images to discuss the difference between a job a career covering the following points:
- A *job* maybe something you take up to make a living. It may not need formal qualifications. The future of a job without qualifications is dim. Someone with qualifications for the same job will be able to make better career progress.
- A *career* is something broader. It requires formal qualifications in the form of certificates, diplomas or degrees. Some career also require licensing. A career brings the worker on a formal path, with clear milestones for further progress.
- In the case of the boy, he may be a good cook, but it is *unlikely* that he will progress to higher positions as a chef. In the case of the girl, she is *formally qualified* and hence she has a good chance of building a “career” in design.
- The *target* to set for oneself therefore is to aim for a career rather than taking up any job that comes along one’s way.
- These points are covered in the fill in the fill-in-the-blanks. The following words are examples for filling in the blanks:
What’s the Difference: Fill in the Blanks
- All careers are forms of work, but all work may not be a career.
- Work is any activity in which we spend our energies.
- A job is an opportunity to earn a living or a salary.
- A job may or may not be suitable for me.
- A career is an extension of my talents, interests and potentials.
One Career, Many Jobs: This section extends the learnings of the previous section. The objective here is to get the career chooser to expand his/her horizons beyond merely getting a job. The picture shows a psychologist and the names of various jobs he can take up. This person’s career (not job) is psychologist. Use the image and discuss the following points:
- a career offers the possibility to switch from one job to another, without major re-qualification.
- as a psychologist he can have many different kinds of jobs including: school counsellor, consultant in a hospital, government service, start a private clinic, join the defence services and work in the human resource department of a corporate organisation.
- with a broad career like psychologist he is free to switch across different kinds of jobs that require the qualification of a psychologist.
- if he loses one job many other jobs within the same career are open to him.
- as a result his job security is higher, because a career is a collection of many jobs.
These points are covered in the fill in the fill-in-the-blanks. The following words are examples for filling in the blanks:
One Career, Many Jobs: Fill in the Blanks
- A career is not just a job.
- A strong career is made up of many types of jobs.
- Your qualifications allow your career to grow, even if your job does not.
- The ideal career allows you to realise your potentials and also build your society.
- Therefore success can come by selecting a career for which you are talented.
Students are to use the Think Point Box to summarise what they learned. Ask one or two of them to share their learnings and conclude the activity.
WORK...JOB...CAREER?
What’s the Difference?
• All careers are forms of work, but all ________ may not be ________.
• Work is __________ in which we spend our energies.
• A job is an opportunity to earn a _______________.
• A job may or _____________ be suitable for me.
• A career is an extension of my ________________.
One Career...Many Jobs
• A career is ____________ a job.
• A strong career is made up of ____________ jobs.
• Your qualifications allow your career to ____________, even if your ____________ does not.
• The ideal career allows you to ____________ your potentials and also build your ____________.
• Therefore success can come by selecting a career for which you are ________________.
THINK POINT!
How can I prepare for a career and not just a job?
EXERCISE 1: Emergence of Career as a Form of Work
A. Look at the table below. Group the Characteristics and Events under the appropriate Milestones. One example has been given for your reference.
| Career Development Milestones | Characteristics and Events |
|------------------------------|----------------------------|
| Work in Early Human Society | |
| 1st and 2nd Industrial Revolutions | • Choices and Decisions
| • Specialisation not a strong feature
| • Autonomisation
| • Global Scale
| • Linked to survival
| • Knowledge Specialists
| • Preparation
| • Suitability
| • Mainly a group activity
| • Embedding information technology processes into social and biological processes
| • Manufacturing
| • Invention of the Computer
| • Digital Technology
| • First use of Internet
| • Ongoing development
| • Automation
| • Social-personal dimension
| • Cyber-Physical Systems |
| 3rd Industrial Revolution | |
| 4th Industrial Revolution | |
| Characteristics of Career | |
B. Write a brief summary (250 words) on the emergence of career as a form of work.
C. Click on this link and go over the paper: Trachtenberg, L., Streumer, J., & van Zolingen, S. (2002). Career counselling in the emerging post-industrial society. International Journal for Educational and Vocational Guidance, 2, 85-99. How will de-linearisation and de-synchronisation of time and space affect the future world of work? (http://thepromisefoundation.org.managewebsiteportal.com/files/documents/8414c0fa-168c-4d39-bef4-d6f1702d4311.pdf)
EXERCISE 2: What is career and career guidance?
Use your learnings from this module to write out a personal definition of career and career guidance (50 words)
EXERCISE 3: Work, Job and Career
A. Refer to the activity in the Skills for Practice section (Work, Job Career) and write out a brief description of the difference between work, job and career (100 words).
B. Administer the worksheet to a someone (preferably a high school student). Ask the student what he/she learned from the worksheet. Write out (100 words) a) A verbatim sentence from your client’s response to the worksheet. b) Your main learning about introducing career guidance to students. |
Improvement of maternal and newborn health through midwifery
Petra ten Hoopen-Bender, Luc de Bernis, James Campbell, Soo Downe, Vincent Fauveau, Helga Fogstad, Caroline S E Horner, Holly Powell Kennedy, Zoe Matthews, Alison McFadden, Mary J Renfrew, Wim Van Lerberghe
In the concluding paper of this Series about midwifery, we look at the policy implications from the framework for quality maternal and newborn care, the potential effect of life-saving interventions that fall within the scope of practice of midwives, and the historic sequence of health system changes that made a reduction in maternal mortality possible in countries that have expanded their midwifery workforce. Achievement of better health outcomes for women and newborn infants is possible, but needs improvements in the quality of reproductive, maternal, and newborn care, alongside necessary increases in universal coverage. In this report, we propose three priority research areas and outline how national investment in midwives and in their work environment, education, regulation, and management can improve quality of care. Midwifery and midwives are crucial to the achievement of national and international goals and targets in reproductive, maternal, newborn, and child health; now and beyond 2015.
Introduction
This is the final paper in a Series in which we provide evidence (analyses of systematic reviews, case studies, analysis, and modelling of deaths averted) for the contribution of midwifery to the survival, health, and wellbeing of childbearing women and newborn infants. We present the Series from the perspective of what childbearing women need and want for themselves and their newborn infants—to be healthy, safe, supported, respected, and to give birth to a healthy baby that can thrive. To meet these needs is a crucial element in realisation of the right for all people to have the highest attainable standard of health. In the Series, we discuss the values, philosophy, and health system functionality needed to deliver high-quality maternal and newborn care. The evidence shows that increases in crude population coverage of services alone do not guarantee high-quality care or a reduction in maternal and newborn morbidity and mortality. Therefore, policies should address improvements in coverage and quality at the same time—both are equally important. This balance is the concept of effective coverage\(^1\) (the proportion of the population who have need of an intervention and receive that intervention with sufficient quality to be effective, and benefit from it\(^2\)). Women’s use of midwifery services should be supported, more should be done to meet women’s needs, and improvements should be made in the quality of care received by women and newborn infants. Progress in all three areas is needed to obtain a comprehensive health gain.\(^3\)
In this paper, after briefly summarising the other three papers in the Series,\(^4,5,6\) we discuss the lessons learned from efforts to improve the coverage and quality of maternal and newborn care and then identify actions that are necessary, urgent, and feasible to improve the health and wellbeing of women, newborn infants, and children. Proactive and substantial changes are needed to make services for maternal and newborn health available and ensure that they are used and of high quality. We highlight research priorities to generate better evidence and suggest practical steps for all countries to move towards people-centred\(^7\) and woman-centred\(^8\) care, which includes the baby, the family, the partner, and others identified by the woman. In the final part of the article, we discuss how achievement of universal, effective coverage of high-quality maternal and newborn care is of central importance to primary health care and the broader agenda for global health.
Recognising the diversity of care providers across countries, the contributors of the other reports in this Series\(^4,5,6\) examine both midwifery and the people who provide that care (midwives and others). This consideration has allowed an examination of the evidence base that distinguishes between what care is needed, how it is provided, and who should provide it, and thereby it can offer essential information to educators, regulators, health system planners, and decision makers (panel 1).
The article by Van Lerberghe and colleagues\(^9\) provides a review of four countries’ efforts (Burkina Faso, Cambodia, Indonesia, and Morocco) over the past three decades to improve maternal and newborn survival and health through investment in midwives and strengthening of other aspects of their health systems. In all these countries, a combination of system changes and initiatives were used to achieve sustained reductions in maternal and newborn mortality. The article shows a recurrent sequence of events, beginning with the expansion of networks of health facilities, then the scaling up of education and deployment of midwives and reductions in financial barriers, and, finally, improvements in quality of care. In every case, access issues (expansion of networks and workforces; reductions in financial barriers) were addressed well before concerns...
about quality of care were noted by health system developers. Government responses to quality of care included improvements in technical standards, competencies, and equipment, and carrying out systematic death and near-miss audits. The experience of the four countries confirms that, when systems are consistently strengthened over a long period of time, investment in midwives is a realistic and effective strategy to reduce maternal mortality, including in resource-constrained contexts. However, the time lag between expansion of coverage and improvement in quality, and these improvements being limited to technical dimensions and essential interventions, is concerning. In these selected countries, and in many others, a substantial gap exists between the attributes of quality care and the realities on the ground. Indeed, in some countries, decision makers are only now starting to become aware of the multiple dimensions of quality—ie, the technical (competencies, equipment), the interpersonal (respectful, responsive, inclusive care), and the organisational (facilities, referral mechanisms).
Using analyses of what women and infants need, and recognising that the midwifery care that women and newborn infants need can be provided by a diverse workforce composed of midwives and others, Renfrew and colleagues define the key aspects of quality maternal and newborn care. These features include: provision of preventive and supportive care and effective treatment for problems when they arise; respect for women and newborn infants and being responsive to their needs, including those for safety, privacy, and dignity; use of interventions only when they are indicated; and strengthening of the capabilities of women to care for themselves and their infants. The contributors propose an evidence-based framework for quality maternal and newborn care, which expands the notion of quality of care from the conventional technical dimensions of what is done, to include how, where, and by whom this care is provided. The framework shows a balance between preventive and supportive care, in addition to elective
**Key messages**
- Provision of accessible quality midwifery services that are responsive to women’s needs and wants should be part of the design of health-care service delivery and should inform policies related to the composition, development, and distribution of the health workforce in all countries
- Efforts to scale-up quality maternal and newborn care should include effective measures to identify and tackle systemic barriers to high-quality midwifery—eg, the low status of women, interprofessional rivalries, poor understanding of midwifery care and what it can do, and unregulated private sector maternal and newborn health care
- To recognise and enable the important contribution of midwifery to improve health in both mothers and newborn infants is important for national, regional, and global health programmes, policies, and actions
- Midwifery can lead to positive health outcomes, especially in settings in which midwifery services are valued and respected, community-based, and integrated effectively into a functioning health system
- Expansion of equitable coverage and improvements in the quality of midwifery care will be challenging for many countries, especially those in which the number of births per year is projected to rise
- Women and communities should be included in decision making to improve midwifery services
- Midwifery care can be cost effective, affordable, and sustainable; national governments should invest in deploying midwives and national health plans should have a strategy to scale-up midwifery
- More investment is needed (by countries and development partners) in relevant research and routine collection of data for quality maternal and newborn care and on the reproductive, maternal, and newborn health workforce
- The coverage and quality of midwifery care should be monitored regularly and be used to hold stakeholders, including providers and programme managers, accountable
**Panel 1: Definitions used for midwifery and midwives**
In this Series, we define the practice of midwifery as: “skilled, knowledgeable and compassionate care for childbearing women, newborn infants and families across the continuum throughout pre-pregnancy, pregnancy, birth, post-partum and the early weeks of life. Core characteristics include optimising normal biological, psychological, social and cultural processes of reproduction and early life, timely prevention and management of complications, consultation with and referral to other services, respecting women’s individual circumstances and views, and working in partnership with women to strengthen women’s own capabilities to care for themselves and their families.”
The International Labour Organisation\(^{10}\) describes midwives as the primary professional group to provide midwifery.
The International Confederation of Midwives\(^{11,12}\) defines the midwife, as well as core competencies and standards for education and practice, as: “A midwife is a person who has successfully completed a midwifery education programme that is duly recognised in the country where it is located and that is based on the International Confederation of Midwives’ (ICM) Essential Competencies for Basic Midwifery Practice and the framework of the ICM Global Standards for Midwifery Education; who has acquired the requisite qualifications to be registered and/or legally licensed to practise midwifery and use the title midwife; and who demonstrates competency in the practice of midwifery”.
We define reproductive, maternal, and newborn care as the care provided to girls, women, and newborn infants during pre-pregnancy, pregnancy, and birth, the post-partum period, and the postnatal period, and through to the early weeks of life.
and emergency care, and allows for continuity of both the care and the caregiver from community to facility settings. The report proposes a shift from a system that focuses on identification and treatment of disease and disorders to a system of skilled care for all (figure 1).
The report by Horner and colleagues uses the Lives Saved Tool to model the potential effect of scaling up essential interventions for reproductive, maternal, and newborn health that are within the competencies of the midwife. Findings show that scaling up midwifery could help reduce adverse health outcomes, even in resource-constrained environments, and could be implemented with successful outcomes at any stage of a country’s transition to lower maternal and newborn mortality rates. Policy makers can use this paper as a guide to strengthen the efficiency and effectiveness of their services for reproductive, maternal, and newborn health and to measure how they affect outcomes.
The scope of midwifery practice combines both technical interventions and family planning, providing a substantial return on investment that is enhanced further by appropriate and timely referral to specialist care. In low-resource settings, as an example, the model predicts that, compared with present baseline estimates, and over 15 years, a 10% increase in coverage (every 5 years) of interventions (including family planning) given by midwives would lead to a 27% drop in maternal mortality. A 25% increase from available baseline estimates would lead to a 50% reduction of maternal mortality, and 95% coverage would prevent 82% of maternal deaths. The effect on reductions of stillbirths and newborn infant deaths would be similarly great. In Malawi (which has a population of slightly less than 15 million people and a maternal mortality ratio of 460 per 100,000 livebirths), a 10% increase in coverage every 5 years would reduce maternal deaths from 4500 per year in 2010 to 1200 per year in 2025, fetal deaths would decrease from 27,500 to 7200, and newborn infant deaths would fall from 30,000 to 8000. A list of modelled deaths averted for the 78 countries is available in the online appendix for the paper by Horner and colleagues.
In their paper, they suggest that there is unexploited potential to improve outcomes for women and newborn infants through collaborative practice of health-care professionals working along the continuum of care, provided that there are accessible health services, provisions for communication and transportation, and no financial barriers.
**Towards effective coverage of maternal and newborn health care**
In many countries, multiple health-care professionals, such as doctors, midwives and nurses, are engaged in services for reproductive, maternal, and newborn health, and supported by auxiliary health staff, and community health workers. To ensure continuity and quality of care, their varied competencies and expertise should be brought together into an interprofessional practice-ready team. Health-care professionals working together with local providers can increase the reach of the health system, thus combining coverage with quality of care. Midwives, provided they are well educated and supported, possess the competencies across the reproductive, maternal and newborn health continuum and are both a connector across and a driving force behind that continuum.
Scaling up the contribution of midwives to the expansion of available reproductive, maternal, and newborn health care is a strategic option of great appeal for policy makers.
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**Figure 1:** The framework for quality maternal and newborn care: maternal and newborn health components of a health system needed by childbearing women and newborn infants
Used from Renfrew and colleagues, the first report in this Series.
The effectiveness of midwives is evident in the countries documented in this Series and by modelling of the potential effect of technical interventions that are in midwives’ scope of practice. The health and social effect of scaling up the contribution of midwives would be enhanced further through fuller attention to the other dimensions of the framework for quality maternal and newborn care—ie, optimisation of normal processes of reproduction and early life; continuity of care; and competent, caring, and trustworthy care providers.
However, the challenges for implementation of the framework for quality maternal and newborn care are substantial in low-income and middle-income countries with high maternal and newborn mortality, incomplete service delivery networks, and insufficient human resources. Additionally, inefficiencies can occur when midwives and other health cadres are not given the chance to practise to their full competence. Sub-Saharan Africa, where the number of pregnancies and births per year will continue to rise, is of particular concern, in view of the projected deficits in the health workforce to meet increasing demand. According to the medium scenario in UN Population Projections, the number of births will grow from 11 million in 2010 to 16–8 million in 2035. The extent of the challenge is shown by the 14 sub-Saharan countries with high maternal mortality that have available trend data on the midwife-share of assistance at childbirth. In 2009–10, 71 243 midwives and nurse-midwives in these countries attended an average of 42 births per year (3 million in total), resulting in a coverage of 27%. Although this figure is nearly 1 million more than the 2·1 million births attended by midwives in the early 1990s in sub-Saharan Africa, this increase in service provision is not sufficient to keep up with the demographic growth. Improvements in effective coverage while midwives work with this additional workload will not only need an accelerated expansion of the number of full-time equivalent midwives (the workforce stock), but will also need substantial increases in their productivity. No golden standard exists to measure health workforce productivity and determine staffing requirements, but for the purpose of the challenge, we use the number of births per year attended by a midwife (figure 2).
At present levels of productivity, a doubling of the number of midwives by 2035 (a net increase of nearly 3% per year) would achieve only 36% coverage. Coverage of 75% of births in 2035 would require an increase of stock to 299 661 full-time midwives—a net growth of nearly 6% per year. Without an expansion in the number of midwives, productivity would have to increase to an average attendance of 175 births per midwife per year (the current WHO benchmark) to achieve 75% coverage, which could exceed the available working time of a midwife for health service activities, restrict the care provided to attendance in labour and birth, and compromise woman-centred quality care.
In the report State of the World’s Midwifery 2014 new calculations based on data from many countries make it possible to refine staffing requirements in relation to women’s needs for the continuum of maternal and newborn care.
Investment in education alone will not suffice and will have to be combined with investment in regulation, effective human resource management, and the service delivery environment in which future midwives will work, so that they will not only be able to cope with the increased workload, but will also ensure quality clinical and psychosocial care. More evidence is needed to inform effective ways of scaling up the midwifery workforce: education, regulation, in-service training, career progression, deployment, and retention and increasing of the quality, relevance, and productivity of midwives across public, private, and not-for-profit sectors. Three priority research areas are of interest.
First, better evidence is needed about labour mobility—the recruitment, posting, and transfer of staff to remote and underserved areas; how to measure and improve staff deployment and retention; and how to ensure that the net increase in the number of midwives matches increases in demand in rural and urban areas. New thinking on posting and transfer is emerging and WHO guidelines are available for recruitment and retention of health workers in rural and remote areas. New technologies allow for the identification of subnational geographical differences in the supply of and demand for maternal and newborn health services; information that is essential to identify and address inequities in access to these services. Disaggregated, locally driven data are also important to inform appropriate strategies for labour mobility and effective coverage.
Second, a better appreciation of productivity is needed. Assessment, understanding of, and improvements in productivity is an area of increased interest that is partly based on health labour market studies and new initiatives for results-based or performance-based financing but is also associated with discrepancies between health-care providers’ knowledge, behaviours, and skills (competence); what they personally can or cannot do (capacity); and what they ultimately do (performance). A deeper understanding is needed of the productivity of the midwifery workforce, maternity units, and the models of practice, such as midwifery led care and collaboration with traditional birth attendants and community health workers that can drive gains in efficiency in low-income and middle-income countries. However, any work in this area must be careful not to lose sight of the essential need to prioritise delivery of quality of care over simple economics.
The 2005 WHO benchmark of attendance of 175 births per midwife per year is a frequently used productivity benchmark for workforce planning and projections. However, this figure, which is well above the current
average of 42 in sub-Saharan Africa, needs to be refined to allow for greater sensitivity in subnational settings and contexts so that future guidance can propose a range of estimates that meet women’s needs throughout pre-pregnancy, pregnancy, birth, and post-partum and postnatal care, in remote, rural, peri-urban, and urban areas. Also needed is a set of effective implementation strategies that both enhance productivity and are compatible with the framework for quality maternal and newborn care for health services provided by teams in facilities and close to the community.
Third, rising demand in a tight labour market is likely to accelerate the commercialisation of childbirth. The rapid growth of private sector for-profit maternity services, insufficient regulatory mechanisms, and informal fee-for-service payments are examples of policies and practices that lead to overmedicalisation. To address the social and economic mechanisms underlying the commercialisation of childbirth has not been at the top of the agenda for maternal and newborn health research, policy, and practice development over the past three decades. The development of adequate strategies to manage increasing commercialisation needs a better understanding for emerging trends and feasible options that will mitigate the adverse effects of commercialisation and tackle the resulting inequalities.
**Improvement of the quality of maternal and newborn health care**
Over the past decade, the primary health-care movement has fully recognised the importance of people-centred care, whereas within maternal and newborn health, the main focus has been on life-saving interventions and increases in coverage. This difference has led to the quality agenda for maternal and newborn health only now starting to emerge. Attention to quality of care has been shown in documentation about the sometimes difficult relationship between care providers and women, which can result in disrespect, abuse, and abandonment of care. But these situations are often symptoms of deeper health system problems, rather than simple measures of poor quality, and their documentation has not led to coherent political strategies to address these issues. In high-income countries, quality of care often focuses on informed choice without addressing the other aspects of the framework for quality maternal and newborn care, resulting in a focus on relatively quick-fix technical solutions while little attention is paid to the more difficult longer-term building of systems that include preventive care and that uphold the appropriate provider values and attitudes needed to deliver it.
Even in situations in which the health system provides adequate and appropriate facilities, workforce, equipment, and drugs, high-quality reproductive, maternal, and newborn health care might still not be good enough. Research done in facilities with at least 1000 births per year across Africa, Asia, Latin America, and the Middle East noted that a high coverage of essential interventions alone did not reduce maternal mortality. Maternal mortality was only reduced in facilities that combined essential interventions with comprehensive emergency care and made overall improvements in the quality of maternal health care. The contributors concluded that, in facilities in which the workforce and enabling environment were present, mortality remained high when interventions were delayed or poorly implemented or when they did not form part of a continuum of care.
To deliver high-quality care, health professionals and policy makers need to create an environment in which the 72 effective midwifery interventions identified in this Series can be implemented consistently with the woman-centred values and philosophy outlined in the framework for quality maternal and newborn care; 43 (60%) of 72 interventions show a need to optimise the normal processes of reproduction and early life to avoid complications and to strengthen women’s capability to take care of themselves and their families. This change is likely to have important economic effects, potentially reducing health spending and increasing the sustainability of maternity care systems in the longer term. Education of health-care professionals and efficient regulation of practice are important components to make that environment possible, but it is also important to create partnership and dialogue between care providers and with care users and communities. The framework for quality maternal and newborn care provides evidence-based guidance to help to adjust education and regulation to the needs of such a collaborative environment.
All countries face challenges in provision and measurement of quality maternal and newborn health care. The medicalisation of childbirth is increasing in most countries. In lower-income countries, pregnancy
and childbirth are slowly moving from a normal life event to a medicalised intervention. As in many high-income countries, care is also becoming more medicalised, resulting in similar shortcomings in quality. Experience from some high-income and middle-income countries, as discussed in other papers in this Series, shows the importance of using a framework such as the framework for quality maternal and newborn care to strengthen the quality of services and service providers and to ensure that all aspects of quality care are monitored and addressed.
In low-income and middle-income countries, there are signs of increasing user expectations for high-quality, safe care during pregnancy and childbirth. Individual and community drivers (eg, local opinion about facility birthing, experience at facilities by other members of the community, absence of equipment and drugs, and a bad reputation for interpersonal relations) are strong influences on people’s decisions about choice of birthing facility, with patients bypassing nearby facilities in favour of those with a better reputation further away. A recent study showed that the quality of care in bypassed clinics was indeed worse. This finding led to suggestions that it would be more efficient to invest in making birthing services available at a level at which quality care can be provided, rather than to provide care unconditionally at community level.
Countries across a wide geographical and income range have reduced maternal and newborn mortality by offering more effective services. Several countries have tackled the entrenched financial and health system barriers to midwifery services and attempted to solve fragmentation of the scope of midwifery among different cadres, but most countries are still contending with ineffective policy environments for quality maternal and newborn care, the low status of women, and the domination of midwifery by medicine. Countries are showing a trend towards increased service provision by doctors, which, in some countries, has led to a significant reduction in the number of practising midwives and increased medicalisation of pregnancy and childbirth.
Professional education is core to increases in the quality and coverage of quality maternal and newborn care. WHO guidelines on transformative education targeted to low-income and middle-income countries, emphasise that both pre-service and in-service health professional education must increase the quantity, quality, and relevance of future providers for them to meet the needs and expectations for population health. New ideas and avenues need to be explored to produce a workforce that is fit for purpose and regulated to enable their full scope of practice to contribute to the effective delivery of quality maternal and newborn care.
**What midwifery can contribute to effective coverage and woman-centred agendas**
Midwives, when working to the framework for quality maternal and newborn care and within an enabled environment, have the potential to bring care close to women and communities and tailor it to their social and cultural needs. As this Series shows, midwives can optimise the normal processes of reproduction and the early years of life, and still ensure the identification and management of complications before they become life threatening and to refer women when necessary. Results from the reviews of systematic reviews done in this Series show that midwifery, as defined in this Series, can result in a decrease in maternal and newborn mortality, stillbirths, perineal trauma, instrumental births, intrapartum analgesia and anaesthesia, severe blood loss, preterm births, newborn
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**Panel 2: Pragmatic actions to improve the coverage and quality of maternal and newborn care through midwifery.**
- Regularly discuss and refocus the package of care and the quality (technical capacities, interpersonal relationship capacities, and ability of health systems to create the enabling environment) that reproductive, maternal, and neonatal health teams provide using the framework for quality maternal and newborn care.
- Involve women, families, and communities in the design and delivery of quality maternal and newborn care.
- Ensure that education covers all the elements of the framework for quality maternal and newborn care and is taught to all providers of reproductive, maternal, and neonatal health care. Ensure that there is a balance between theory and practice so that midwives can be fully functional in all contexts as soon as they graduate. Ensure effective interdisciplinary education at all stages (pre-service and in-service), which is likely to result in a stronger integrated team for quality maternal and newborn care, decreased professional rivalry, and improved collaboration along the continuum of care.
- Use the framework for quality maternal and newborn care and its evidence base to identify, analyse, and solve problems in service provision and to strengthen regulation and legal frameworks used across reproductive, maternal, and neonatal health teams that promote and support collaborative practice and accountability.
- Undertake regular midwifery workforce assessments and reorganise the health system so as to ensure available, accessible, acceptable, and good-quality maternal and neonatal health services.
- Make the necessary health system and regulatory changes for midwives to work to their full capacity and to carry out all the basic emergency obstetric and newborn care functions as close to women as possible without compromising the quality of care. Those functions include prescription authority for essential medicines.
- Ensure that midwives have effective back-up when needed and that they are part of a collaborative team of health-care professionals to provide the continuum of care along the reproductive life cycle and from home to hospital. Midwife-led units that work closely with communities and community health workers are an effective mechanism to bring health systems closer to people.
- Secure a fully enabled environment, including functioning facilities and equipment, effective communication, and transportation for women and newborn infants in need, in addition to an efficient recruitment and retention of staff, an appropriate living wage, supportive supervision, and professional and career development opportunities.
- Test and develop the effectiveness of reproductive, maternal, and newborn health services with use of indicators such as rates of intrapartum stillbirth, early neonatal mortality, and maternal death surveillance and response mechanisms to monitor the quality of care and to guide and measure progress.
infants with a low birthweight, admissions to neonatal intensive care units, and hypothermia. The analyses also reported that midwifery can result in increases in spontaneous onset of labour, numbers of unassisted vaginal births, and incidence and prevalence of breastfeeding. Importantly, women reported a higher rate of satisfaction with care in general, particularly with pain relief. Panel 2 presents some essential actions in the areas of education, regulation and team development that can be initiated immediately to increase women’s access to midwifery services and quality maternal and newborn care.
Evidence has been established for the potential gains for quality care being given closer to women and communities. New approaches to identify students from rural locations will enable this goal, and it will be key for students from the community to be retained in that community. Evans reviewed the community-based midwifery diploma programme in Bangladesh and showed that a hub-and-spoke model of midwifery education reduced the cost per midwifery student per year to a third of the cost of traditional education models. The return on investment predicted from the deployment of additional midwives in rural communities in which maternal and newborn health needs are greatest includes increases in the number of lives saved, decreases in morbidity, and reductions in the number of caesarean sections. The assessment identifies the return on investment from the education and deployment of community-based midwives as similar to the cost per death averted by vaccination—known in public health as one of the most cost-effective ways to save lives.
**High-quality maternal and newborn care: a global health priority**
People-centred care that recognises people’s legitimate right to and expectations for equitable, high-quality, safe, and respectful care should be a global health priority and be put at the heart of the movement to improve maternal and newborn care. Midwifery is a vital solution to the challenges of providing high-quality maternal and newborn care for all women and newborn infants, in all countries. Improvements in availability, accessibility, acceptability, and quality of midwifery services, within a functioning health system that is responsive to women’s needs and requirements, is crucial not only to accelerate efforts to attain the Millennium Development Goals (MDGs) by 2015, but also to the development of the post-2015 agenda’s goals and targets, in which emphasis on reduction in maternal and newborn morbidity should be even stronger than it has been in the past.
Available guidelines and global initiatives for stillbirths, family planning, maternal, newborn, child, and adolescent health, HIV/AIDS, and non-communicable diseases are opportunities to promote the widespread adoption of the framework for quality maternal and newborn care proposed in this Series. This approach to midwifery is an effective solution to enable the achievement of these ambitious targets. Countries urgently need to put policies in place that allow for its implementation (table).
The health workforce has long been recognised as crucial to improvements in health outcomes. The 2013 report A Universal Truth: No Health Without a Workforce re-emphasised this notion. Unfortunately,
| Target year | Actions or targets |
|-------------|--------------------|
| Stillbirths (2011) | 2020 For countries with a stillbirth rate of more than five per 1000 births, reduce stillbirth rates by at least 50% from 2008 rates; for countries with a stillbirth rate of less than five per 1000 births, eliminate all preventable stillbirths and close equity gaps |
| Preventing early pregnancy and poor reproductive outcomes among adolescents in developing countries (2011) | To improve adolescent morbidity and mortality by reducing the chances of early pregnancy and its resulting poor health outcomes Reduce pregnancies before age 20 years Increase use of contraception by adolescents at risk of unintended pregnancy Reduce unsafe abortion in adolescents Increase use of skilled antenatal, childbirth, and postnatal care in adolescents |
| Global Plan Towards the Elimination of New HIV Infections Among Children by 2015 and Keeping Their Mothers Alive (2011) | 2015 Estimated number of new HIV infections in children reduced by at least 85% in each of the 22 priority countries; estimated number of HIV-associated pregnancy-related deaths reduced by 50% |
| Family Planning 2020 (2012) | 2020 To make available affordable lifesaving contraceptive information, services, and supplies to an additional 120 million women and girls in the world’s poorest countries by 2020 |
| A Promise Renewed (2012) | 2035 All countries to lower child mortality rates to 20 or fewer deaths per 1000 livebirths by 2035 |
| Ending Preventable Maternal Mortality (2013) | Proposal at consultation to reduce maternal mortality ratios to less than 70 deaths per 100 000 livebirths by 2030 |
| Every Newborn Action Plan (2014) | 2035 Proposal at consultation: to reduce neonatal deaths to less than 10 deaths per 1000 livebirths and to reduce stillbirths to less than 10 per 1000 total births, by 2035, with interim targets for 2030 |
| Framework of Actions for the follow-up to the Programme of Action of the International Conference on Population and Development Beyond 2014 (2014) | States should remove legal, regulatory, and policy barriers to sexual and reproductive health services for adolescents; ensure information and access to contraceptive technologies, prevention, diagnosis, and treatment for sexually transmitted infections and HIV, including the human papilloma virus vaccine, and referrals to other health concerns such as mental health problems |
Table: Guidelines and global actions and targets in reproductive, maternal, newborn, child, and adolescent health
progress made in the midwifery workforce has not been sufficient in the almost 30 years of the Safe Motherhood and Making Pregnancy Safer initiatives to enable the attainment of MDG 4 and MDG 5 in all countries by 2015. Horton\textsuperscript{46} argues that the lack of a skilled health workforce is failing women badly, and that this failure is now the biggest obstacle to improvements in women’s and children’s health. The independent Expert Review Group on Information and Accountability for Women’s and Children’s Health\textsuperscript{47} calls for quality of care to be a route to equity and dignity for women and children and to make health-care professionals that serve women and children with measurable effect count. Langer and colleagues,\textsuperscript{48} in \textit{A Manifesto for Maternal Health Post 2015}, call for “universal access…to properly trained health individuals, especially midwives and those providing midwifery services”. The global consultation for the Every Newborn Action Plan\textsuperscript{49} includes several calls to strengthen the role of the midwife.
\textit{The Lancet} Commission on investing in health\textsuperscript{50} shows that the return on investment in health is large, and that, with the technical and financial capacities available worldwide, it is possible to lower mortality rates to the levels of the best performing middle-income countries by 2035. This grand convergence can be achieved through a focus on infections; reproductive, maternal, newborn, and child health; and non-communicable diseases with targeted approaches not only in low-income countries, but also in lower-income and rural subpopulations of middle-income countries. Similarly, WHO, World Bank,\textsuperscript{51} and WHO Consultative Group on Equity and Universal Health Coverage\textsuperscript{52} identify reproductive, maternal, newborn, and child health; non-communicable diseases; and injuries as areas that will support the achievement and measurement of progress towards universal health coverage. Each of these forward-looking perspectives focuses on equity and improvements in the effective coverage of reproductive, maternal, and newborn health services, especially in the crucial period around pregnancy, childbirth, and the early weeks of life.\textsuperscript{53} These are further justifications that investment in midwifery is an effective solution to attain MDG 4 and MDG 5 and the new global targets, provide a basis for primary health care and universal health coverage, achieve the grand convergence in global health by 2035, and deliver on women’s rights to sexual and reproductive health.\textsuperscript{54}
**Conclusion**
As the 2015 target date for the MDGs draws near, and attention turns to the post-2015 sustainable development agenda,\textsuperscript{55–57} this Series comes at an opportune moment to support the move towards universal coverage of high-quality maternal and newborn care. As shown by the estimates of lives saved through increases in coverage of the midwifery package of care\textsuperscript{4} and the experiences of a few exemplary low-income and middle-income countries that have invested in midwives,\textsuperscript{5} use of the framework for quality maternal and newborn care is a means to good health and improved social outcomes for women, men, and children.
The momentum is tangible. Reproductive, maternal, and newborn health are global health priorities. Economic growth in Africa and southeast Asia creates opportunities for change, which could make greater the return on investment in quality maternal and newborn health care. However, many of the commitments that have been made to Every Woman Every Child by countries and development partners still only relate to provision of medical interventions for life-threatening complications. But essential medical interventions only cover a fraction of the needs of women and their families and miss the opportunity to prevent the occurrence of such life-threatening situations. The midwifery package of support and care is an efficient and effective way to optimise normal reproductive processes, improve health and psychosocial outcomes, and strengthen the capabilities of women and their communities in all countries.
The high-quality maternal and newborn care described in this Series should be at the heart of all subnational, national, regional, and global efforts to improve women’s and children’s health and wellbeing, and it needs a core position within the post 2015 agenda. The knowledge and methods are available to achieve quality maternal and newborn care. Political will and commitment are increasing, women’s and families’ voices are growing louder, and economic growth and education for girls are on the rise. The opportunity to transform health, education, and social systems and to make maternal, newborn, and child health a reality for all, is here.
**Contributors**
Pti-B prepared the first draft. All co-authors, except WVL and VF, contributed sections to that draft and reviewed the paper. Pti-B, WVL, and VF further developed the second draft. All co-authors contributed to the format development, revisions, and finalisation of the paper. All authors approved the final version.
**Declaration of interests**
We declare no competing interests.
**Acknowledgments**
The work on this paper was supported partly through a grant from the Bill & Melinda Gates Foundation (grant number OPP1042500). The findings and conclusions in this report are those of the authors and do not necessarily represent the official views of the sponsors or the Bill & Melinda Gates Foundation. MJP’s work was supported by the University of Dundee. Pti-B’s work was supported by the Instituto de Ciencias Sociales. Maria Guevara Arias managed and checked all the references. Thomas Prentice provided comments on the first draft. Joanne McManus edited the second draft. Administrative support was provided by Jenny Brown and Tracy Sparrey, and Natalie Muir provided project support. We thank all series co-authors, close readers, and the reviewers from ICM, FIGO, WHO, and the Bill & Melinda Gates Foundation for their contributions and support.
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WINDOW OF OPPORTUNITY
When surgery to treat neurological conditions lets researchers peer into the brain, ethical questions abound
In 2019, Kate Folladori spent a month sitting in a hospital room hoping she’d have a seizure. Since her diagnosis with epilepsy nearly 20 years earlier, a series of medications had failed to bring relief. Now, a team at Baylor St. Luke’s Medical Center had placed wire electrodes into her brain to record neural activity. The doctors hoped to learn where her seizures originated—and whether she might be a candidate for tissue-removing surgery or a brain stimulation implant to suppress them.
As the weeks wore on, Folladori got restless. Time became warped by boredom, and her surroundings felt surreal. “One moment that I remember specifically was it was raining outside … and it felt to me like I was watching a television show where it was raining.”
Breaking the monotony were visits from a group of neuroscientists who recorded activity in Folladori’s brain while she did simple tasks. She might press a button when a cue appeared on a computer screen or watch short videos intended to evoke different moods. The studies weren’t aimed at helping Folladori or even at treating epilepsy; they addressed more basic questions about vision and emotion in the brain. But for Folladori, they were a rare bright spot. “[Having] people from the outside to make you laugh, and to give you something to do, and to give you a goal—that was everything to me,” she says.
Folladori, in turn, offered something rare and valuable to the research team, led by her neurosurgeon, Sameer Sheth of Baylor College of Medicine. The intimate view of brain activity the scientists gleaned from those tests is impossible without invasive surgery, which would be unethical to perform solely for research’s sake.
People who take part in these intracranial studies—often during epilepsy monitoring or brain surgery performed when the patient is awake—“are giving an invaluable gift,” says Khara Ramos, former director of the neuroethics program at the National Institutes of Health (NIH) who is now at the Dana Foundation. Noninvasive methods of studying brain function such as functional magnetic resonance imaging and electroencephalography can “give you good spatial resolution or good temporal resolution, but not both,” she says. But a fine wire placed in contact with brain tissue can detect the activity of neurons with precision on the scale of millimeters and milliseconds. And researchers can relate that activity with a person’s real-time report of the experience.
“We can essentially gain access to the very basic neural mechanism of the human condition,” says Itzhak Fried, a neurosurgeon at the University of California (UC), Los Angeles.
Thanks partly to the rise of invasive brain stimulation treatments for diseases such as Parkinson’s and epilepsy and to a recent U.S. federal funding program, intracranial human neuroscience is burgeoning. “There has been a significant expansion of groups that are capable of doing this work,” says Winston Chiong, a neurologist and ethicist at UC San Francisco.
But the research opportunities that come with intimate access to people’s brains also raise complex ethical issues. Basic science studies tacked onto medical procedures typically offer no clinical benefit to participants. People are often recruited into a study as they prepare for serious surgery, sometimes by an investigator who is also their surgeon.
“There is a really unique situation of vulnerability that patients are in,” Chiong says. He and others have raised questions about how to verify that patients’ participation really is voluntary, how to make clear to participants that the research is separate from clinical care, and how to ensure that researchers’ desire to collect useful data doesn’t compromise or interfere with that care.
Those concerns have motivated one group of researchers to develop a set of ethical commitments to guide studies in the field, published this week in *Neuron*. “I’ve been heartened by the conscientiousness of the neurosurgical community that we have,” Chiong says, “but there’s certainly opportunities for abuse.”
**PIGGYBACKING** on a surgery to explore basic brain function isn’t new. Starting in the 1930s, Canadian neurosurgeon Wilder Penfield treated patients for epilepsy by removing small regions of the brain. During the operation, he also explored their exposed brains, stimulating the tissue with an electrical probe and asking the patients, who were awake, what they experienced. Such experiments led to the famous homunculus: a map of which brain regions represent various body parts.
In the past 20 years, researchers have benefited from the rise of other skull-penetrating medical treatments. Those include Folladori’s seizure-monitoring electrodes and implanted devices that deliver electrical stimulation to stop seizures, treat severe obsessive-compulsive disorder, and control symptoms of movement disorders such as Parkinson’s disease. Implanted stimulation devices are also being studied for other conditions, including post-traumatic stress disorder and depression.
Awake surgeries to insert such devices or resect tumors can sometimes be paused briefly for an unrelated experiment. Fried estimates roughly 30 groups in North America now do intracranial human neuroscience in epilepsy surgery patients—up from fewer than 10 when he started in the field, about 20 years ago.
Researchers can also tap into therapeutic devices that stay in the brain long-term, some of which both deliver electrical stimulation and read out neural activity. Such implants are still underused sources of neural data, says UC Los Angeles (UCLA)
neuroscientist Nanthia Suthana, who has used their recordings to study learning, memory, and spatial navigation. Another rare opportunity comes from people with paralysis or limb loss. Some of these patients agree to have neural recording devices implanted for research studies that may lead to new brain-computer interface approaches to restore lost movement or communication.
Intracranial research faces a unique set of constraints. For one, researchers typically can’t record from any brain region they want. “We adjust our question to where the electrodes are,” Fried says.
Because a brain region above the ears called the temporal lobe is among the most common sites of seizures, Fried and others have designed much of their research around its functions, which include memory and language processing. For example, recordings by Fried’s team in epilepsy patients have revealed the underpinnings of the “memory moment”—when neurons encoding a memory activate, about 1 second before a person reports that memory coming to mind.
The precise locations of electrodes also vary between patients, making data hard to align across participants, notes Evelina Fedorenko, a neuroscientist at the Massachusetts Institute of Technology. Her team relies on intracranial recordings to study how the brain uses both general and language-specialized mechanisms to understand language. Another issue for the field, she says, is that because eligible participants are scarce, there’s little incentive to conduct experiments that aim to replicate previous results rather than break new ground. “People just want to test whatever new cool hypothesis they have,” Fedorenko says.
In a further challenge, many powerful research tools used in lab animals, including genetic manipulation of brain cells, are simply off limits in people. When grant applications to do human intracranial research receive review, says Jim Gnadt, a program director at the National Institute of Neurological Disorders and Stroke, “it’s hard for them to compete with the critter studies because they’re not as invasive, they’re not as modern.” So in 2017, the NIH neuroscience technology initiative, Brain Research Through Advancing Innovative Neurotechnologies, created a new program specifically to fund research opportunities offered by intracranial human recordings and to encourage interdisciplinary collaboration.
A consortium of investigators supported by the program has become a key forum for ethical discussions, and in the current *Neuron* paper, they lay out an ethical framework. Chiong, who was not involved in writing the paper, thinks other researchers will take it seriously. “There’s going to be a fair amount of pressure to make sure you’re operating within that framework,” he says. “Investigators are kind of looking around at what other people are doing and wanting to be sure that everybody’s playing by the same rules.”
One tenet of the new paper: Scientific considerations should not influence clinical decisions.
That guideline might sound straightforward. But for some procedures, including implanting epilepsy monitoring electrodes, multiple methods are acceptable, says Nader Pouratian, a member of the consortium and a neurosurgeon at the University of Texas Southwestern Medical Center. Surgeons use their discretion in clinical decisions that, in turn, influence what research data can be collected.
For example, debate is ongoing in deep brain stimulation (DBS) surgery about whether patients should be under general anesthesia or awake for part of the procedure, Sheth notes. Many doctors have switched to asleep procedures for patient comfort and convenience, he says, whereas other clinicians assert that having patients responsive as surgeons determine where to place the implant can lead to better outcomes.
Unresponsive patients can’t answer questions or do tasks for a research study. When asleep DBS surgery became standard at Sheth’s center in 2019, he was faced with asking patients to agree to an awake surgery that was “still a very appropriate
way of doing it, but not how I usually do it.” Uncomfortable with posing that question, Sheth stopped doing research involving such patients.
**HOW TO RECRUIT** participants into those studies is itself fraught. Bioethicists have long discouraged “dual-role consent,” in which a physician who is also a study investigator invites a patient to participate. Patients may feel a sense of obligation or obedience to the physician in charge of their care, the thinking goes—and may misinterpret the study as having therapeutic benefit.
But Pouratian says some investigators in the NIH consortium asserted they were the best person to consult with patients and obtain consent because they understood both the study and the complexities of the brain surgery itself. He feels “a little conflicted” over the idea of leading the consent discussion. “They’re my patients—of course they’re going to want to consent for me,” he says. Pouratian and UCLA bioethicist Ashley Feinsinger have an NIH grant to study motivations of participants in nontherapeutic intracranial studies and their perceptions of risks and benefits. Feedback so far suggests trust in a physician or researcher plays an important role in how patients think about their participation.
Folladori can attest to that. “I really liked Dr. Sheth, and that was part of why I wanted to [participate in research],” she says. “If someone else had asked, I don’t think I would have said no, but I wonder if my feelings about it going in would have been different.”
Pouratian, Sheth, and others now use a hybrid consent process: A surgeon introduces the study and is available to answer questions, but another member of the study team not involved in the patient’s care walks through the consent documents and the signing process. The new *Neuron* paper says the consent process can vary across studies and institutions, “as long as the distinction between clinical care and research is explicit.”
Measuring and communicating risk is also challenging. Most researchers agree that asking a person to play a few computer games or answer questions in the epilepsy monitoring unit carries little risk beyond fatigue. Harder to quantify is the risk of experiments done midsurgery, which can extend a patient’s time in the operating room, typically by 20 to 30 minutes.
Very long surgeries are associated with higher rates of infection than short ones, Sheth notes. But how much additional risk comes from extending a surgery from 3.5 hours to 4? “One could assume it’s very small,” he says, “but it may not be zero.”
Sometimes researchers temporarily place an extra strip of electrodes over the surface of the brain during a surgery to collect more data. “I’m very clear [with patients] that we’re doing something additionally that we normally would not do,” that little prior evidence is available for comparison, on how well patients with Parkinson’s recall information about either research or their treatment.
Still, the authors suggest future studies might explore ways to improve understanding and retention, such as a “teach-back” approach, in which participants explain details of the consent form to study staff.
Feinsinger and Pouratian are pursuing a different question: What do patients see as the value of joining these studies? At the annual meeting of the International Neuroethics Society in November 2021, Feinsinger presented feedback from interviews with 14 people between 2 months and 2 years after they took part in nontherapeutic research during implantation of DBS electrodes for a movement disorder. The conversations revealed a strong faith that basic science would pay off in future treatments for their or other brain diseases.
That was the case for Corey Westgate, who took part in studies by Suthana’s group at UCLA that relied on readouts from Westgate’s implanted seizure-preventing device. After decades struggling with convulsive seizures, “I want this to stop,” she says, “and if me doing research can help that, then I would love to do it as much as I can.”
Suthana says the studies weren’t focused on treating epilepsy; they explored how the brain navigates through space and remembers landmarks. But the results could improve understanding of memory impairments common in epilepsy patients, she says.
Feinsinger notes that researchers need to make sure patients’ hopes are realistic. “Are we responsible for inferences patients will make about the translational likelihood of this research?” she asks. “I think to some extent, we are.”
For Folladori, a month in the epilepsy monitoring unit allowed her to participate in several studies, but she never had the seizure her doctors were waiting for. Fortunately, they used signs of abnormal activity from some of the implanted electrodes, among other clues, to find a target for a stimulation device that has kept her seizure-free for 2 years.
The experience has shaped her attitude toward research. “The reason I’m here is because of the scientific process that took place before me,” she says. “If I can participate in that in any way whatsoever, then I will absolutely do that.”
“Well,” she adds, reconsidering, “maybe not any way whatsoever.”
Window of opportunity
Kelly Servick
Science, 375 (6578), DOI: 10.1126/science.ada0099
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As this newsletter is set to go to press, there is technically another three weeks left of fall, although the entire month of November felt like a winter month. And on top of that, apparently this past November was the cloudiest month in four years. But there is still no better way to rid yourself of the winter blahs than to get outdoors. Plus winter conditions offer so many fashionable footwear choices – hiking boots, snow boots, icers, snowshoes. I am happy to wear any of these, but I still find it almost impossible to drive while wearing snowshoes.
In this edition we look back on perhaps our most ambitious Bruce Trail Day thus far, learn about the Dufferin Community Grants, enjoy the Hiking and Trail Reports, revisit some fall mushroom highlights, share a collection of hikers’ comments and – of course – there’s our terrific Dufferin Hi-Land tuesday and weekend hike schedules. Plus enough wonderful pictures of the great Dufferin outdoors that you’ll want to put this newsletter down and get out on the trail – no matter what the weather.
Sept 30, 2018. Grey skies, cool temperatures. Perfect hiking weather, and also great for this year's Bruce Trail Day. Responding to a Conservancy wish for clubs to highlight Bruce Trail owned properties, Dufferin moved the Bruce Trail Day location from Mono Cliffs Park to our property at Splitrock Narrows. As usual, we set up our canopy and display tables, sold hotdogs, gave away pumpkin cake and gave guided hikes.
Then there were the differences: thanks to Ontario Power Generation, who donated a Bruce Trail Guide to every new member, we sold twenty new memberships. Down by the displays children hammered together pre-cut birdhouses for installing on Bruce Trail land. Up the hill, close to (but not too close to) the cliff, children scattered wildflower seeds.
This year, for the first time, we supplemented our usual advertising through cards and notices in store windows and coffee shop notice boards with paid advertisements in four local newspapers. And we rented a porta-potty, there being no concrete government comfort stations at Splitrock.
To help us gauge how the new spot was working out, we conducted a modest survey as people arrived: how did you hear about us and where did you come from? It was gratifying to hear that all our forms of advertising had been found by someone, and slightly surprising to find out that "word of mouth" was by far the most frequent answer. Given those answers, it was no surprise to find out that almost everyone, including the twenty new members, was, in one way or another, local.
All told, about sixty people - adults and children - attended, and about a dozen dogs. Everyone enjoyed the hikes, flowers, birdhouse building and cake. And, of course, everyone, including the dogs, was thrilled with the great trails and spectacular scenery at Splitrock.
Overall, although a different event from welcoming hundreds at Mono Cliffs eager to see the leaves, this "first event at our new venue" was a great success. Local people with local memberships and local children and local dogs will be repeat users of the trail. Repeat users eventually turn membership support into volunteer and donor support and long term commitment to the club and the trail.
Even on the trail, Locally Sourced means Superior Quality.
Dufferin Community Foundation Grant
On Sunday September 30 a group of dignitaries gathered at the Hockley Resort to launch the Dufferin Community Foundation by presenting the first mini grants of $1,000 to three local charitable organizations. The Dufferin Bruce Trail Club is proud to be one of the recipients for our School Outreach Program. The money primarily goes to subsidizing the cost of busing the students to and from the trailhead. Club President Jim Preyde is shown accepting the grant.
The Childrens' Wildflower Garden
Now that we were celebrating Bruce Trail Day on one of our own properties, we thought it would be great to offer wildflower seed scattering for children. A native seed collection containing Purple Coneflower, Black Eyed Susans, Anemones, Beach Pea, Indian Blanket Flower and Bee Balm was collected and scattered. Here are some of the happy scatterers below.
A Tale of Two Sittings
Outside of Mono Cliffs Park, the Dufferin section has only four places to sit. On a beautiful September day, we added a fifth, by building a bench on the Splitrock Narrows property, overlooking the Mono countryside. Pictured are builders Jim Preyde, Brian Cornfield and Carl Alexander, who did the design and prefabrication. Thanks also goes to Ralph Tremills who did most of the digging. The bench has since been enjoyed by many people, particularly on Bruce Trail Day as it is next to the Childrens’ Wildflower garden. It would be hard to find a more peaceful setting.
Jim Preyde reflects on the morning of Sunday, October 28th, as friends from the Dufferin Hi-Land Bruce Trail Club hiked to this picturesque Splitrock Narrows spot. “The surroundings were lit by a slate grey sky. The previous night the season's first snow fall had covered the landscape in a soft carpet of white; tree branches were bent slightly under the weight of their frosty shawls. The view to the east was a large vista of rolling farm fields and wood lots as we gathered to remember our friend James Griffin and dedicate this bench to him; recalling happy times, a toast to his memory, a hike through the beautiful Splitrock Narrows and getting warmed up over hot coffee in Primrose – a day James would have greatly enjoyed.”
Below is the inscription on the bench’s plaque – a fine tribute to a wonderful man at a truly beautiful spot.
In Loving Memory of James Griffin 1937-2017
Few people embraced volunteerism with such devotion and enthusiasm as James Griffin. James served the Dufferin Hi-Land Bruce Trail Club for many years as a member of the Board of Directors, a dedicated hike leader, trail captain, trail builder, donor and friend. James Griffin’s selfless commitment to the Bruce Trail Conservancy’s vision, his cheerful demeanor and boundless energy are greatly missed by all who knew him. Gone too soon.
Well, the leaves have now fallen and it’s time to think about winter hiking. Time to dust off the snowshoes and attach those icers to our backpacks, just in case. This winter we will once again be offering the Winter Badge series – four hikes, two of them in daylight and two under the light of the full moon (we hope!). Bundle up and check out what it’s like to see shadows of trees and hikers on a snow-covered field or to look out over a valley illuminated by the moon. We also have a full schedule of other weekend and Tuesday hikes, some longer, some shorter. No need to hibernate this winter!
You may notice some differences in our hike listings in the newsletter and especially on the Dufferin Hi-Land website. First, contact information for hike leaders has been removed from both versions in order to protect our hike leaders from spammers and scammers who harvest such information from websites. You can still contact the leader to request further information by clicking on a Contact Hike Leader link in the hike descriptions posted on the General Hikes and Tuesday Hikes pages of the website. Clicking this link brings up a blank email form on which you enter your contact information and your request to the hike leader. Once you have clicked on “I am not a robot” (seriously!), you can click submit and your request will be sent to the hike leader. You will also receive an auto-reply which will provide the hike leader’s contact information. A bit cumbersome yes, but judging by the stuff I am getting on my email and phone, scammers are getting increasingly sophisticated and the risks of posting personal information on the internet are growing.
Second, our hike listings on the website now include a link to GoogleMaps, which will bring up a map showing the location where we will be meeting for the hike. You can use this map to determine the best route to take from your home and to calculate travel time required to get there.
Stay warm and have a great winter hiking season!
We received a number of comments over the past year. Thanks to all who took the time to write.
“Recently completed the Dufferin Hi-Land section of the Bruce Trail. Thanks for the wonderful opportunity you have provided for us. It was a great journey and we have many wonderful memories.” Rob, Mono
"Stinking hot! Lots of bugs! An unfortunate incident with Stinging Nettle ?. LOVED IT!" Barb, St Agatha
"Thank you for all your work upkeeping this section of trail. It is beautiful, and we have created many happy memories through hiking the Dufferin highlands." Julie, Mississauga
"Mosquitoes and deer flies are out in full force. Lovely scenery. Saw skinny dippers in the small lake. Saw a deer and a fawn early morning. Nice to hike when it is a bit cooler. Lavender .. had no lavender." Deborah, Grimsby
"We enjoyed seeing the woodlands green-up and the spring and summer flowers - spotted more deer in this section than any other section." Jane
"I enjoyed all of the hikes very much and as always, the trails were well maintained and blazed. Thank you to all the wonderful volunteers that make it possible for everyone to enjoy the trails!" Ryan, Etobicoke
"Trail was very well maintained and blazed. Thank you to all the volunteers! Best road walking I have done, very quiet and rural." Ryan, Etobicoke
"Thanks for keeping the Bruce trail so well maintained and accessible for so many people to use and enjoy. It truly is a wonderful way to see and experience such a beautiful part of our province." Don and Sandra, Elmira
"Saw my first Larch tree, loved all the hills, rivers, creek, lake." Sandra, Waterdown
2018 was another successful year for the Trail Division. As always, I would like to thank all of our trail captains for their contributions, and all of the hikers who reported issues on the trail. As usual, we fixed any problems before most people even noticed them. I would also like to thank the “usual suspects” who helped me with the grass cutting: Carl Alexander, Brian Cornfield, Koen Leliveld, Mark Richardson and Norm Wingrove. And I would be remiss if I didn’t acknowledge our fine cadre of sawyers who helped me: Carl Alexander, Bob Collin, Brian Cornfield and Bryan Foley. Much thanks also to the Ontario Parks’ Warden and staff for the fine job they did clearing trees in Mono Cliff’s Park. And finally, although our structures remain in excellent shape, we did replace a boardwalk on the Rock Hill property – thanks to Carl Alexander, who did the design and pre assembly, and Everhard Olivieri-Munroe, who helped me accomplish this task.
Mushrooms in the Dufferin Section
This past fall was one of the best mushroom viewing seasons in many years. Mushrooms flourish in wet conditions, and it was mainly the humidity that caused them to proliferate. The Giant Puffballs were the most notable. They were not only much bigger, they could be seen on almost every section of trail. Slime molds, sac fungi and coral fungi blanketed many areas. But perhaps the most interesting were the many tooth fungi – such as this one, photographed near km. 26.7 – and the Skirted Stinkhorns, which were found at the Centre Road entrance to the Boyne Park and on the Enchanted Forest Side Trail. The skirt on a Stinkhorn is reminiscent of the finest lace. Stinkhorns are short lived – they quickly fall over and begin to rot. And stink. The flies like them though, although flies have never been thought of as picky eaters.
GENERAL HIKE SCHEDULE
Pace:
Leisurely – 3 km/hr or less
Medium – 3 to 4 km/hr
Brisk – 4 to 5 km/hr
Fast – 5+ km/hr
Terrain:
Easy – Mostly flat and usually good footing
Moderate – Some hills and/or some poor footing
Strenuous – Hilly with steep climbs and some poor footing
All Km references are to The Bruce Trail Reference: Maps and Trail Guide, Edition 29. Descriptions are abridged. For full description, Hike Leader contact Information and GoogleMap directions, please visit our website at https://dufferinbrucetrailclub.org/hikes/hike-schedule-internal/
December 1, 2018, 9:30 AM - 1:30 PM: Hockley Valley Loops
Caledon Hills Section, Map 18. Meet at Hockley Rd parking lot, just east of 2nd Line EHS. Pace: Medium; Terrain: Strenuous, Slippery and Steep Sections; Distance: 14.3 or 11 km. We will hike the Tom East, Isabel East/Glen Cross and Cam Snell Side Trails, returning on the Main Trail. Drop out option available to shorten hike to 11 km. Bring water, snacks. Icers may be required. Coffee/lunch stop after the hike. Hike Leaders: Les Babbage; Nancy Morgan
December 2, 2018, 10:00 AM - 12:00 PM: Beeton Forest Nature Reserve
From Hwy 9 go north on 10th Sideroad for 8.3 km to the junction with 7th Line, or from Beeton, go south on 10th Sideroad to 7th Line. Go east on 7th line to the parking lot entrance on south side, just before the Town of New Tecumseth Works Yard. Follow the road south to the parking area. Pace: Medium Terrain: Slippery and Steep Sections Distance: 5 km, Loop hike. Heritage Guide Neal Arbic will accompany us. Hike Leader: David Francis
December 8, 2018, 9:30 AM - 1:00 PM: Splitrock/Mono Cliffs Loops
Dufferin Hi-Land, Map 19. Meet at Splitrock parking lot on east side of 2nd Line EHS, 1.3 km north of 25 Sideroad, Mono. Pace: Medium; Terrain: Moderate; Distance: 11 km. We will hike the Splitrock, 2nd Line EHS, Walter Tovell, Lookout and Ralph Tremills Side Trails and the Main Trail. Bring water and snacks. Icers may be required. Hike Leader: Les Babbage
December 29, 2018, 9:30 AM - 2:00 PM: Dufferin Hi-Land Annual "Walk off the Turkey Hike"
Dufferin Hi-Land Section, Map 20, Boyne Valley. Meet at roadside parking on County Rd 19), where the Primrose Side Trail crosses the road (approx 2 km north of Hwy 89) Pace: Medium; Terrain: Strenuous; Distance: 16 km. In order to walk off all that turkey, we will walk to km 23.9 and back! Bring water, lunch (no turkey sandwiches!). Snowshoes or icers. Good dogs welcome. Pub stop to follow. Hike Leaders: Bryan and Carol Foley
January 1, 2019, 1:00 PM - 4:00 PM Dufferin Hi-Land Annual New Years Day Hike
Dufferin Hi-Land, Map 19. Meet at the Mono Community Centre parking lot. Take Mono Centre Road east from Hwy 10 and look for the Community Centre on your right as you approach the stop sign in Mono Centre. Pace: Leisurely; Terrain: Moderate; Distance: 8-10 km. Loop hike. All ages and levels are welcome. Bring snacks, water, icers and snowshoes. Snacks for post hike celebration welcome. Hike Leader: Les Babbage
January 5, 2019, 9:30 AM - 12:00 PM Snowshoe Hike on Humber Valley Heritage Trail
Humber Valley Heritage Trail. We will meet at the west end of the bridge over the Humber River on Castlederg Road, north of Bolton, about 2 km west of Highway 50, between Duffy's Lane and Humber Station Road. Pace: Medium; Terrain: Easy, Slippery Sections Likely; Distance: 6 km. "There and back" hike. Snowshoes or icers. Hike Leader: Bob Slack
January 6, 2019, 1:00 PM - 3:00 PM Jokers Hill, Newmarket
Meet at roadside parking on dead-end street west of Bathurst St, Newmarket, 1.3 km north of Mulock Dr. Pace: Medium; Terrain: Moderate, Slippery Sections Likely; Distance: 5 km. Loop hike around Jokers Hill. Icers/snowshoes. Hike Leader: David Francis
January 12, 2019, 10:00 AM - 2:00 PM: Dufferin Hi-Land Winter Badge, Hike #1 of 4
Dufferin Hi-Land, Map 20. Meet at 8 Sideroad and 2nd Line EHS (km 23.9). From Hwy 89 east of Hwy 10, turn north on 1st Line EHS and go north for 4.5 km to 8 Sideroad. Turn right and park just past the curve. Pace: Medium; Terrain: Moderate, Slippery and Steep Sections; Distance: 6.6 km or 8 km. We will hike south to km 20.6 and back with option to continue to km 19.9 returning via the Boyne Valley Side Trail and Main Trail. Bring snowshoes, icers, water, snacks, lunch. Hike Leaders: Les Babbage; Helen Bailey
January 19, 2019, 10:00 AM - 2:00 PM: Laking Woodlot Outing
Tosorontio Sideroad 17 at Concession Rd 2 (9 km south of Glencairn) Pace: Leisurely; Terrain: Easy; Distance: Flexible. Jim Laking, invites us to join him for cross-country skiing or snowshoeing in a managed woodlot. Easy to challenging. Suitable for families. Marked trails for cross-country skiing. Bring lunch. Heated cabin and outdoor wood stove for lunch and breaks. Hike Leaders: Frieda Baldwin, Jim Laking
January 19, 2019, 6:30 PM - 9:00 PM: Moonlight Hike, Dufferin Hi-Land Winter Badge Hike #2
Meet at 2nd Line EHS and 8 Sideroad (just north of km 23.9 Map 20) where the trail heads into the woods. From Hwy 10 and 89 at Primrose, continue north. Turn right at 5 Sideroad, left at 1st Line EHS, then right on 8 Sideroad, follow around the bend to meeting spot. Pace: Medium; Terrain: Moderate; Distance: 8 km. MEET AT 6:15 PM. Bring snowshoes, water, snacks, headlamp. Hike Leaders: Bryan and Carol Foley
January 20, 2019, 9:30 AM - 3:00 PM: Exploring Mono Cliffs Provincial Park
Dufferin Hi-Land Section, Map 19. Mono Cliffs Provincial Park. Meet at end of 1st Line EHS, south of 25 Sideroad (km 7.9). From Hwy 10 approx 14 km north of Orangeville, turn right on 25 Sideroad, right on 1st Line EHS, follow to end. Park on east side. Pace: Medium; Terrain: Moderate; Distance: 10-12 km. We will explore Mono Cliffs Prov Park as it can only be explored in winter. Bring snowshoes, water, lunch. Hike Leaders: Bryan and Carol Foley
January 26, 2019, 9:00 AM - 3:30 PM: Dundas Valley Winter Waterfall Hike
Iroquoia Section, Map 8. Meet at upper end of the Ancaster Mill north side parking lot. See website for driving directions. Pace: Medium; Terrain: Moderate, Slippery and Steep Sections; Distance: 9 to 13 km,. We'll car pool to Tiffany, Canterbury, Sherman, Tiffany, Webster's and Tews Falls in their full winter glory. Parking fees apply. Bring icers and showshoes. RSVP via Contact Hike Leader link on website. Pub stop. Hike Leader: Gilles Gagnon
Date: January 31, 2019, 3:00 PM: Killbear Lodge Winter Weekend Snowshoe/Ski Adventure
Group 1: Thursday Jan 31 to Sunday Feb. 3; Group 2: Sunday Feb 3 to Wednesday Feb 6; 2 and 3 night options. Location: Killbear Provincial Park, north of Parry Sound. Easy to challenging snowshoe hikes. Groomed cross-country ski trails. Hike Leader(s): Frieda Baldwin
February 3, 2019, 1:00 PM - 2:30 PM: Cawthra Mulock Nature Reserve, Newmarket
Meet at Nature Reserve parking lot, 500 m west of Bathurst Street, 400 m north of Green Lane. Pace: Medium; Terrain: Moderate; Distance: 4 km, Loop hike. Bring icers. Hike Leader: David Francis
February 9, 2019, 10:00 AM - 2:00 PM: Dufferin Hi-Land Winter Badge, Hike #3 of 4
Dufferin Hi-Land, Map 21. Meet on Prince of Wales Rd near km 46.2 where the Main Trail turns east off of the road. Take Hwy 124 north from Shelburne for 15 km and turn right on Dufferin Road 21. Head east for 4 km and then right on Prince of Wales Rd. The meeting place is 1 km ahead. Pace: Medium; Terrain: Moderate, Slippery and Steep Sections; Distance: 8 km. Snowshoe loop hike. Hike Leaders: Les Babbage; Helen Bailey
Date: February 16, 2019, 9:30 AM - 12:30 PM: Terra Cotta Snowshoe Hike
Toronto Section, Map 14. Meet at Boston Mills Road where it dead ends, west of Mississauga Road (km 47.8) Pace: Medium; Terrain: Moderate; Distance: 6 km. Loop hike west, including the Rockside Side Trail. The route and distance may be amended due to conditions. Choose snowshoes or icers, depending on trail conditions. Hike Leader: Bob Slack
February 16, 2019, 10:00 AM - 3:00 PM: Minesing Swamp (near Angus)
Meet at 10:00 am in Midland at Food Basics or 11:00 am at County Road 90 and Essa 6th line. Pace: Medium; Terrain: Moderate; Snowshoe hike. Bring lunch. Hike Leader: Frieda Baldwin
February 23, 2019, 6:30 PM - 9:00 PM: Moonlight Hike, Dufferin Hi-Land Winter Badge #4
Dufferin Hi-Land Section, Map 19. Mono Cliffs Provincial Park. Meet at end of 1st Line EHS, south of Sideroad 25 (km 7.9). From Hwy 10, 14 km north of Orangeville turn right on 25 Sideroad, right on 1st Line EHS, follow to end. Park on east side. Pace: Medium; Terrain: Moderate; Distance: 8 km. MEET AT 6:15! Bring snowshoes, water, snacks, headlamp. Hike Leaders: Bryan and Carol Foley
March 3, 2019, 1:00 PM - 3:00 PM: Tai Chi Centre, Mono
Caledon Hills Section, Map 17. Meet at roadside parking on Coolihans Sideroad (Km 35.1). Drive south from Mono Mills (Hwy #9 and Airport Rd) for 3 km. Turn east onto Coolihans Sideroad and travel 1.1 km where the Bruce Trail crosses. Pace: Medium; Terrain: Moderate, Slippery Sections Likely; Distance: 6 km. Loop hike. Some hills. Bring icers. Hike Leader: David Francis
March 3, 2019, 10:00 AM: 6 Mile Provincial Park (Port Severn)
Meet at 10:00 am in Midland at Food Basics, or 10:45 am at the entrance gate of Six Mile Lake Provincial Park. Pace: Leisurely; Terrain: Easy. Snowshoe hike. Bring lunch. Hike Leader: Frieda Baldwin
March 9, 2019, 10:00 AM - 2:30 PM: Crawford Lake
Iroquoia Section, Map 11. Meet at Calcium Pits roadside parking (km 102.3) on Twiss Rd. Pace: Medium; Terrain: Moderate, Slippery Sections Likely; Distance: 11 km. Loop hike on the Main Trail and Crawford Lake Side Trail. Bring lunch and snacks. Snowshoes or icers may be required. All welcome including well-mannered dogs. Hike Leaders: Pat Foley and Tristan Goguen
March 23, 2019, 9:30 AM - 12:30 PM: Mono Cliffs, McCarston Lake
Dufferin Hi-Land Section, Map 19. Meet at roadside parking at the end of 2nd Line EHS Mono, north of Mono Centre (km. 3.1). Pace: Medium; Terrain: Easy; Distance: 5 km. Loop hike. Bring snowshoes or icers. Hike Leaders: Bob Slack
March 23, 2019, 1:00 PM: Cedar Point Forest (Near Penetanguishene)
Meet at 1:00pm in Midland at Food Basics, or 1:25 pm in Laurin, Tiny Township at the corner of Cedar Point Road, and 18th Concession West. Pace: Leisurely; Terrain: Easy; Snowshoe hike. Hike Leader: Frieda Baldwin
March 30, 2019, 9:30 AM - 2:30 PM: Mulmur Hills/Walkers Woods
Location: Dufferin Hi-land Section, Map 20. Meet at Rockhill parking lot (km 28.6) on 1st Line EHS, just south of 10th Sideroad Mulmur, north of Hwy 89. Pace: Medium; Terrain: Strenuous, Slippery and Steep Sections; Distance: 13 km. Loop hike. Bring lunch, snacks, water and snowshoes and/or icers. Families and well-mannered dogs welcome. Hike Leaders: Pat Foley and Tristan Goguen
April 6, 13, 20, 27, 2019: QUADZILLA Series (4 hikes) - Pre-Registration Required
Caledon Section, Map 18. Meet at parking lot on 5th Line EHS (km 53.3) just south of Hockley Road, west of Airport Road. Pace: Brisk; Terrain: Strenuous, Slippery and Steep Sections; Distance: 24 km, This STRENUOUS series covers many steep grades found along the Hockley Valley trails. Proper foot wear and clothing a must. Please contact the hike leader to register. Loop Hike, No Drop Outs, No Badge, just satisfaction! Hike Leader: Tristan Goguen
April 7, 2019, 10:00 AM - 12:00 PM: Tottenham Conservation Area
Tottenham Conservation Area (Mill St W, New Tecumseth). Pace: Medium; Terrain: Easy; Distance: 5 km. Loop hike. Hike Leaders: David Francis
TUESDAY HIKE SCHEDULE
Hike Leaders for all Tuesday hikes are Les Babbage, Inge Eckerich and Bob Slack. For Hike Leader contact Information and GoogleMap directions, please visit our online Tuesday Hike Schedule at https://dufferinbrucetrailclub.org/hikes/tuesday-hikes-internal/
December 4, 2018, 9:30 AM - 12:30 PM: Cold Creek Conservation Area
Meet at parking on east side of Party City/Winners building (Hwy 10 and 4th Ave) in Orangeville at 9:30 am or at Cold Creek CA, which is on 11th Concession, King, 3.5 km north of King Rd, at 10:00 am. Pace: Leisurely; Terrain: Easy; Distance: 6.6 km. We will hike a loop, exploring the Cold Creek CA nature trails.
December 11, 2018, 9:30 AM - 12:30 PM: Boyne Valley Loop
Dufferin Hi-Land Section, Map 20. Meet at Centre Rd parking, south of 5 Sideroad (Km 18.7). Pace: Medium; Terrain: Moderate; Distance: 6.5 km. We will hike the Main Trail and Boyne Valley Side Trail.
December 18, 2018, 9:30 AM - 12:30 AM: Island Lake Loop
Location : Island Lake Conservation Area. Meet at parking on east side of Party City/Winners building (Hwy 10 and 4th Ave) in Orangeville. Pace: Medium Terrain: Easy Distance: 8.2 km, We will hike the Vicky Barron Lakeside Trail loop.
January 1, 2019, 1:00 PM - 4:00 PM: Dufferin Hi-Land Annual New Years Day Hike
Dufferin Hi-Land, Map 19. Meet at the Mono Community Centre parking lot on 2nd Line in Mono Centre. Pace: Leisurely; Terrain: Moderate; Distance: 8-10 km. Loop hike. Work off the excesses of the night before and get a jump start on those resolutions with a casual walk through Mono Cliffs Provincial Park. All ages and levels are welcome. Bring snacks, water, icers and snowshoes if required. Snacks for post hike celebration welcome.
January 8, 2019, 9:30 AM - 12:30 PM: Pine River/Kilgorie
Dufferin Hi-Land Section, Map 20. Meet at Superburger (Hwy 10 and 89 at Primrose). Pace: Leisurely; Terrain: Moderate; Distance: 4.5 km. We will hike down Kilgorie hill and along the Pine River. Snowshoes or icers may be required.
January 15, 2019, 9:30 AM - 1:30 PM: Boyne Valley Side Trail Loop
Dufferin Hi-Land Section, Map 20. Meet at Superburger (Hwy 10 and 89 in Primrose). Pace: Leisurely; Terrain: Moderate, Slippery Sections Likely; Distance: 6.3 km. We will hike a loop around the Main and Boyne Valley Side Trails. Snowshoes or icers may be required.
January 22, 2019, 9:30 AM - 1:30 PM: Hockley Valley/Snell Side Trail Loop
Caledon Hills Section, Map 18. Meet at hiker parking at Mono Community Centre on 2nd Line EHS Mono, just south of the stop sign in Mono Centre. Pace: Leisurely; Terrain: Moderate, Slippery and Steep Sections; Distance: 6.5 km. We will hike south from km 66.8, around the Cam Snell Side Trail loop and back. Snowshoes or icers may be required.
January 29, 2019, 9:30 AM - 12:30 PM: Mono Cliffs North
Dufferin Hi-Land Section, Map 19. Meet at Superburger (Hwy 10 and 89 in Primrose). Pace: Leisurely; Terrain: Moderate, Slippery Sections Likely; Distance: 4.2 km. We will hike a loop including the Walter Tovell Side Trail south from 25 Sideroad Mono, Main Trail and Lookout Side Trail. Snowshoes or icers may be required.
February 5, 2019, 9:30 AM - 1:30 AM: Hockleycrest Loop Hike
Caledon Hills Section, Map 18. Meet at parking on east side of Party City/Winners building (Hwy 10 and 4th Street in Orangeville). Pace: Leisurely; Terrain: Moderate, Slippery Sections Likely; Distance: 5.6 km. We will hike north from km 44.3, returning by way of the Hockleycrest Side Trail. Snowshoes or icers may be required.
February 12, 2019, 9:30 AM - 1:30 PM: Black Bank Challenge
Dufferin Hi-Land Section, Map 21. Meet at Superburger (Hwy 10 and 89 in Primrose). Pace: Leisurely; Terrain: Moderate, Slippery and Steep Sections; Distance: 4.6 km. We will hike east and north from km 47.4. Snowshoes or icers will be required.
February 19, 2019, 9:30 AM - 2:00 PM: Forks of the Credit
Caledon Hills Section, Map 15. Meet at parking on east side of Party City/Winners building (Hwy 10 and 4th Ave. in Orangeville). Pace: Leisurely; Terrain: Moderate, Slippery and Steep Sections; Distance: 6.2 km. We will hike a loop consisting of the Main Trail and Dorothy Medhurst Side Trail. Snowshoes or icers may be required.
February 26, 2019, 9:30 AM - 12:30 AM: Oliver Creek Loop
Dufferin Hi-Land Section, Map 20. Meet at Superburger (Hwy 10 and 89 in Primrose). Pace: Leisurely; Terrain: Moderate, Slippery Sections Likely Distance: 5.5 km, We will hike on the Main Trail east and north from km 24.2, looping back on Oliver Creek Side Trail. Snowshoes or icers may be required.
March 5, 2019, 9:30 AM - 1:30 PM: Trimble Side Trail
Caledon Hills Section, Map 15. Meet at parking on east side of Party City/Winners building (Hwy 10 and 4th Avenue) in Orangeville. Pace: Leisurely; Terrain: Moderate, Slippery Sections Likely; Distance: 5.5 km. We will hike the Trimble and Crow's Nest Side Trails. Snowshoes or icers may be required.
March 12, 2019, 9:30 AM - 12:30 PM: Mono Cliffs Loop
Dufferin Hi-Land Section, Map 19. Meet at hiker parking at Mono Community Centre on 2nd Line Mono, just south of the stop sign in Mono Centre. Pace: Leisurely; Terrain: Moderate, Slippery Sections Likely; Distance: 5.5 km, We will hike a loop on the Main Trail and McCarston’s Lake, Lookout and Walter Tovell Side Trails. Snowshoes or icers may be required.
March 19, 2019, 9:30 AM - 1:30 PM: Pine River Loop
Dufferin Hi-Land Section, Map 20. Meet at Superburger (Hwy 10 and 89 in Primrose). Pace: Leisurely; Terrain: Moderate, Slippery and Steep Sections; Distance: 7.5 km. We will hike a loop from km 34.9, including the Main Trail and Kilgorie Side Trail.
March 26, 2019, 9:30 AM - 1:30 PM: Nottawasaga Bluffs Loop
Blue Mountain Section, Map 22. Meet at Superburger (Hwy 10 and 89 in Primrose). Pace: Leisurely; Terrain: Moderate, Slippery Sections Likely; Distance: 5.0 km. We will hike a loop in Nottawasaga Bluffs Conservation Area, including Main Trail and Nottawasaga Bluffs Lookout and Keyhole Side Trails. Icers may be required.
April 2, 2019, 9:30 AM - 1:30 PM: Scotsdale Farm
Toronto Section, Map 13. Meet at Party City/Winners building (Hwy 10 and 4th Avenue in Orangeville. Pace: Leisurely; Terrain: Moderate; Distance: 5.2 km. We will hike a loop including Main Trail and Bennett Heritage and Maureen Smith Side Trails.
April 9, 2019, 9:30 AM - 12:30 AM: Rock Hill Park/Moss Haven
Dufferin Hi-Land Section, Map 20. Meet at Superburger (Hwy 10 and 89 in Primrose). Pace: Leisurely; Terrain: Moderate; Distance: 5.4 km. We will hike loops including Main Trail and the Rock Hill Park and Moss Haven Side Trails.
April 16, 2019, 9:30 AM - 3:30 AM: Oak Ridges Trail
Caledon Hills Section, Map 17. Meet at parking on east side of Party City/Winners building (Hwy 10 at 4th Ave in Orangeville). Pace: Leisurely; Terrain: Easy; Distance: 10.7 km. We will hike from Palgrave to Coolihans Sideroad along the Oak Ridges and Bruce Trails.
April 23, 2019, 9:30 AM - 1:30 PM: Creemore Nature Preserve
Meet at Superburger (Hwy 10 and 89 in Primrose). Pace: Leisurely; Terrain: Moderate; Distance: 5 km. We will car pool to Creemore and explore the Creemore Nature Preserve trails.
Dufferin Hi-Land Board of Directors
President Jim Preyde
Past President Land Securement and Landowner Relations Carl Alexander
Vice president Brenda Carling
Secretary/Social media Susan Bate
Treasurer Peter Blackmere
BTC Director John Dickason
Trail Director/Newsletter Carl Tafel
Hike Director Les Babbage
Land Stewardship Director Brian Cornfield
Membership Director Inge Eckerich
Social Events Director Barb Sonzogni
Directors
Tony Hopkins
Pauline Lloyd
Glenys Williams
Elizabeth Griffin
Bob Slack
Archivist Bryan Foley
Webmaster Tom Thayer
Hiking Events Carol Foley
Print distribution Marianne Dzuba
Published by Dufferin Hi-Land Bruce Trail C.I.P.O
Box 698 Alliston, Ont. L9R 1V9
www.dufferinbrucetrailclub.org
www.facebook.com/DufferinHiLandBruceTrailClub
Advertising is accepted and ads are included in both the print and digital versions of the newsletter.
Terms: Cheque with order payable to Dufferin Bruce Trail Club, sent to Box 698, Alliston, Ont. L9R 1V9 or contact email@example.com
| Type | Rate |
|------------|--------|
| Bus. Card | $20.00 |
| ¼ Page | $40.00 |
| ½ Page | $60.00 |
| Full Page | $120.00|
This newsletter looks way, way better in colour. Please consider receiving it digitally. You’ll not only save the Club printing and postage costs, you’ll save trees. To switch, contact Laura Tuohy (watch the spelling) at firstname.lastname@example.org.
Photo credits: (keep in mind that the photographer is attending or helping at the events, but is not in the pictures).
Bryan Foley: pages 1, 4(C)
Tom Thayer: page 4(R)
Carl Tafel: pages 2, 3, 4(L), 5, 12
All uncredited articles written by the editor. |
The Fastest Hot Wheels Drivers at PIE with Tom the Timer!
APRIL EVENTS
Wed. April 3 PIE Meeting
Sat. April 20 Adopt a Hwy. Clean-up
**MAHC STAFF**
- **President**
- SUZANNE WILLODSON
- 763-390-4133
- email@example.com
- **Vice President**
- GREG WILLODSON
- 763-390-4133
- firstname.lastname@example.org
- **Treasurer**
- JIM MANION
- email@example.com
- **Membership**
- JIM KRIZ
- 612-374-2666
- firstname.lastname@example.org
- **Newsletter Editor**
- GARY RONNING
- 1019 Ridge Haven Circle
- Buffalo, MN 55313
- 763-684-4041
- email@example.com
- **Video Librarian**
- JEFF JOHNK
- 952-461-2720
- firstname.lastname@example.org
- **WebMaster**
- JOHN SNYDER
- 952-929-4792
- email@example.com
- **Email Broadcaster**
- DAVE LEE
- 651-489-3157
- firstname.lastname@example.org
- **Name Tags**
- TOM HAZEN
- email@example.com
- **National Delegate**
- GREG LAUSER
- 715-262-9813
- firstname.lastname@example.org
- **Intermarque Delegate**
- STEVE RIXEN
- 612-877-1938
- email@example.com
- **Regalia**
- GARY RONNING
- 763-684-4041
- firstname.lastname@example.org
- **Technical Resources**
- **Sprite**
- CHUCK NORTON
- 651-483-0836
- **100**
- CURT CARLSON
- 612-721-8667
- **3000 & Modified Jensen Healey**
- JEFF JOHNK
- 952-461-2720
- TOM POLITISKI
- 218-367-2168
- **Board of Directors**
- CURT CARLSON
- SPOOK JOHNS
- GREG LAUSER, Chmn.
- MIKE MARTIN
- STEVE RIXEN
- **Minnesota Web Site**
- www.mnhealey.com
- **National Web Site**
- www.healeyclub.org
---
**PIE (President’s Informal Evening)**
**Date:** Wednesday April 3rd
**Time:** 7:00 p.m. (or before)
**Place:** Fort Snelling Officers Club
This location is on Hwy. 5 (east of I-494) on the southeast side of the Mpls./St. Paul Intl. Airport. Exit at the Post Road ramp, turn south (east) towards the river and proceed on to the road heading for the park, take the first left and wind around to the Officers Club building.
Come and enjoy refreshments and/or food with the friendly club members, catch up on news & events, and discuss cars & restorations.
---
**Breakfast at the Peg**
Come to this casual event (most) every Saturday morning about 8:00 a.m. for great food, reasonable prices, & lots of Intermarque car enthusiasts. It’s a fun way to start off your weekend!
Bring your appetite!
**Location:** The Square Peg Diner
2021 East Hennepin Ave.
Minneapolis, MN 55414
---
**THE HEALEY ENTHUSIAST**
The official publication of the Minnesota Austin Healey Club, a Minnesota Non-Profit Corporation. THE HEALEY ENTHUSIAST is published 12 times per year for the benefit of its members. Articles which appear in THE HEALEY ENTHUSIAST are the opinions of the authors and do not express the opinion of the Minnesota Austin Healey Club on any matter unless specifically noted. We do our best to ensure accuracy but cannot be held responsible for errors or omissions. Contributions are welcome on any subject related to Healeys, club members, or of general interest to the classic car hobby. Material from THE HEALEY ENTHUSIAST may be reprinted in any other publication provided reciprocal article use permission is granted by that publication. Deadline for submissions to the editor is the 15th of the month prior to the next issue. Classified ads are free for MAHC members; $5.00 for non-members. For display rates contact newsletter advertising. The Minnesota Austin Healey Club Inc. is operating as a Minnesota Non-Profit Corporation and is affiliated with the Austin Healey Club of America, Inc.
The Presidential Corner
By Suzanne Willodson
Reading through previous years’ newsletters, I’ve noticed that the talk of the upcoming driving season starts to pick up around this time; and people start to anticipate the day when they can get their cars on the road again. We’re no different except that talking about our car to friends and coworkers has been fairly non-stop for several months. That’s because many of our friends and coworkers had no idea that we were “car people.” Sure, we’ve always been around cars - fixed them, admired them, owned some cool ones, and all that good stuff. Being a member of the club, however, kind of makes you an “official” car person. This has surprised people who thought they knew us.
My car knowledge isn’t vast by any stretch, but most of my friends don’t have a lot of knowledge about Healeys (or cars in general). This means that any little fact I mention causes friends and coworkers to pause and wonder how I could have hidden this secret life from them for so long. It hasn’t been that long, I insist; only just since that Wednesday evening in the fall of 2011 when we walked into the Officer’s Club just to “check out” the PIE meeting.
And to add to the stories, I often show my captive audience photos on my phone of the Healey at events. My credibility dissolves a little when they see our car numbers. Yes, that’s blue painters tape, I tell them. I’m confident that this coming year’s snapshots should help me regain some of my lost standing. That’s right - this year we’re getting real numbers (thanks to MAC and Phil Ethier)! Phil has given me instructions and a materials list for making our own magnetic numbers. At first I hesitated on this idea, because I was worried that they might fly off the car like we’ve seen once or twice at events. Greg has put my fears to rest, however, assuring me that our car doesn’t go fast enough to worry about that.
It’s impossible to know when we’ll be able to get our car on the road. Until then we’ll get ready for driving school in April, psych ourselves up for the first official spring drive in May, and assist the Rendezvous Committee with carrying out their plans for a fantastic summer get-together in June.
Start dusting off your Healeys! We’re almost there!
The Presidents Informal Evening
By Greg Willodson
The March PIE meeting was called to order around 7:07 pm by President Suzanne Willodson.
The meeting started out with an extremely brief recap of recent events, as there were no events held between the February and March PIE meetings.
Steve Rixen talked about his upcoming tech session, starting at 10:00 on March 9, at his “Strictly British” shop in Hudson, Wi. The topic for this session will be electrical issues - including wiring, LED lighting, conversion from positive to negative ground, and whatever else comes up.
Next, Phil Ethier told the group about an upcoming Novice Autocross Class. The classroom portion will be held at Dunwoody College of Technology on Saturday, April 20th, with the driving portion taking place the following day in the Midway Stadium parking lot. Phil said students will get out on the course 25 – 30 times throughout the day, ending with 3 solo runs through the cones. Complete info is on the web at http://www.myautoevents.com. Click on Autocross events, and work your way down to April 20th. There is a link to register online. The cost for the class is $50.
Healey 3000 paper cutouts, courtesy of Dan Powell and Moss Motors were handed out. Members are encouraged to bring their completed cars to the April PIE meeting for tech inspection and Concours competition.
Tom Hazen hosted the 8th annual “Hot Wheels Grand Prix”. It differs from real racing in that participants invest most of their scarce preparation time into road maintenance and have a come-what-may attitude towards their vehicles. Jeff Lumbard took first place this year with an especially fast car he purchased at the last minute from the innovative (but little-known) “Skunk Works” division of Rainbow Foods.
Reports
Jim Manion, not in attendance this evening, sent in a report that the Club finances are in good order. Most of the recent financial activity has been related to Rendezvous registrations.
Eileen Wetzel announced that 39 registrations have been received for Rendezvous. She encouraged members to get on to the registration website www.mnhealey.com/rendezvous and get signed up.
Tom Hazen reported on several upcoming driving events (and one non-event).
- The Amery Autocross event on June 29th is almost sold out. Healey Club members are always welcome to participate, even if the event is completely sold out.
- The Rendezvous Autocross event at the Grand Rapids Airport (Friday June 7) is shaping up nicely. He said the ¾ mile straight-away should satisfy our need for speed.
- Tom is looking for additional volunteers for the Waumandee Hillclimb, to be held the weekend of September 20-22 in Waumandee, Wi.
- The Afton Hillclimb, which was held for the past 11 years at Afton Alps, will not occur in 2013. Afton was forced to choose between our event and the Warrior Dash, which attracts a crowd of approximately 20,000. The vote was not close. Thank you Afton, for 11 great years of auto sport competition!
Continued on page 5...
PIE continued...
Video Librarian Jeff Johnk reported that Dan Powell borrowed 2 videos last month. Not only did he return them, he also converted them to DVD. Way to go Dan! Jeff mentioned that there are a couple of videos lost somewhere, so please keep an eye out for them.
The meeting ended at 7:38 pm..... and the Hot Wheels Racing began!
Those attending PIE this night included –
Suzanne & Greg Willodson, Bob Featherly, Curt Carlson, Tom & June Moerke, Carl & Betty Stine, Mike Martin, Dan Powell, Spook & Britt Johns, Barb & Gary Ronning, Tom Politiski, Phil Ethier, Mike Manser, Jeff Lumbard, Jeff Johnk, Rich & Liz Stadther, Kim & Steve Rixen, Sue & Steve Greenway, Gary & Eileen Wetzel, Geoff & Diane Rossi, Kate & Clarence Westberg, Jim Klein, Byron Peterson, Scott McQueen, Tom Hazen, and Dave Herreid
World’s problems disappearing...
A favorite spot...
Concentration!
Electrical Tech Session
By Greg Willodson
On Saturday March 9, Steve Rixen hosted an “Electrical” tech session at his “Strictly British” shop in Hudson, WI.
Steve did a very comprehensive presentation on Lucas wiring harnesses, fuse types and ratings, relays, and incandescent vs. LED lighting. He also showed us tools that he used to diagnose electrical problems and some little tricks he’s learned over the years – like insulating the shaft on the continuity test light, to keep it from creating a circuit that he doesn’t really want to create.
Steve also talked quite a bit about converting positive ground cars over to negative ground and provided printed instructions on all of the steps required to get job done. Most of us know better than to spend a lot of money on a stereo we’ll never be able to hear, but there are lots of other reasons to make this conversion. Eliminating the voltage regulator, replacing the heavy old dynamo with an efficient alternator, charging Tom Toms and iPhones from the lighter socket, and LED taillights are just a few reasons you might want to consider converting to negative ground.
Of special interest to me – Steve explained that there was an adjustment on the back of the Smiths gas gauge. I’ll be looking for that adjustment screw, as our car reads waaaay off! Ask me how I know.
Present were Steve Rixen, his son “Exit Strategy”, Gary & Eileen Wetzel, Maria & Wayne Buchholz, Mike Martin, Dave Herreid, Scott McQueen, Andy Lindberg, Chuck Norton, Rich Stadther, Kevin Finn, Kim Rixen, Rod Richert, Tom Moerke, Dave Lee, and Greg Willodson. My apologies to others present but not listed...
Electrical Tech Session
Continued...
Discounts Expire @ Midnight April 30
Discounted Rendezvous 2013 registration ends
Don’t miss it!
Airport Autocross
Rally
Self Guided Tours
Downtown Car Show
The Morris Garage Band
Banquet & Awards
Fun Friendship-Building Events
If you registered earlier but did not complete the payment process, all payments for discounted rates must be received by midnight April 30.
See you @ “Brake at the Lake”
Can/Am Rendezvous
June 6-9
23rd Annual Vintage Sports Car Gathering
Sugar Lake Lodge *** Grand Rapids, Minn.
Hosted by: The Minnesota Austin-Healey Club
Weekend Schedule
Thursday -- Registration: 3-7 p.m. Hospitality Reception: 6:30-9 p.m.
Friday -- Registration: 8 a.m.- Noon, Airport AutoCross, Self-Guided Tours, Treasure Hunt, Downtown Car Show, Morris Garage Band 8-10 p.m.
Saturday -- Car Fun Rally, Lakeshore Show & Shine, Ladies Wine & Cheese Party, Tech Sessions, Awards Banquet
Sunday -- Breakfast & Goodbyes
ON-LINE REGISTRATIONS @ www.mnhealey.com/rendezvous
Name __________________________________________ Spouse/Guest ________________________________
(PRINT LEGIBLY first and last name/names as they should appear on badges)
Street___________________________________________ City______________________________
State/Province/PostalCode_____________________________________________________
E-mail address __________________________________________ Phone_____________________
(Include e-mail address if you want a confirmation of registration – none will be sent otherwise.)
Club Name __________________________________________
Vehicle/s to be registered: Yr.____________Make____________________________Model ______________
Yr.____________Make____________________________Model ______________
On-line Registration $70 Mail-in Registration $75 After May 1: $90.00 (All fees in U.S. Dollars) $____________________
(Registration includes one vehicle, two adults, one child under 18 & one free T-shirt)
Each additional person: $5.00 x_________ $____________________
Each additional vintage car: $5.00 x ________ $____________________
Free shirt size_______ 2nd shirt _____ 3rd shirt _____ Added shirts: ___ x $15.00 $____________________
(T-Shirt Sizes: Small, Medium, Large, XL, XXL & XXXL)
Ladies Wine & Cheese Party: $10.00 $____________________
Awards Banquet tickets: $35.00/person x ________ $____________________
Total $____________________
SIGN ME UP FOR: Paper Mill Tour ___ Autocross ___ Downtown Car Show ___ Rally ___ Tech Sessions ___
IF MAILING REGISTRATION, make checks payable to Minnesota Austin-Healey Club (U.S. $$s). Send completed form to:
Greg Lauser, W12349 694th Ave., Prescott, Wis. 54021 Registration questions to: email@example.com
Cancellations before May 1 are subject to a $15.00 fee. No refunds after May 1.
HOTEL RESERVATIONS: Sugar Lake Lodge at firstname.lastname@example.org or call 1-800-450-4555 or 1-218-327-1462
Other Grand Rapids Lodging: AmericInn. 1-218-326-8999
Super 8, 1-218-327-1108
Sawmill Inn, 1-800-667-7508
Timberlake Lodge, 1-866-800-2200
Jim Johnson & His Austin-Healey 100
Soon Will Mark Their 60th Year Together
(Part I of II)
by Greg Lauser
Longtime MAHC member Jim Johnson will soon begin his 60th year as original owner of his BN-1 Austin-Healey 100. He will be honored for upholding the marque as part of the Spring Awakening Drive Saturday, May 4.
Jim recalled recently that he’d read about the car in magazines of the day, but first spotted a Healey 100 at a 1953 Los Angeles air show honoring the 50th anniversary of flight. That sighting ignited his desire to own one.
He was studying aircraft maintenance in Los Angeles after serving as a U.S. Air Force aircraft mechanic during the Korean War. The East St. Paul native and 17-year-old member of Harding High School’s class of 1947 completed his airframes training and returned to the Twin Cities looking for work. His search was unsuccessful here, but his newly-earned Air Frames & Power Plant license did help secure a job with the Boeing Company in Seattle. That job enabled Jim to realize his sports car dream. In summer 1954, within two months of starting work, he ordered his Healey from Gallagher Motors, a Seattle dealership.
“My first choice for colors was red interior and black exterior. My second choice was red and black,” Jim said. He didn’t know that combination was not offered initially. “Years later I was told by the body shop repairing a ding in a fender that Healey workers must have pulled an Old English White chassis off the line and repainted it to match my color preference. They found white paint under the black,” he said.
When his new car was delivered, Jim traded-in his 1952 Studebaker and agreed to pay just over $2,000 as the balance due. His 30 car payments, with interest, were about $80 a month. He showed me copies of his trade-in and purchase agreement, as well as original marketing pamphlets and owner materials that came with the car. The serial number listed on the title application is BN1L-158587.
Daily Driver
Jim joined fellow employees in forming the Boeing Sports Car Club for touring, rallies, social and speed events. The Healey continued to serve as his daily driver until the mid-1960s.
He drove the Healey to San Diego in late 1956 when he joined Ryan Aircraft. While working in San Diego, friends introduced him to bicycle touring; and he began another lifelong passion. In 1958 he quit his job at Ryan Aircraft to take an extended bicycle tour of Europe. Enroute, he drove the car to St. Paul and stored it.
“Except for the fender bender, Quality Coaches went through the engine once and the car had regular maintenance during my daily driver days; but it’s never been restored or really freshened,” Jim said. Since the late-1960s it has been driven for leisure enjoyment – often years apart. “There were always bicycle tours, or design and homebuilding activities that got in the way,” he said.
He noted that Steve Rixen and Curt Carlson worked hard to get it running in 2004, when MAHC celebrated his 50th year of ownership. Among other things, they rebuilt the carburetors, repaired and replaced part of the electrical and ignition systems. The Healey has been used very sparingly since then. It’s currently in a corner of an outbuilding/second garage at his home.
Continued on page 11...
Part II in the May issue
Jim Johnson & His Austin-Healey 100
continued...
That’s Jim polishing his Healey 100 before a Boeing Sports Car Club rally in the mid 1950s. The original picture is from the Boeing employee newspaper.
The original trade-in and purchase agreement shows Jim’s terms of ownership when the car was delivered on Sept. 8, 1954.
Jim practicing for driving his Healey in the Spring!
A-H Club Adopt-A-Highway Cleanup
Saturday April 20th
9:00 a.m.
The first of MAHC’s two Adopt-A-Highway clean-ups for the year will begin at 9 a.m. Saturday, April 20th when we meet at Veterans Highway Roadside Park on U.S. Hwy. 61 - just above Lake City, Minn. Don’t forget to bring your work gloves. Once everyone has had a chance to “rest” at the modern facilities, we’ll go north one mile to Villa Maria Roadside Park where Greg Lauser will distribute safety vests and garbage bags.
If it’s raining and you spy no one at Villa Maria, check for the crew at The Whistle Stop Café in Frontenac Station just north of our two-mile highway stretch, where we’ll wait for weather to improve while having breakfast.
Unless rain makes breakfast a priority, after the pickup is finished we’ll adjourn to a nearby eatery for lunch. Look forward to seeing you at Veterans Highway Park Saturday, April 20th. The more the merrier and the quicker we’ll begin our ninth year of highway clean-ups!
HEALEY HILLCLIMB AT AFTON ALPS CANCELLED FOR 2013
By Tom Hazen
The Minnesota Austin-Healey Club is sad to report that Healey Hillclimb at Afton Alps, which was gearing up for its 12th running this summer, has been cancelled.
Here’s why: Afton Alps has hosted the fast-growing Warrior Dash event for the past few years. This year they expect about 20,000 participants. Washington County is requiring Afton to obtain an updated conditional use permit to hold the Warrior Dash. For unknown reasons, the new conditional use permit contains language that prohibits auto racing on the property at any time. Although Afton Alps is now owned by Vail Resorts Inc., the former co-owner Amy Reents is still the general manager. She has been wonderful to work with since we started running the hillclimb back in 2003. She was very apologetic but said she didn’t see a way around the language in the conditional use permit, at least for this year. Of course the 20,000 people attending the Warrior Dash have a much larger financial impact on Afton than our little hillclimb, so her business decision is well understood.
The Minnesota Austin-Healey Club offers its heartfelt thanks to the staff at Afton, as well as all the volunteers, drivers, and spectators who have worked, raced, and watched Healey Hillclimb at Afton Alps over the years. This may be the end of an era, but the memories will live on in all of us. However all is not lost! Drivers of vintage cars (1983 and older) are welcome to sign up for the Waumandee Hillclimb. Flier: http://www.mnhealey.com/mnhealey/events/waumandee.pdf Video: http://youtu.be/ifuFelJhvPg
Midwest Motor Sports, Inc.
General Import Auto Repair and Complete Sports Car Care Since 1983
OPEN HOUSE APRIL 27TH
Come see us Saturday Apr. 27th starting about 9am - with lunch at noon - for our annual Open House/Tech Session.
Get your cars out for the first Spring run!
Call 320 251-0676 or e-mail email@example.com for more info or directions to:
728 8th ave. S. Sauk Rapids, MN 56379
Enjoy Your Sports Car!
At Midwest Motor Sports, we can handle all your general auto repair & maintenance needs as well as sports car restoration & performance modifications.
People submitting photos for the March issue:
Steve Rixen
Barb Ronning
Geoff Rossi
Eileen Wetzel
Greg Willodson
Thank you!
## Events Schedule
| Date | Event | Details |
|------------|----------------------------------------------------------------------|-------------------------------------------------------------------------|
| April 3 | PIE Meeting | (Wed) Meet at 7:00 p.m. See page 2. |
| April 20 | Adopt a Highway Clean-up/ Spring Awakening Drive | (Sat) Meet at 9:00 a.m. at the Veteran’s Hwy. Roadside Park at milepost 80 on US Hwy. 61 – just above Lake City, MN for the Spring Adopt-a-Highway clean up. Arrangements by Greg L. |
| April 27 | Midwest Motors Sports Tech Party | (Sat) Sauk Rapids, MN. See page 13. |
| May 1 | PIE Meeting | (Wed) Meet at 7:00 p.m. See page 2. |
| May 4 | Spring Awakening Tour | (Sat) St. Croix River Valley Tour with a stop at Jim Johnson’s home being arranged by Greg Lauser. |
| May 11 | InterMarque Spring Kick-Off | (Sat) The InterMarque Council will again sponsor the well attended event in downtown Osseo, MN. |
| May 17-19 | Vintage GT Challenge | (Fri - Sun) This will be the weekend for the Spring races at RoadAmerica in Elkhart Lake, WI. |
| May 25-27 | Vintage Sports Car Racing | (Sat-Mon) Drive the Brainerd International Race Track with your Sports Car. Vintage Sports Car Racing (VSCR) and SCCA invite spectators to drive on the race track Memorial Day weekend 2013. Info: www.vscr.org |
| June 6-9 | Rendezvous 2013 | (Thurs-Sun) This will be the 23rd year for the annual Vintage Sports Car Rendezvous. The location this year will be in Grand Rapids, MN and sponsored by the MN A-H Club. Get your hotel reservations in early! |
| June 12 | PIE Meeting | (Wed) Meet at 7:00 p.m. See page 2. Note: Second Wednesday. |
| June 21-23 | Back to the 50’s Car Show | (Fri-Sun) This huge annual show will be at the MN State Fairgrounds again – 10,000 cars…or more?? |
| June 23-27 | National AHCA Conclave | (Sun – Thurs) location this year is Quebec, Canada. |
| June 29 | Amery Competition Run | (Sat) Excellent test running of your favorite Sports Car orchestrated by Tom Hazen. |
| June 30 | Cherokee Park Picnic | (Sun) The first Monthly InterMarque picnic of the season. |
** - Denotes an official MAHC club activity
## Events Schedule
| Date | Event |
|------------|----------------------------------------------------------------------|
| July 6 | Blast from the Past Car Show – All types of collectible cars. Held in Chetek, WI. |
| July 10 | PIE Meeting - (Wed) Meet at 7:00 p.m. Note second Wednesday. |
| July 14 | Progressive Dinner – (Sun) – West Side. This year Ronnings, Willodsons, and Wetzels will be hosting this “travelling” event. |
| July 18-21 | “The Hawk” Races at RoadAmerica. (Fri-Sun) This is the super big annual vintage car race event held at RoadAmerica in Elkhart Lake, WI. For details, call J. Johnk, D. Powell, R. Stadther, or J. Lumbard. |
| July 27 | Woodland Hill Winery British Car Show (Sat) Put on by the MN Triumph Club. |
| July 28 | Lynch Mexican Fiesta – (Sun) At Mike & Gloria Lynch’s home. Always great “sparky” food in a great setting. |
| | Intermarque Picnic – (Sun) 1:00 pm Monthly gathering for a picnic at Cherokee Park in St. Paul. Bring your own food and refreshments. |
| August 7 | PIE Meeting - (Wed) Meet at 7:00 p.m. See page 2. |
| August 10 | The “New” Brit Fest – (Sat) At Lakefront Park in Hudson, WI. Sponsored by the MN MG Group. |
| August 17 | Stine/Martin Picnic – (Sat) A perennial favorite held at the Stine Farm in Beldenville, WI. |
| August 24 | Amery Airport Run – (Sat) Tom Hazen will hold a second run at Amery, WI. |
| August 25 | Intermarque Picnic – (Sun) 1:00 pm Monthly gathering for a picnic at Cherokee Park in St. Paul. Bring your own food and refreshments. |
| Sept. 4 | PIE Meeting – (Wed.) Meet at 7:00 p.m. See page 2. |
| Sept. 6-8 | Fall Vintage Race Festival - Held at RoadAmerica in Elkhart Lake, WI. A great opportunity to see vintage racing up close. Call Jeff J., Dan P., Jeff L., or Rich S. for details. |
| Sept. 14 | Wheels n Wings – (Sat) Osceola, WI. We assume this long time event will be held. |
| Sept. 15 | Ambli Norwegian Picnic (Sat) Take a drive to Carlton, MN to enjoy Fred’s hospitality. |
| Sept. 20-22| Waumandee Hill Climb – (Fri-Sun) The second annual vintage car hill climb will be held under the direction of Tom Hazen. Stay tuned. |
| Sept. 29 | Intermarque Picnic – (Sun) 1:00 pm Monthly gathering for a picnic at Cherokee Park in St. Paul. Bring your own food and refreshments. |
| Oct. 2 | PIE Meeting – (Wed) Meet at 7:00 p.m. See page 2. |
| Oct. 5 | Adopt a Highway Clean-up - (Sat) The second of our two clean-ups for the year is to be on this date. Arrangements by Greg Lauser. |
| Oct. 6 | City Lakes Parkway Tour – (Sun) Enjoy again a sunny Sunday afternoon driving the beautiful parkways of Minneapolis and St. Paul. Arrangements by Dale Martin. |
| Oct. 12 | Fall Color Tour- (Sat) Another Tom Hazen colorful drive in the Wisconsin countryside. |
| Nov. 2 | Charity Event – (Sat) At the Feed My Starving Children building in Eagan. Curt Carlson will arrange this very worthwhile event. It is an enjoyable and worthy cause. |
| Nov. 6 | PIE Meeting – (Wed) Meet at 7:00 p.m. See page 2. |
| Nov. 16 | Annual Banquet / Business Meeting Party – (Sat) The annual business meeting, election of officers, and dinner banquet will occur on this evening at the Officer’s Club. |
| Dec. 4 | PIE Meeting – (Wed) Meet at 7:00 p.m. See page 2. |
| Dec. 7 | Planning Breakfast – (Sat) The schedule of events for 2014 will be on the agenda for this meeting hosted by Greg Willodson at Joseph’s Restaurant in St. Paul. A Board of Directors meeting will follow. |
** - Denotes an official MAHC club activity
Opportunity - I have an "Owners Handbook" for an Austin Healey 100, copyright 1953, if anyone would like it. My nephew found it at a garage sale. Dave Knowles - firstname.lastname@example.org (2/13)
Opportunity - Dick Mathews has a 2 BR condo for Rendezvous (June 6 – 8) and would like to share /rent the other bedroom. Call him at 763-226-4517. (3/13)
FOR SALE - 1967 Austin-Healey 3000 - by Cal Domke. Address is 224 Golf Court, Cold Spring, MN and cell phone is 320-290-7711. Email to email@example.com. (4/13)
WANTED - Big Healey parking brake handle assembly. I need a hand brake for my Isetta, so I don't have to place a block under the tire. If you have an old handle with the chrome plate falling off, it would be just right for my car. I would probably sand blast and paint. Contact Rich Stadther - firstname.lastname@example.org or 651-698-1981. (4/13)
LOOKING FOR A HOME - A slice of Healey history to interested individuals. A collection of various AHCA chapter's newsletters from the early 90s -- Central Indiana, Carolinas, SE Michigan, Kansas City, Manitoba, Northeast, Wisconsin, Three Rivers, Triad and others. They contain classic articles, photos and activities. Also, some local club newsletters from mid 90s -- MG, Lotus, Morgan, Triumph and Alfa Romeo. As a bonus, hard copy MAHC newsletters from 1986, 87, 88 and 89. -- Jaguar Poster. 25x38. 1978 design Nordbok. "More Than Fifty Years of Jaguar Cars from England" at the top; "Illustrating Three Major Periods of Jaguar Car Development" at the bottom. Shows 1922 Austin Shadow and finishes with the 1975 XJ-S. Excellent condition. 35 bucks and its yours. Contact Geoff Rossi – 612-822-7069 or email email@example.com. (4/13)
WANTED TO BUY - Sprite/Midget 1275 block and crankshaft. Please contact Tom Hazen at 612-237-1883 or firstname.lastname@example.org. |
WEST VIRGINIA REGISTER
Published by the Office of the Secretary of State
Volume XXXIV
Issue 45
November 9, 2017
A Weekly Publication
Administrative Law Division
Judy Cooper, Manager
Mac Warner
Secretary of State
Administrative Law Division
Bldg. 1, Suite 157K
1900 Kanawha Blvd. E.
Charleston, WV 25305-0770
(304) 558-6000
www.wvsos.com
CONTENTS
Chronological Index
Rule Monitor
Notices
a. Legislative Rules
b. Interpretive Rules
c. Procedural Rules
d. Emergency Rules
e. Legislative Rule-Making Review Committee
Legislative Interims
Orders
Ethics Commission Opinions
Office of Tax Appeal Decisions
Other Documents or Information Filed
This week’s publication includes documents submitted by the following agencies:
Attorney General Opinion
Ethics Commission
Grievances Report
Health Care Authority
Lottery Commission
Osteopathic Medicine
Pharmacy
Public Service Commission
Public Works, WV Board of
## CHRONOLOGICAL INDEX, VOLUME XXIV ISSUE 45
### NEW PROPOSED RULES FILED FOR PUBLIC COMMENT THIS WEEK
| AGENCY | RULE/TYPE | AUTHORITY | HEARING/COMMENT PERIOD/LOCATION |
|--------|-----------|-----------|---------------------------------|
| Public Service Commission (150-3) | Government of Electric Utilities Legislative Exempt | §§24-1-1, 24-1-7, 24-2-1 and 24-2-2 | Written Comments Only
December 11, 2017, 4:00 pm
Ingrid Ferrell, Executive Secretary
201 Brooks Street
PO Box 812
Charleston, WV 25323 |
| Public Service Commission (150-4) | Government of Gas Utilities and Gas Pipeline Safety Legislative Exempt | §§24-1-1, 24-1-7, 24-2-1 and 24-2-2 | Written Comments Only
December 11, 2017, 4:00 pm
Ingrid Ferrell, Director
Executive Secretary Division
PO Box 812
Charleston, WV 25323 |
### NEW EMERGENCY RULES FILED THIS WEEK
| AGENCY | RULE/TYPE | AUTHORITY | EFFECTIVE DATE | DATE NOTICE FOR HEARING |
|--------|-----------|-----------|----------------|------------------------|
| Osteopathic Medicine (24-2) | Osteopathic Physician Assistants | §§30-1-7(a) and 30-3E-3(a)(1)-(10) | ERD by December 18, 2017 | October 12, 2017 |
GUIDE FOR USING THE RULE MONITOR IN THE STATE REGISTER
| Column | Description |
|--------|-------------|
| 1 | Agency Name, (Title and Series Number) |
| 2 | Rule Title, Price and Type |
| 3 | Date Notice of Public Hearing or Comment Period Filed |
| 4 | Date of Public Hearing or Last Date Comments Will Be Received |
| 5 | Date Emergency Rule Filed, Emergency Amendments Filed, Emergency Rule Decision (ERD) Number & Date ERD Filed (Effective Date of Emergency Rule) |
| 6 | Date Agency Approved Legislative Rules Filed. |
| 7 | Date Review by the Legislative Rule-Making Review Committee & Action Taken **Please Note** The Board of Education, Board of Trustees & Board of Directors File Their Rules With the Educational Over-Sight Committee |
| 8 | Legislative Action |
| 9 | Date Agency Final Files Legislative, Procedural or Interpretive Rules. This is the Final Step for Procedural & Interpretive Rules |
| 10 | Date Rule is Effective |
- Emergency rules will not have a "Notice" date until the agency files one, but the rule will appear in Columns 1, 2 & 5. An Agency must file for either a public hearing or public comment period either before filing as an emergency or no more than 30 days after filing the rule as an emergency.
- If more than one date appears in a column, it means the agency has repeated that step (ex. - holding an additional public hearing).
| TITLE NUMBER | NAME OF AGENCY |
|--------------|----------------|
| 1 | ACCOUNTANCY |
| 3 | BARBERS AND COSMETOLOGISTS |
| 7 | PROFESSIONAL ENGINEERS |
| 8 | HEARING AID DEALERS |
| 10 | LICENSED PRACTICAL NURSES |
| 11 | MEDICINE |
| 14 | OPTOMETRY |
| 15 | PHARMACY |
| 16 | PHYSICAL THERAPY |
| 17 | PSYCHOLOGISTS |
| 20 | SANITARIANS |
| 24 | OSTEOPATHY |
| 25 | SOCIAL WORK EXAMINERS |
| 26 | VETERINARY MEDICINE |
| 27 | COUNSELING |
| 29 | SPEECH-LANGUAGE PATHOLOGY & AUDIOLOGY |
| 31 | DIETITIANS |
| 33 | OFFICE OF WASTE MANAGEMENT (FORMERLY PART OF TITLE 47) |
| 35 | OFFICE OF OIL AND GAS |
| 36 | COAL MINE HEALTH & SAFETY |
| 38 | MINING & RECLAMATION |
| 42 | LABOR |
| 45 | OFFICE OF AIR QUALITY |
| 47 | OFFICE OF WATER RESOURCES |
| 48 | MINES TRAINING EDUCATION & CERTIFICATION |
| 56 | MINERS' HEALTH, SAFETY AND TRAINING |
| 58 | NATURAL RESOURCES |
| 60 | ENVIRONMENTAL PROTECTION, SECRETARY'S OFFICE |
| 61 | AGRICULTURE |
| 63 | CONSERVATION AGENCY |
| 64 | HEALTH |
| 65 | HEALTH CARE AUTHORITY |
| 69 | HEALTH & HUMAN RESOURCES |
| 76 | SENIOR SERVICES |
| 78 | HUMAN SERVICES |
| 81 | STATE POLICE |
| 82 | CULTURE AND HISTORY |
| 85 | WORKERS COMPENSATION BY THE INSURANCE COMMISSION |
| 86 | VETERANS AFFAIRS |
| 87 | FIRE COMMISSION |
| 90 | CORRECTIONS |
| 91 | MOTOR VEHICLES |
| 94 | REGIONAL JAIL & CORRECTIONAL FACILITY AUTHORITY |
| 96 | WORKFORCE WEST VIRGINIA |
| 110 | TAX DEPARTMENT |
| 112 | TREASURER |
| 113 | HEALTH INSURANCE PLAN |
| 114 | INSURANCE |
| 126 | EDUCATION |
| 127 | SECONDARY SCHOOLS ACTIVITIES COMM. |
| 133 | HIGHER EDUCATION POLICY COMMISSION |
| 135 | COMMUNITY & TECHNICAL COLLEGE EDUCATION |
| 143 | PERSONNEL |
| 144 | TOURISM |
| 146 | STATE ELECTION COMMISSION |
| 148 | ADMINISTRATION |
| 149 | CRIME, DELINQUENCY AND CORRECTION |
| 150 | PUBLIC SERVICE COMMISSION |
| 153 | SECRETARY OF STATE |
| 157 | DIVISION OF HIGHWAYS |
| 158 | ETHICS COMMISSION |
| 162 | CONSOLIDATED PUBLIC RETIREMENT BOARD |
| 164 | SCHOOL BUILDING AUTHORITY |
| 172 | STATE RAIL AUTHORITY |
| 174 | REAL ESTATE COMMISSION |
| 175 | ALCOHOL BEVERAGE CONTROL COMMISSION |
| 176 | ALCOHOL BEVERAGE CONTROL COMMISSION – BEER |
| 177 | ATHLETIC COMMISSION |
| 178 | RACING COMMISSION |
| 179 | LOTTERY |
| 184 | PARKWAYS ECONOMIC DEV. & TOURISM AUTHORITY |
| 190 | REAL ESTATE APPRAISER LICENSING & CERTIFICATION BOARD |
| 191 | FAMILY PROTECTION SERVICES BOARD |
| 194 | MASSAGE THERAPY LICENSURE BOARD |
| 199 | EXPLOSIVES & BLASTING |
| 204 | HATFIELD-MCCOY REGIONAL RECREATION AUTHORITY |
| AGENCY/SERIES NO | RULE | NOTICE DATE | HEARING DATE | EMER RULE | SEC/STATE | LMRRC-ACTION | LEGIS FILE | FINAL EFFECTIVE |
|------------------|-----------------------------|-------------|--------------|-----------|-----------|--------------|------------|-----------------|
| Accountancy, WV Bd Of (1-01) | Board Rules and Rules of Professional Conduct Legislative | 6/23/2017 | 7/23/2017 | 7/28/2017 | Modified & Approved 9/20/2017 Filed 9/29/2017 | | |
| Administration (148-03) | State Owned Vehicles Legislative | 6/26/2017 | 7/26/2017 | 7/28/2017 | | | | |
| Administration (148-6) | Parking Legislative | 6/21/2017 | 7/21/2017 | 7/25/2017 | Approved 8/29/2017 | | |
| Agriculture (61-01) | Animal Disease Control Legislative | 6/28/2017 | 7/28/2017 | 7/28/2017 | | | | |
| Agriculture (61-1A) | Feeding of Untreated Garbage to Swine Legislative | 6/22/2017 | 7/22/2017 | 7/27/2017 | Modified & Approved 8/29/2017 Filed 9/18/2017 | | |
| Agriculture (61-2) | West Virginia Apiary Law Legislative | 6/15/2017 | 7/16/2017 | 7/18/2017 | | | | |
| Agriculture (61-8B) | Schedule of Charges for Inspection Services Fruit Legislative | 11/1/2017 | 12/1/2017 | 7/27/2017 | | | | |
| Agriculture (61-11) | Public Markets Legislative | 6/2 7/2017 | 7/27/2017 | 7/27/2017 | | | | |
| Agriculture (61-11B) | Auctioners Legislative | 6/26/2017 | 7/26/2017 | 7/28/2017 | | | | |
| Agriculture (61-14A) | Noxious Weeds Legislative | 6/22/2017 | 7/22/2017 | 7/28/2017 | | | | |
| Agriculture (61-16) | Inspection of Meat and Poultry Legislative | 6/15/2017 | 7/16/2017 | 7/17/2017 | Modified & Approved 8/29/2017 Filed 9/18/2017 | | |
| Agriculture (61-23D) | Inspection of Nontraditional, Domesticated Animals Legislative | 6/15/2017 | 7/16/2017 | 7/17/2017 | Modified & Approved 9/20/2017 Filed 9/29/2017 | | |
| Air Quality (45-8) | Ambient Air Quality Standards Legislative | 6/6/2017 | 7/11/2017 | 7/21/2017 | Approved 8/29/2017 | | |
| AGENCY/SERIES | RULE | NOTICE | HEARING | EMER RULE | SEC/STATE | LMRRC-ACTION | LEGIS FILE | FINAL EFFECTIVE |
|---------------|------|--------|---------|-----------|-----------|--------------|------------|-----------------|
| Air Quality (45-16) | Standards of Performance for New Stationary Sources Legislative | 6/6/2017 | 7/11/2017 | 7/21/2017 | Approved | 8/29/2017 |
| Air Quality (45-18) | Control of Air Pollution from Combustion of Solid Waste Legislative | 6/7/2017 | 7/11/2017 | 7/21/2017 | Modified & Approved | 8/29/2017 |
| Air Quality (45-23) | Control of Air Pollution from Municipal Solid Waste Landfills Legislative | 6/7/2017 | 7/11/2017 | 7/21/2017 | Approved | 8/29/2017 |
| Air Quality (45-25) | Control of Air Pollution from Hazardous Waste Treatment, Storage and Disposal Facilities Legislative | 6/6/2017 | 7/11/2017 | 7/21/2017 | Approved | 8/29/2017 |
| Air Quality (45-34) | Emission Standards for Hazardous Air Pollutants Legislative | 6/6/2017 | 7/11/2017 | 7/21/2017 | Approved | 8/29/2017 |
| Athletic Commission (177-1) | Regulation of Mixed Martial Arts Legislative | 6/16/2017 | 7/16/2017 | 7/27/2017 | Modified & Approved | 9/20/2017 |
| Athletic Commission (177-2) | Law Enforcement Training and Certification Standards Legislative | 6/21/2017 | 7/24/2017 | 7/28/2017 | Modified & Approved | 10/3/2017 |
| Crime Delinquency and Correction (148-2) | Protocol for Law Enforcement Response to Domestic Violence Legislative | 6/28/2017 | 7/28/2017 | 7/28/2017 |
| Crime Delinquency and Correction (148-03) | Archives and History Library Services and Fee Guidelines Procedural | 8/24/2017 | 10/2/2017 |
| Dielhians (31-1) | Licenses and Renewal Requirements Legislative | 6/8/2017 | 7/17/2017 | 7/24/2017 |
| Education (126-25A) | Standards for Basic and Specialized Health Care Procedures (2422.7) Legislative Exempt | 8/10/2017 | 9/11/2017 | 10/12/2017 | 11/13/2017 |
| AGENCY/SERIES | RULE NO. | RULE | NOTICE | HEARING | EMER. RULE | SEC/STATE ACTION | LMRRC-FILE | LEGIS FILE | FINAL EFFECTIVE |
|---------------|----------|------|--------|---------|------------|------------------|-------------|-------------|----------------|
| Education | (126-28) | West Virginia's Universal Access to a Quality Early Education System (2525) Legislative Exempt | 8/10/2017 | 9/4/1/2017 | 10/12/2017 | 7/1/2018 |
| Education | (126-44G) | WV College and Career Readiness Standards for World Languages (2520.7) Legislative Exempt | 8/10/2017 | 9/4/1/2017 | 10/12/2017 | 7/1/2018 |
| Education | (126-44M) | WV Pre-K Standards (Ages 3-5) (2520.15) Legislative Exempt | 8/10/2017 | 9/4/1/2017 | 10/12/2017 | 7/1/2019 |
| Education | (126-44P) | WV Alternate Academic Achievement Standards (2520.16) Legislative Exempt | 8/10/2017 | 9/4/1/2017 | 10/12/2017 | 7/1/2018 |
| Education | (126-73) | School Calendar (3234) Legislative Exempt | 9/7/2017 | 10/10/2017 | 8/15/2017 | 1/2/2018 |
| Education | (126-81) | Attendance (4110) Legislative Exempt | 7/13/2017 | 8/14/2017 | 10/12/2017 | 11/13/2017 |
| Education | (126-86) | Standards for School Nutrition (Policy 432.1) Legislative Exempt | 6/15/2017 | 7/17/2017 | 8/10/2017 | 1/2/2018 |
| Education | (126-92) | WV School Bus Transportation Policy and Procedures Manual (4336) Legislative Exempt | 8/10/2017 | 9/4/1/2017 | 10/12/2017 | 11/13/2017 |
| Education | (126-099) | Expected Behavior in Safe and Supportive Schools (4373) Legislative Exempt | 7/13/2017 | 8/14/2017 | 10/12/2017 | 11/13/2017 |
| Education | (126-114) | Approval of Educational Personnel Preparation Programs (5100) Legislative Exempt | 7/13/2017 | 8/14/2017 | 10/12/2017 | 11/13/2017 |
| Education | (126-136) | Minimum Requirements for the Licensure of Professional/Paraprofessional Personnel and Advanced Salary Classification (5202) Legislative Exempt | 7/13/2017 | 8/14/2017 | 10/12/2017 | 10/10/2017 |
| AGENCY/SERIES NO | RULE | NOTICE | HEARING | EMER RULE | SEC/STATE ACTION | LMRCC-LEGIS FILE | FINAL EFFECTIVE |
|------------------|------|--------|---------|-----------|-----------------|-----------------|----------------|
| Environmental Protection – Secretary’s Office (60-03) | Voluntary Remediation and Redevelopment Rule Legislative | 6/5/2017 | 7/6/2017 | 7/11/2017 |
| Fire Commission (87-2) | Electrician Licensing Rules Legislative | 6/16/2017 | 7/17/2017 | 7/25/2017 |
| Fire Commission (87-3) | Hazardous Substance Emergency Response Training Programs Legislative | 6/19/2017 | 7/19/2017 | 7/25/2017 |
| Health (64-03) | Public Water Systems Legislative | 6/27/2017 | 7/27/2017 | 7/28/2017 | Modified & Approved 10/18/2017 Filed 10/25/2017 |
| Health (64-12) | Hospital Licensure Legislative | 6/27/2017 | 7/27/2017 | 7/28/2017 | Modified & Approved 8/29/2017 Filed 8/30/2017 |
| Health (64-17) | Food Establishments Legislative | 6/27/2017 | 7/27/2017 | 7/28/2017 | Modified & Approved 10/18/2017 Filed 10/25/2017 |
| Health (64-48) | Emergency Medical Services Legislative | 6/27/2017 | 7/27/2017 | 7/28/2017 |
| Health (64-107) | Designation of Comprehensive, Primary and Acute Stroke-Ready Hospitals Legislative | 6/27/2017 | 7/27/2017 | 7/28/2017 |
| Health (64-108) | Local Board of Health Plans of Combination Procedure Procedural | 9/11/2017 | 10/11/2017 | 10/24/2017 11/25/2017 |
| Health and Human Resources (69-10) | WV Clearance for Access; Registry and Employment Screening Legislative | 6/26/2017 | 7/26/2017 | 7/27/2017 | Approved 8/29/2017 |
| AGENCY/SERIES | RULE | NOTICE | HEARING | EMER RULE | SEC/STATE | LMRRC-ACTION | LEGIS FILE | FINAL EFFECTIVE |
|---------------|------|--------|---------|-----------|-----------|--------------|------------|-----------------|
| Health and Human Resources (69-13) | Development of Methodologies to Examine Needs for Substance Use Disorder Treatment Facilities within the State Legislative | 6/27/2017 | 7/27/2017 | 6/27/2017 Approved | 7/28/2017 | Modified & Approved | 10/18/2017 Filed | 10/25/2017 |
| Health and Human Resources (69-14) | Collection and Exchange of Data Related to Overdoses Legislative | 6/27/2017 | 7/27/2017 | 6/27/2017 Approved | 7/28/2017 | Modified & Approved | 10/18/2017 Filed | 10/25/2017 |
| Health Care Authority (65-13) | Financial Disclosure Rule Legislative | 6/27/2017 | 7/27/2017 | 6/27/2017 Approved | 7/28/2017 | Modified & Approved | 10/18/2017 Filed | 10/25/2017 |
| Hearing Aid Dealers (8-01) | WV Board of Hearing Aid Dealers Legislative | 6/23/2017 | 7/24/2017 | 11/1/2017 ERD by 12/1/3/2017 | 7/28/2017 | Approved | 8/28/2017 |
| Highways (157-2) | Disposal, Lease and Management of Real Property and Appurtenant Structures and Relocation Assistance Legislative | 6/22/2017 | 7/24/2017 | 6/27/2017 Approved | 7/28/2017 | Modified & Approved | 10/18/2017 Filed | 10/25/2017 |
| Highways (157-12) | Employment Procedures Legislative | 11/2/2017 | 12/2/2017 | 11/1/2017 ERD by 12/1/3/2017 | 7/28/2017 | Modified & Approved | 9/20/2017 Filed | 10/4/2017 |
| Human Services (78-01) | Child Care Licensing Legislative | 6/26/2017 | 7/26/2017 | 7/27/2017 | 7/27/2017 | Modified & Approved | 9/20/2017 Filed | 10/4/2017 |
| Human Services (78-02) | Child Placing Agencies Licensing Legislative | 6/26/2017 | 7/26/2017 | 7/27/2017 | 7/27/2017 | Modified & Approved | 9/20/2017 Filed | 10/4/2017 |
| Human Services (78-18) | Family Child Care Facility Licensing Requirements Legislative | 6/27/2017 | 7/26/2017 | 7/28/2017 | 7/28/2017 | Modified & Approved | 9/20/2017 Filed | 10/4/2017 |
| AGENCY/SERIES NO | RULE | NOTICE | HEARING | EMER RULE | SEC/STATE ACTION | LMRRC-LEGIS FILE | FINAL EFFECTIVE |
|------------------|------|--------|---------|-----------|------------------|------------------|----------------|
| Human Services (78-19) | Family Child Care Home Registration Requirements Legislative | 6/26/2017 | 7/26/2017 | 7/27/2017 | Modified & Approved 9/20/2017 |
| Human Services (78-20) | Informal and Relative Family Child Care Home Registration Requirements Legislative | 6/26/2017 | 7/26/2017 | 7/28/2017 | Approved 9/20/2017 |
| Human Services (78-21) | Out-of-School Time Child Care Center Legislative | 6/26/2017 | 7/26/2017 | 7/28/2017 | Approved 9/20/2017 |
| Human Services (78-26) | Drug Screening of Applicants for Cash Assistance Under the Temporary Assistance for Needy Families Program (TANF) Legislative | 6/27/2017 | 7/27/2017 | 7/28/2017 | Approved 9/20/2017 |
| Labor (42-10) | Zipline and Canopy Tour Responsibility Act Legislative | 6/15/2017 | 7/17/2017 | 7/27/2017 | Approved 9/20/2017 |
| Labor (42-12) | Bedding and Upholstered Furniture Legislative | 6/15/2017 | 7/17/2017 | 7/27/2017 | Approved 9/20/2017 |
| Labor (42-17) | Amusement Rides and Amusement Attractions Safety Act Legislative | 6/15/2017 | 7/17/2017 | 7/27/2017 | Approved with Amendments 9/20/2017 |
| Labor (42-21) | Elevator Safety Act Legislative | 6/21/2017 | 7/22/2017 | 7/27/2017 | Approved 9/20/2017 |
| Labor (42-33) | Employer Wage Bonds Legislative | 6/15/2017 | 7/17/2017 | 7/27/2017 | Approved 9/20/2017 |
| Labor (42-35) | Registration of Service Persons and Service Agencies Legislative | 6/15/2017 | 7/17/2017 | 6/16/2017 Approved 7/20/2017 | 7/27/2017 | Approved 9/20/2017 |
| Labor (42-36) | Registration of Weighing and Measuring Devices Used by Businesses in Commercial Transactions Legislative | 6/15/2017 | 7/17/2017 | 6/16/2017 Approved 7/20/2017 | 7/27/2017 | Approved 9/20/2017 |
| Licensed Practical Nurses (10-04) | Schedule of Fees for Services Rendered by the WV State Bd. Of Examiners for Licensed Practical Nurses Legislative | 6/28/2017 | 7/28/2017 | 7/31/2017 |
| AGENCY/SERIES | RULE | NOTICE | HEARING | EMER RULE | SEC/STATE | LMRCC-ACTION | LEGIS FILE | FINAL EFFECTIVE |
|---------------|------|--------|---------|-----------|-----------|--------------|------------|-----------------|
| Lottery Commission (179-1) | State Lottery Rules Legislative | 6/19/2017 | 7/21/2017 | 7/28/2017 | Approved 8/29/2017 |
| Medicine (11-6) | Continuing Education for Physicians and Podiatrists Legislative | 6/21/2017 | 7/21/2017 | 7/26/2017 | Approved 8/29/2017 |
| Medicine (11-01B) | Licensure, Disciplinary and Complaint Procedures, Continuing Education, Physician Assistants Legislative | 7/11/2017 | 8/10/2017 | 9/11/2017 | Approved 8/29/2017 |
| Miners Health, Safety and Training (56-23) | Operating Diesel Equipment in Underground Mines in WV Legislative | 6/22/2017 | 7/24/2017 | 6/22/2017 | Approved 7/12/2017 |
| Mining and Reclamation (38-02) | West Virginia Surface Mining Reclamation Legislative | 6/6/2017 | 7/18/2017 | 7/28/2017 | Approved 8/29/2017 |
| Natural Resources (58-02) | Rules Controlling the Public Land Corporations Sale, Lease, Exchange or Transfer of Land or Minerals Legislative | 6/23/2017 | 7/24/2017 | 7/28/2017 | Approved 8/29/2017 |
| Natural Resources (58-49) | General Hunting Legislative | 6/23/2017 | 7/24/2017 | 7/28/2017 | |
| Natural Resources (58-56) | Special Migratory Bird Hunting Legislative | 6/23/2017 | 7/24/2017 | 7/28/2017 | |
| Natural Resources (58-64) | Miscellaneous Permits and Licenses Legislative | 6/23/2017 | 7/24/2017 | 7/28/2017 | |
| Natural Resources (58-69) | Wildlife Disease Management Legislative | 6/28/2017 | 7/28/2017 | 7/28/2017 | |
| Optometry (14-01) | WV Board of Optometry Legislative | 6/28/2017 | 7/28/2017 | 7/28/2017 | Approved 8/29/2017 |
| Osteopathic Medicine (24-2) | Osteopathic Physician Assistants Legislative | 9/12/2017 | 10/12/2017 | 11/6/2017 | ERD by 10/17/2017 12/18/2017 |
| Pharmacy (15-1) | Licensure and Practice of Pharmacy Legislative | 6/22/2017 | 7/24/2017 | 7/28/2017 | Approved 9/20/2017 |
| AGENCY/SERIES | RULE | NOTICE | HEARING | EMER RULE | SEC/STATE | LMRCC-ACTION | LEGIS FILE | FINAL EFFECTIVE |
|---------------|------|--------|---------|-----------|-----------|--------------|------------|-----------------|
| Pharmacy (15-2) | Uniform Controlled Substances Act | 5/11/2017 | 6/12/2017 | 7/28/2017 | Approved & Modified | 9/20/2017 Filed | 11/6/2017 |
| Pharmacy (15-7) | Registration of Pharmacy Technicians | 5/12/2017 | 6/12/2017 | 7/28/2017 | | | |
| Pharmacy (15-8) | Controlled Substances Monitoring Program | 6/15/2017 | 7/17/2017 | 6/15/2017 Approved | 9/19/2017 Filed | 11/7/2017 |
| Pharmacy (15-10) | Pharmacist Recovery Networks | 5/12/2017 | 6/12/2017 | 7/28/2017 | Approved & Modified | 9/20/2017 Filed | 11/6/2017 |
| Pharmacy (15-12) | Immunizations Administered by Pharmacists and Pharmacy Interns | 6/22/2017 | 7/24/2017 | 7/28/2017 | Approved & Modified | 9/20/2017 Filed | 11/6/2017 |
| Pharmacy (15-14) | Centralized Prescription Processing | 6/15/2017 | 7/17/2017 | 7/28/2017 | | | |
| Psychologists (17-01) | Fees | 6/28/2017 | 7/28/2017 | 7/28/2017 | | | |
| Psychologists (17-02) | Organization and Procedures of the Board of Examiners of Psychologists | 6/28/2017 | 7/28/2017 | 7/28/2017 | | | |
| Psychologists (17-03) | Requirements for Licensure as a Psychologist and/or a School Psychologist | 6/28/2017 | 7/28/2017 | 7/28/2017 | | | |
| Psychologists (17-06) | Code of Ethics | 6/28/2017 | 7/28/2017 | 7/28/2017 | | | |
| Public Service Commission (15-3) | Government of Electric Utilities Legislative Exempt | 11/8/2017 | 12/11/2017 | | | |
| Public Service Commission (15-4) | Government of Gas Utilities and Gas Pipeline Safety Legislative Exempt | 11/8/2017 | 12/11/2017 | | | |
| AGENCY/SERIES NO | RULE | NOTICE | HEARING | EMER RULE | SEC/STATE ACTION | LMRCC LEGIS FILE | FINAL EFFECTIVE |
|------------------|------|--------|---------|-----------|-----------------|-----------------|----------------|
| Racing Commission (178-1) | Thoroughbred Racing Legislative | 6/19/2017 | 7/19/2017 | 7/27/2017 |
| Real Estate Commission & Cert Bd. (190-2) | Appraise Licensing Certification Legislative | 6/14/2017 | 7/17/2017 | 7/28/2017 |
| Real Estate Commission (174-02) | Licensing Real Estate Brokers, Associate Brokers and Salespersons and the Conduct of Brokerage Business Legislative | 6/23/2017 | 7/24/2017 | 7/27/2017 |
| Real Estate Commission (174-01) | Requirements for Real Estate Courses, Course Providers and Instructors | 6/26/2017 | 7/26/2017 | 7/27/2017 |
| Secretary of State (153-18) | Schedule of Fees Legislative | 6/26/2017 | 7/26/2017 | 7/27/2017 |
| Secretary of State (153-1) | Electronic Filing and Formatting of Rules Procedural | 8/25/2017 | 9/29/2017 | 10/11/2017 | 11/11/2017 |
| Secretary of State (153-27) | Requirements for Real Estate Courses, Course Providers and Instructors | 6/26/2017 | 7/26/2017 | 7/27/2017 |
| Secretary of State (153-9) | Authorized Use of the Great Seal of the State of WV Interpretive Legislative | 10/23/2017 | 11/22/2017 | 7/27/2017 |
| Secretary of State (153-18) | Procedures for Canvassing Elections Legislative | 6/28/2017 | 7/28/2017 | 7/28/2017 |
| Secretary of State (153-27) | Procedures for Handling Ballots and Counting Write-in Votes in Counties Using Optical Scan Ballots Legislative | 6/28/2017 | 7/28/2017 | 7/28/2017 |
| Secretary of State (153-34) | Licensing of Private Investigators and Security Guards Legislative | 6/26/2017 | 7/26/2017 | 7/27/2017 |
| Secretary of State (153-39) | Vote by Mail Pilot Project Phase 2: Voting by Mail – Repeal Legislative | 6/27/2017 | 7/27/2017 | 7/28/2017 | Approved 8/29/2017 |
| Senior Services (76-3) | WV State Plan for Aging Projects Interpretive | 7/17/2016 | 8/8/2016 |
| State Police (81-14) | WV Sex Offender Registration Act Procedural | 7/20/2017 | 8/22/2017 |
| AGENCY/SERIES | RULE | NOTICE | HEARING | EMER RULE | SEC/STATE | LMRMC-ACTION | LEGIS FILE | FINAL EFFECTIVE |
|---------------|------|--------|---------|-----------|-----------|--------------|------------|-----------------|
| Tax (110-10F) | Payment of Taxes by Electronic Funds Transfer Legislative | 6/16/2017 | 7/17/2017 | 7/27/2017 | Approved | Modified & Approved 8/29/2017 Filed 9/1/2017 | 8/29/2017 | 9/1/2017 |
| Tax (110-33D) | Farm-To-Food Bank Tax Credit Legislative | 6/16/2017 | 7/17/2017 | 7/27/2017 | Approved | Modified & Approved 8/29/2017 Filed 9/1/2017 | 8/29/2017 | 9/1/2017 |
| Tax (110-22) | Property Transfer Tax Legislative | 6/19/2017 | 7/20/2017 | 7/27/2017 | Approved | Modified & Approved 8/29/2017 Filed 9/8/2017 | 8/29/2017 | 9/8/2017 |
| Tax (110-28) | Municipal Sales and Service and Use Tax Administration Legislative | 6/16/2017 | 7/17/2016 | 6/13/2017 | Approved 7/20/2017 | Modified & Approved 8/29/2017 Filed 9/8/2017 | 7/28/2017 | 8/29/2017 |
| Veterinary Medicine (26-1) | Organization and Operation and Licensing of Veterinarians Legislative | 6/12/2017 | 7/13/2017 | 7/18/2017 | Approved | Modified & Approved 8/29/2017 Filed 9/8/2017 | 8/29/2017 | 9/8/2017 |
| Veterinary Medicine (26-5) | Certified Animal Euthanasia Technicians Legislative | 6/12/2017 | 7/13/2017 | 7/18/2017 | Approved | Modified & Approved 8/29/2017 Filed 9/20/2017 | 8/29/2017 | 9/20/2017 |
| Veterinary Medicine (26-6) | Schedule of Fees Legislative | 6/12/2017 | 7/13/2017 | 7/18/2017 | Approved | Modified & Approved 8/29/2017 Filed 8/29/2017 | 8/29/2017 | 8/29/2017 |
| Waste Mgmt. Div. of Water & Waste Mgmt. (33-20) | Hazardous Waste Management System Legislative | 6/5/2017 | 7/6/2017 | 7/21/2017 | Approved | Modified & Approved 8/29/2017 Filed 8/29/2017 | 7/25/2017 | 8/29/2017 |
| Waste Mgmt. Div. of Water & Waste Mgmt. (33-30) | Underground Storage Tanks Legislative | 6/5/2017 | 7/6/2017 | 7/25/2017 | Approved | Modified & Approved 8/29/2017 Filed 8/29/2017 | 7/25/2017 | 8/29/2017 |
October 31, 2017
Honorable Mac Warner
West Virginia Secretary of State
Attn: Administrative Law Division
1900 Kanawha Boulevard East
Charleston, WV 25305-0771
Dear Secretary Warner,
Pursuant to WV Code §39-22A-5(a), the West Virginia State Lottery is, from time to time, to adopt game rules pertaining to racetrack video lottery which are specifically authorized by WV Code §§29-22A-1 et seq.
Enclosed are game rules for “China Shores”, “Lucky Honeycomb Hot Boost”, “Jester’s Mirror”, and “Heart of Romance” manufactured by Konami Gaming for lottery terminals located at all four licensed racetracks in the State.
Please file these documents as a game rule.
Sincerely,
Alan H. Larrick
Director
Enclosures:
China Shores
Lucky Honeycomb Hot Boost
Jester’s Mirror
Heart of Romance
AHL:mr
Enclosures:
Betty White’s Tail Tales
Betty White’s Story Time
www.wvlottery.com
October 31, 2017
Honorable Mac Warner
West Virginia Secretary of State
Attn: Administrative Law Division
1900 Kanawha Boulevard, East
Charleston, WV 25305-0771
Dear Secretary Warner:
Pursuant to WV Code §29-22A-5(a), the West Virginia State Lottery is, from time to time, to adopt game rules pertaining to racetrack video lottery which are specifically authorized by WV Code §§29-22A-1 et seq.
Enclosed are game rules for “Reel Sweet Stacks”, “Rolling Action Gold Bonanza”, “Weird Wicked & Wild”, “Cool…I Scored It Again!”, “Happy Piggy”, “Gardens of Magic”, “Jade Garden” and “Wonder 4 Tail Fortunes” manufactured by Aristocrat for lottery terminals located at all four licensed racetracks in the State.
Please file these documents as a game rule.
Sincerely,
Alan H. Larrick
Director
Enclosures:
Reel Sweet Stacks
Rolling Action Gold Bonanza
Weird Wicked & Wild
Cool… I Scored It Again!
Happy Piggy
Gardens of Magic
Jade Garden
Wonder 4 Tail Fortunes www.wvlottery.com
NOTICE OF RULE MODIFICATION OF A PROPOSED RULE
AGENCY: Pharmacy
RULE TYPE: Legislative
RULE NAME: Uniform Controlled Substances Act
CITE AUTHORITY: 30-5-7
The above proposed legislative rules, following review by the Legislative Rule Making Review Committee, is hereby modified as a result of review and comment by the Legislative Rule Making Review Committee. The attached modifications are filed with the Secretary of State.
BY CHOOSING 'YES', I ATTEST THAT THE PREVIOUS STATEMENTS ARE TRUE AND CORRECT.
AGENCY: Pharmacy
RULE TYPE: Legislative
RULE NAME: Controlled Substances Monitoring Program
CITE AUTHORITY: 30-5-7
The above proposed legislative rules, following review by the Legislative Rule Making Review Committee, is hereby modified as a result of review and comment by the Legislative Rule Making Review Committee. The attached modifications are filed with the Secretary of State.
BY CHOOSING 'YES', I ATTEST THAT THE PREVIOUS STATEMENTS ARE TRUE AND CORRECT.
NOTICE OF RULE MODIFICATION OF A PROPOSED RULE
AGENCY: Pharmacy
RULE TYPE: Legislative
RULE NAME: Pharmacist Recovery Networks
CITE AUTHORITY: 30-5-7
The above proposed Legislative rules, following review by the Legislative Rule Making Review Committee, is hereby modified as a result of review and comment by the Legislative Rule Making Review Committee. The attached modifications are filed with the Secretary of State.
BY CHOOSING "YES", I ATTEST THAT THE PREVIOUS STATEMENTS ARE TRUE AND CORRECT.
NOTICE OF RULE MODIFICATION OF A PROPOSED RULE
AGENCY: Pharmacy
RULE TYPE: Legislative
RULE NAME: Immunizations
CITE AUTHORITY: 30-5-7
The above proposed Legislative rules, following review by the Legislative Rule Making Review Committee, is hereby modified as a result of review and comment by the Legislative Rule Making Review Committee. The attached modifications are filed with the Secretary of State.
BY CHOOSING "YES", I ATTEST THAT THE PREVIOUS STATEMENTS ARE TRUE AND CORRECT.
FORM 1 - NOTICE OF A PUBLIC HEARING OR COMMENT PERIOD ON A PROPOSED RULE
AGENCY: Public Service Commission
RULE TYPE: Legislative Exempt
RULE NAME: Amendment to Existing Rule Yet Title-Series 150-03
CITE AUTHORITY: 244-1-244-7, 244-1 and 244-2
DATE OF PUBLIC HEARING
Written
LOCATION OF PUBLIC HEARING
Written
DATE WRITTEN COMMENT PERIOD ENDS
Monday, December 11, 2017 4:00 PM
WRITTEN COMMENTS MAY BE MAILED TO
Ingrid M. Ferrall, Executive Secretary
201 Brooks Street
PO Box 812
Charleston, WV 25323
DATE WRITTEN COMMENT PERIOD ENDS
Monday, December 11, 2017 4:00 PM
WRITTEN COMMENTS MAY BE MAILED TO
Ingrid M. Ferrall, Director
Executive Secretary, Division
PO Box 812
Charleston, WV 25323
BY CHOOSING YES, I ATTEST THAT THE PREVIOUS STATEMENTS ARE TRUE AND CORRECT.
Yes
Ingrid M. Ferrall – By my signature, I certify that I am the person authorized to file legislative rules, in accordance with West Virginia Code §29A-3-11 and §39A-3-2.
Ingrid M. Ferrall
Title-Series: 150-03
Rule Id: 16684
Document: 49996
FORM 7 - NOTICE OF AN EMERGENCY RULE (Page 1)
AGENCY: Osteopathic Medicine
RULE TYPE: Legislative AMENDMENT TO EXISTING RULE Yes TITLE-SERIES 24-02
RULE NAME: Osteopathic Physician Assistants
CITE AUTHORITY: 38-7-7(a) & 36-SE-300-1(d)
THE ABOVE RULE IS BEING FILED AS AN EMERGENCY RULE TO BECOME EFFECTIVE AFTER APPROVAL BY SECRETARY OF STATE OR LATER DAY AFTER FILING, WHICHEVER OCCURS FIRST. THE FACTS AND CIRCUMSTANCES CONSTITUTING THE EMERGENCY ARE AS FOLLOWS:
SB 1014 was passed and signed into law on September 7, 2017. The WV Board of Medicine implemented emergency rules to implement their legislative rules to enforce SB 1014. They have affected the osteopathic physician assistants and we are submitting an emergency rule to allow immediate enforcement.
BY CHOOSING YES, I ATTEST THAT THE PREVIOUS STATEMENTS ARE TRUE AND CORRECT.
Yes
Diana K Shepard By my signature, I certify that I am the person authorized to file legislative rules, in accordance with West Virginia Code §29A-3-11 and §39A-5-2.
Title-Series: 24-02 Rule Id: 16693 Document: 4937
| Docket Number | Agency | Respondent | Date Rendered |
|---------------|-------------------------------|-----------------------------------|---------------|
| 17-3-11396-X | Health Care Authority | Boone Memorial Hospital Inc | 11/1/2017 |
| 17-8-11201-X | Health Care Authority | Mountaineer Mental Health LLC | 11/1/2017 |
| 17-6-11104-X | Health Care Authority | RSCR West Virginia Inc | 11/1/2017 |
| 17-3-11393-X | Health Care Authority | WomenCare Inc. | 11/1/2017 |
| 17-2-11382-X | Health Care Authority | Aeternus Riverview Holdings LLC | 10/25/2017 |
| 17-6-11183-X | Health Care Authority | Akkary Center for Weight Management & Surgical Services | 10/23/2017 |
| 17-5-6-11166-X | Health Care Authority | Cavalier Mobile X-Ray Co | 10/25/2017 |
| 17-2-11185-X | Health Care Authority | Marshall University | 10/24/2017 |
| 17-3-6-11395-X | Health Care Authority | New Horizons Therapy Services LLC | 10/24/2017 |
| 17-6-11399-H | Health Care Authority | West Virginia University Hospitals Inc | 10/25/2017 |
| 17-2-11395-X | Health Care Authority | Williamson Health and Wellness Center | 10/24/2017 |
| NO. | OPINION SOUGHT |
|-------|--------------------------------------------------------------------------------|
| 2017-07 | The Sheriff of Hardy County requests an exemption to purchase emergency lighting equipment for the Sheriff's Office's law enforcement vehicles from a business owned by one of his deputies. |
| 2017-08 | The Hancock County Commission requests an exemption to allow its Sheriff's Department to use Water World Car Wash, a business owned by County Commissioner Jeff Davis. |
| Docket Number | Grievants Name | Respondents Name | Date Decision |
|---------------------|---------------------------------|-----------------------------------------|---------------|
| 2017-0514-DHHR | Michael Nelson Malone | Health And Human Resources | 10/4/2017 |
| | | Inspector General | |
| 2018-0018-MISC | Kerri A. Swager | Personnel | 10/4/2017 |
| 2017-1874-DHHR | Nikole Kidd | Hammond Public Service District | 10/4/2017 |
| | | Health And Human Resources | 10/5/2017 |
| 2017-2089-DHHR | Debbie Sparks | Children And Families | 10/5/2017 |
| | | Health And Human Resources | 10/5/2017 |
| 2018-0021-BOC | Michael D. Bryant | Mildred Mitchell-Bateman Hospital | 10/5/2017 |
| 2017-2296-BOC | Sarah Kelly | Natural Resources | 10/6/2017 |
| 2017-0959-DHHR | Deborah S. Smith | Workforce West Virginia | 10/6/2017 |
| | | Health And Human Resources | 10/11/2017 |
| 2017-1082-CONS | Priscilla Ann Thomas | Child Support Enforcement | 10/17/2017 |
| 2017-2172-DOR | Bruce Wilson | Logan County Board Of Education | 10/17/2017 |
| 2016-0228-CONS | Richard Jones, et al. | Tax Department | 10/17/2017 |
| 2018-0279-DHHR | Aimme Reynolds | West Liberty University | 10/18/2017 |
| | | Health And Human Resources | 10/19/2017 |
| 2018-0206-DOT | Jonathan P. Terry, Marcus Strader | Jackie Withrow Hospital | 10/19/2017 |
| 2016-1583-CONS | | Parkways Authority | 10/19/2017 |
| | | Health And Human Resources | 10/20/2017 |
| 2017-1155-DHHR | R. D. | William R. Sharpe, Jr. Hospital | 10/20/2017 |
| | | Health And Human Resources | 10/25/2017 |
| 2017-2342-CONS | Mike Duminiack | Children And Families | 10/25/2017 |
| 2017-2029-BaoED | Robin Gabbert | Water Development Authority | 10/25/2017 |
| | | Boone County Board Of Education | 10/25/2017 |
11/17/2017 3:29:39 PM
| ID | Name | Department | Date |
|-------------|--------------|-----------------------------------|------------|
| 2017-1992-DHHR | Tonia Guthrie | Health And Human Resources | 10/25/2017 |
| | | Hopemont Hospital | 10/25/2017 |
| 2015-1774-CONS | Helmo Riedel | West Virginia University | 10/31/2017 |
| 2017-1146-MerED | Carl W. Finley | Mercer County Board Of Education | 10/31/2017 |
| 2017-0211-WVU | Kayla Hawley | West Virginia University | 10/31/2017 |
| 2017-2041-CONS | Alisa Sisley | Health And Human Resources | 10/31/2017 |
| | | William R. Sharpe, Jr. Hospital | 10/31/2017 |
State of West Virginia
Office of the Attorney General
State Capitol
Building 1, Room 26-E
Charleston, WV 25306-0220
Patrick Morrissey
Attorney General
November 1, 2017
Mr. Austin Caperton
Cabinet Secretary
West Virginia Department of Environmental Protection
601 57th Street, Southeast
Charleston, WV 25304
Dear Secretary Caperton:
You have asked for an Opinion of the Attorney General regarding whether amendments to West Virginia Code § 22-11-7b, contained in House Bill 2506 and Senate Bill 687 can be harmonized or whether effect must be given to Senate Bill 687 as the later-enacted statute. This Opinion is being issued pursuant to West Virginia Code § 5-3-1, which provides that the Attorney General “shall give written opinions and advice upon questions of law whenever required to do so, in writing, by the director of the division of environmental protection.” To the extent this Opinion relies on facts, it is based solely upon the factual assertions set forth in your correspondence with the Attorney General’s Office.
In your letter, you explain that in the 2017 Regular Session of the Legislature, the Legislature enacted two bills purporting to amend the provisions of West Virginia Code § 22-11-7b. According to your letter, prior to both chambers, West Virginia Code § 22-11-7b(c) directed the Secretary of the West Virginia Department of Environmental Protection (DEP) to establish standards of water quality for all surface and ground waters in the state and implement a regulatory program to protect waters of the State from activities that may degrade water quality. That provision did not mandate that DEP use a particular formula or to assess the quality of drinking water. A different subsection of the same provision—West Virginia Code § 22-11-7b(e)—directed the Secretary to propose a legislative rule implementing a method for determining the health of a stream based on the presence and health of aquatic life in the stream.
Your letter further explains that, during the 2017 session, House Bill 2506 added a provision to subsection (c) requiring DEP to use harmonic mean flow in calculating permit limits when implementing human health criteria to protect drinking water sources and to allow mixing zones to override, subject to certain conditions. The House bill passed the Legislature on March 28, 2017, was signed into law by the Governor on April 18, 2017, and had an effective date of June 26, 2017. Eleven days after the House bill passed the Legislature, on April 8, 2017, the Legislature enacted Senate Bill 687, which removed a provision from subsection (f) requiring the Secretary to develop a method to determine the health of a stream based on whether the stream “supports a balanced aquatic community … diverse in species composition.” The Senate bill did not incorporate the amendment to subsection (c) made by the House bill that required the use of harmonic mean flow to assess the quality of drinking water. Senate Bill 687 took effect on April 8 and was signed into law by the Governor on April 26, 2017.
Finally, your letter notes that DEP is aware of the West Virginia Supreme Court of Appeals’ opinion in *Wiley v. Topgates*, 219 W. Va. 173, 555 S.E.2d 818 (2001), which provides that “effect should always be given to the latest … expression of the legislative will.”
Your letter raises the following specific legal question:
*Whether the amendments to West Virginia Code § 22-11-7b contained in Senate Bill 687 supersede the amendments to that provision in House Bill 2506?*
We conclude that a court is likely to hold that the currently operative provisions of West Virginia Code § 22-11-7b include (1) subsection (c) of House Bill 2506, requiring DEP, among other things, to use harmonic mean flow in assessing drinking water quality, and (2) the remainder of Senate Bill 687, including subsection (f), which removes the balanced aquatic community assessment requirement.
We reach this conclusion through a combination of statutory and constitutional analysis. We conclude first that the Legislature intended that Senate Bill 687 expressly repeal and replace House Bill 2506 in its entirety. In the alternative, the amendments contained in Senate Bill 687 irreconcilably conflict with those in House Bill 2506, and therefore, because the Senate Bill was enacted more recently, it would control in its entirety absent some constitutional defect in the bill. Second, we conclude that the Senate Bill does suffer in part from constitutional defect, namely, that the title of the bill nowhere reflects the purported removal of the House amendment to subsection (c). Accordingly, we conclude that a court would most likely deem the Senate Bill’s purported elimination of the House amendment to this subsection to be unconstitutional under Article VI, Section 30 of the West Virginia Constitution. Finally, we conclude that a court would proceed to sever the unconstitutional amendment contained in the Senate Bill and permit the remainder of the bill to take full effect. The net result would be that Senate Bill 687, including its amendment to the aquatic life provisions in subsection (c), would take full effect, with the exception of subsection (c), which would continue to reflect the amendment made by House Bill 2506 requiring DEP to use harmonic mean flow.
**The “Last in Time” Rule**
The first step in our analysis requires us to determine what provisions of West Virginia Code § 22-11-7b would be operative absent some constitutional infirmity—that is, what has the Legislature in fact enacted as the current version of the law? Under this first step of the analysis, we conclude that the Legislature, either expressly or implicitly, repealed House Bill 2506 in its entirety when it enacted Senate Bill 687. Accordingly, if Senate Bill 687 were free from constitutional defect, it would control in full.
As your letter points out, the West Virginia Supreme Court of Appeals has developed a canon of construction that requires a court, when two provisions of law are in actual conflict to give effect to the provision that was enacted later in time. A court may not need to resort to this “last-in-time” rule, however, to determine what the Legislature has deemed to be the current provisions of West Virginia Code § 22-1-1h. Courts typically apply this canon to determine whether the Legislature has effected a repeal by implication—that is to say, in cases where the Legislature has enacted a new statute that irreconcilably conflicts with a second, earlier-enacted statute but does not directly refer to or address the second law. See, e.g., State ex rel. Pinson v. Varney, 142 W. Va. 105, 109, 96 S.E.2d 72, 74 (1948).
In such cases, the West Virginia Supreme Court of Appeals has long recognized that “[r]epeal by statute by implication is not favored in law.” Syllabus pt. 1, State ex rel. City of Wheeling v. Renz, 145 W. Va. 440, 116 S.E.2d 763 (1960). “To repeal a statute by implication there must be such positive repugnancy between the provisions of the new statute and the old statute that they can not stand together or be consistently reconciled.” Id. at syll. pt. 2; see also Price v. West, 109, 96 S.E.2d at 74 (“[W]here two distinct statutes stand in pari materia and sections thereof are in irreconcilable conflict, that section must prevail which can properly be considered as the last expression of the law-making power. . . . But where legislative enactments cannot be reconciled, effect must be given to the latest expression of the legislative will.”) (citations omitted); Loggers, 210 W. Va. 173, 175, 556 S.E.2d 818, 820 (2001) (quoting Joseph Special Grocery Co. v. Weidner, 36 W. Va. 602, 49 S.E. 534 (1904)).
This case, however, does not appear to involve repeal by implication. By contrast, the Legislature expressly repealed and replaced the entirety of House Bill 2506 with Senate Bill 687. See Senate Bill 687 (2017 W. Va. Legislative Session), “AN ACT to amend and reenact . . . § 22-1-7h.” Typically, if the Legislature expressly repeals an existing provision of law with a different language to replace the same provision, its intent to repeal is clear, and there is no reason to consider whether or not the two provisions stand in irreconcilable conflict. In such cases, the amendment is clearly law, and the repealed act no longer has effect. Because the Legislature appears to have expressly repealed the version of West Virginia Code § 22-1-7h with another, a court may not need to have recourse to the “last-in-time” canon to conclude that Senate Bill 687 reflects the text of the current statute. See Slater ex rel. Thompson v. Morton, 140 W. Va. 207, 211–12, 89 S.E.2d 397, 399 (1954) (distinguishing between a statute that expressly repeals a provision by referencing its name, title, or caption and an implied repeal where the “last-in-line” canon applies); McConaha v. Gauthier, 21 W. Va. 134, 148 (1882) (distinguishing between express and implied repeals).
To be sure, the Supreme Court of Appeals has also applied the “last-in-time” rule in instances where there is some confusion about what language the Legislature actually intended to enact into law—for example, where the Legislature enacted two conflicting definitions of the same provision on the same day. See Wiley, 210 W. Va. at 175, 556 S.E.2d at 820. But here, there is arguably no such confusion—the Legislature took up and enacted two separate bills to amend the same statute eleven days apart from each other. It seems clear in such a case that the provisions in Senate Bill 687 would govern, regardless of their putative conflict with the text of House Bill 2506.
Even if we were appropriate to apply a “last-in-time” analysis to resolve the tension between House Bill 2506 and Senate Bill 687, however, we would reach the same conclusion.
As identified in your letter, Wiley describes a two-step process for analyzing whether two seemingly inconsistent versions of a particular Code section can be reconciled, and if not, which statute governs. 210 W. Va. at 175, 556 S.E.2d at 820. The first question is whether the provisions conflict or can be reconciled. Id. at 175, 556 S.E.2d at 820. If they conflict, the court next must determine which enactment is the “latest . . . expression of the legislative will.” Id. at 175, 556 S.E.2d at 820. The latest expression of the legislative will is determined based on the time when the respective bills passed the Legislature. Id. at 175, 556 S.E.2d at 820.
In Wiley, the court considered whether two definitions of “timbering operations” enacted on the same day could be reconciled. Id. at 174–75, 556 S.E.2d at 819–20. The earlier-enacted definition exempted harvesting of timber from the definition of timbering operations while the later-enacted version omitted the exemption and applied the requirements of the statute to the harvesting of timber. Id. at 174–75, 556 S.E.2d at 819–20. The Court concluded that because the earlier-enacted definition excluded some commercial logging operations that the later-enacted version did not, the provisions conflicted. Id. at 175 n.2, 556 S.E.2d at 820 n.2.
The Court reached the opposite conclusion in Charleston Gazette v. Smithers, 232 W. Va. 449, 752 S.E.2d 603 (2013) where a legislative rule and a statutory provision both allowed for the exercise of discretion and did not impose binding obligations on anyone. Smithers involved a potential conflict between the State Freedom of Information Act (“FOIA”) and a legislative rule enacted under West Virginia Code § 15-2-21 (1977), which required the West Virginia Division of Public Safety to promulgate investigation procedures. 232 W. Va. at 457, 458, 752 S.E.2d at 611 & n.4. The rule provided that a court can order “documents, evidence, and other items related to complaints, internal inquiries and/or contained in case files” to be “released, disseminated, or disclosed.” Id. at 466 n.30, 752 S.E.2d at 622 n.10 (emphasis added). The FOIA statute provided that “[i]nformation of a personal nature such as that kept in a personal, medical or similar file” is exempt from disclosure “if the public disclosure thereof would constitute an unreasonable invasion of privacy.” Id. at 461, 752 S.E.2d at 615. Under Child Protection Group v. Cline, 177 W. Va. 29, 350 S.E.2d 541 (1986), a court has discretion in determining whether disclosure constitutes an invasion of privacy under FOIA. Id. at 346–49, 352 S.E.2d at 617–18 (citing Child Prot. Grp. v. Cline, 177 W. Va. 29, 350 S.E.2d 541 (1986)). Because both the rule and FOIA allow a court discretion to order disclosure, the Supreme Court of Appeals concluded there was no conflict between the two.
Applying the first step in the Wiley analysis to the question presented in your letter, we conclude that this case appears to present an irreconcilable conflict between conflicting commands, as in Wiley, rather than two reconcilable grants of discretion, as in Smithers.
As in Wiley, the bills purport to adopt different language of the same provision—one of which (House Bill 2506) imposes an obligation that the other (Senate Bill 687) does not. See 210 W. Va. at 174–75, 556 S.E.2d at 819–20. The conflict is apparent by attempting to reconcile the two provisions. The House Bill’s subsection (c) requires DEP to use harmonic mean flow in setting permit limits while the Senate Bill does not. Specifically, House Bill 2506 provides that “the Secretary shall calculate permit limits using the harmonic mean flow . . . .” House Bill 2506
(emphasis added). If full effect were given to the House bill, requiring harmonic mean flow, it would be impossible to give full effect to Senate Bill 687, which grants DEP discretion in determining how to calculate permit limits. Equally, it would be impossible to give full effect to the House bill’s subsection (f), which requires DEP to assess compliance with narrative water quality standards based on a balanced aquatic community, and to the Senate bill’s removal of that requirement.
One could argue that the bills do not actually conflict because the Legislature only intended for Senate Bill 687 to amend subsection (f) while it only intended House Bill 2506 to amend subsection (g). But that argument ignores the actual content of the two bills. Senate Bill 687 unquestionably makes a change to the House bill version of subsection (c) by amending and reenacting the entirety of § 22-11-76, which contains the language in subsection (c) in effect prior to enactment of the House bill. The text of the bill provides no indication that the Legislature intended to limit Senate Bill 687 to the amendments to subsection (f). To give full effect to House Bill 2506 would be to ignore that amendment and give effect to the presumed, subjective intent of the Legislature over clear statutory text, which courts generally do not do. See, e.g., Smith v. State Workmen’s Comp. Comm’n, 159 W. Va. 108, 115–16, 219 S.E.2d 365, 367 (1975).
Having found a conflict, we turn to the second step of the Wiley analysis, which requires a court to effect “... to the latest ... expression of legislative will ...” 210 W. Va. at 175, 556 S.E.2d at 820 (quoting Joseph Speidel, 56 W. Va. at 608, 49 S.E. at 536). Under applicable precedent, the latest expression is measured from the date or time that the Legislature passed the bill (as opposed to the effective date or the date of the Governor’s signature). See id. at 174–75, 556 S.E.2d at 819–20; City of Benwood v. Bd. of Ed., 212 W. Va. 436, 440, 573 S.E.2d 347, 351 (2002) (concluding that a bill “effective from passage” became effective when it was passed by both houses of the Legislature); House Bill 2506 was passed by both houses on March 28, 2017, while Senate Bill 687 was passed on April 8, 2017, making Senate Bill 687 the latest expression of legislative will under Wiley.
In short, whether analyzed as an express or implied repeal, the text of Senate Bill 687 would control over the text of House Bill 2506, absent some other constitutional defect.
---
1 The full text of the House Bill 2506 amendment to subsection (c) reads:
“For implementing human health criteria for the protection of drinking water, the Secretary shall calculate permit limits using the harmonic mean flow and may determine the point of compliance for a permittee’s discharge pursuant to the mixing zone provisions of the Legislative Rule entitled Requirements Governing Water Quality Standards, 47 C.S.R. 2. Provided, That the Secretary may allow mixing zones to overlap, but not to go beyond a point one half mile upstream of a public water supply. At locations where mixing zones are allowed to overlap, the Secretary shall require permittees to indicate on their required signage an indication that mixing zones overlap in a particular vicinity.”
Mr. Austin Caperton
November 1, 2017
Page 8
491, 300 S.E.2d at 486 & n.1, 487. The Court found that deregulation provision was invalid because it had not been appropriately noticed in the title. *Id.* at 489-90, 300 S.E.2d at 486. The Court explained that the title at issue was misleading because it “was enormously specific” and “set forth a brief description of every major change that the act made except for the change at issue in the litigation. *Id.* at 491, 300 S.E.2d at 487 (emphasis in original). The Court further reasoned that “[a] person reading a title to a bill drawn with [such] specificity . . . would reasonably conclude that the act did not touch that subject because all other concerns [were] set forth with specificity.” *Id.* at 491, 300 S.E.2d at 487.
The Court’s decision in *C. Spike Copley* is particularly relevant here, because the title of Senate Bill 687 follows the same pattern as the title at issue in that case. It referred to the provisions the act was amending and enacting, stated that its provisions related “generally to natural resources,” and then specifically listed the changes made to the existing statutes. As relevant to your question, the bill’s title included as one of its purposes: “removing certain criteria from evaluation for the narrative water quality standard.” That purpose encompasses the change to subsection (f), eliminating consideration of whether the stream “[s]upports a balanced aquatic community that is diverse in species composition” from the analysis of “the biologic component of West Virginia’s narrative water quality standard.” But under *C. Spike Copley*, the amendment to subsection (c) would also need to be specifically noticed in the title because the Legislature specifically listed other subjects. That amendment is not specifically noted, and therefore, would likely be deemed unconstitutional.
One could argue that the title’s reference to “narrative water quality standard[s]” could also encompass the change to subsection (c), but that argument would be unlikely to prevail. Subsection (c) refers to DEP’s method for calculating permit limits that implement water quality standards for protection of human health with respect to drinking water. The development of permit limits is different from the establishment of narrative water quality standards that govern permissible levels of pollution in public waterways. Also, the Senate bill did not “remov[e] certain criteria from required calculation method” – harmonic mean flow. DEP would not be alerted to the elimination of a binding obligation by a title referencing “removal of[ ] certain criteria from evaluation,” because these two sections mean significantly different things from the standpoint of DEP’s flexibility to set certain water quality standards.
In the event that the Supreme Court of Appeals determined that the Senate bill’s amendment of subsection (c) lacked adequate support in the title, the Court would most likely deem that specific amendment unconstitutional and leave the remainder of the Senate bill intact. The Court will uphold the balance of a statute “even if one provision has been declared unconstitutional so long as ‘the remaining portions of the legislative will, is complete in itself, is capable of being executed independently of the repealed portion, and in all other respects is valid.’” *Syl. pt. 6 (internal quotation marks omitted), State v. Hefner, 135 W. Va. 97, 97 S.E.2d 481 (1952).* Only where the invalid provisions of a statute are so connected and interdependent in subject matter, meaning, or purpose as to preclude the latter, presumption or conclusion that the Legislature would not have passed the one without the other [will] the whole statute will be declared invalid.” *Loud v. Com.,* 218 W. Va. 81, 97, 622 S.E.2d 785, 804 (2005) (quoting *syl. pt. 9, Robertson v. Harsher*, 148 W. Va. 239, 133 S.E.2d 675 (1964)) (alterations in original).
Here, there is no reason to believe that the Legislature deemed subsections (c) and (f) of § 22-11-7b to be irreparably intertwined, or that DEP could not comply simultaneously with subsection (c) of the House bill and subsection (f) of the Senate bill. Accordingly, the likely outcome if the Legislature decides that the title of the Senate bill does not appropriately reflect the amendments to subsection (c) would be to sever that provision from the remainder of the bill, leaving intact the version of subsection (c) enacted through the House bill.
* * *
In sum, we conclude that the Supreme Court of Appeals would be likely to hold, based on the constitutional and statutory analysis set forth above, that the currently operative provisions of West Virginia Code § 22-11-7b would consist of (1) the House bill amendment to subsection (c), including the harmonic mean flow requirement, and (2) the remainder of the Senate bill apart from subsection (c), including the removal of the aquatic life provision in subsection (f).
This letter takes no position on whether harmonic mean flow is the appropriate method for calculating permit limits or whether a balanced aquatic community should be considered in determining compliance with biologic narrative water quality standards. If the Legislature desires to remove the harmonic mean flow requirement or reinstate the balanced aquatic community requirement, it may of course amend the West Virginia Code to achieve those results.
Sincerely,
Patrick Morrisey
Attorney General
Erica N. Peterson
Assistant Attorney General
The West Virginia Health Care Authority announces the following Certificate of Need activities for the week ending November 3, 2017.
**LETTER OF INTENT RECEIVED**
October 30, 2017 – Potomac Valley Hospital, Keyser, Mineral County, CON File #17-8-11212-P, for the development of an ambulatory health care facility in Mineral County through the acquisition of a physician practice; capital expenditure: $237,000.
**CERTIFICATE OF NEED APPLICATIONS RECEIVED**
October 30, 2017 - Berkeley Medical Center, Martinsburg, Berkeley County, CON File #17-6-11206-P, for the development of an ambulatory health care facility in Berkeley County; capital expenditure: $673,000.
October 30, 2017 - Hometown Care, LLC, Bellington, Barbour County, CON File #17-6/7-11207-P-C, for the provision of personal care services in Preston, Harrison, Marion and Upshur counties; capital expenditure: $1,500.
October 30, 2017 – Monongalia County General Hospital Company, Morgantown, Monongalia County, CON File #17-6-11208-P, for the establishment, by acquisition of the assets of Alvaro R. Gutierrez Neurology, PLLC and employment of Gutierrez Neurology’s sole physician owner, an ambulatory health care facility located at 21993 Cheat Road, Morgantown, Monongalia County; capital expenditure: $25,000.
**APPLICATIONS DECLARED COMPLETE AND UNDER REVIEW**
An application declared complete is one in which there is sufficient information for the Authority to make an informed decision. It does not mean that the approval of the application is warranted.
**EXPEDITED APPLICATIONS**
October 23, 2017 - Charleston Area Medical Center, Inc., Charleston, Kanawha County, CON File #17-3-11190-P, for the development of an ambulatory health care facility at 508 New Hope Road, Suite 107, Princeton, Mercer County, through the transfer of the practice from Integrated Health Care Providers, Inc. to Charleston Area Medical Center; no capital expenditure.
October 23, 2017 - Charleston Area Medical Center, Inc., Charleston, Kanawha County, CON File #17-3-11191-P, for the development of an ambulatory health care facility at 400 Fairview Heights Road, Suite 202, Summersville, Nicholas County, through the transfer of the practice from Integrated Health Care Providers, Inc. to Charleston Area Medical Center; no capital expenditure.
October 23, 2017 - Charleston Area Medical Center, Inc., Charleston, Kanawha County, CON File #17-3-11192-P, for the development of an ambulatory health care facility at 50 Veres Drive, Chapmanville, Logan County, through the transfer of the practice from Integrated Health Care Providers, Inc. to Charleston Area Medical Center; no capital expenditure.
October 23, 2017 - Elder Aide Services db/a Right at Home, Charleston, Kanawha County, CON File #17-3-11195-PC, for the provision of personal care services in Putnam County; no capital expenditure.
October 30, 2017 - Special Touch Nursing Services, Inc., South Charleston, Kanawha County, CON File #17-3-11194-PC, for the provision of personal care services in Kanawha County; capital expenditure: $1,000.
October 31, 2017 - Southern Home Care Services, Inc., Louisville, Kentucky, CON File #17-114-11203-PC, for the provision of personal care services in Greenbrier, Raleigh and Monroe counties; capital expenditure: $10,000.
October 31, 2017 - Berkeley Medical Center, Martinsburg, Berkeley County, CON File #17-6-11206-P, for the development of an ambulatory health care facility in Berkeley County; capital expenditure: $673,000.
An application that has been declared complete is one in which there is sufficient information for the Authority to make an informed decision. It does not mean that the approval of the application is warranted.
The review cycle for the above-referenced projects is as follows:
October 31, 2017 – Review cycle begins,
November 30, 2017 – Last date for an affected person to request a public hearing on the project. If a public hearing is requested, notice of date, time and place will be issued to affected persons.
December 5, 2017 – If no public hearing is requested, the file will close and no further information or evidence will be accepted by the Authority for the remainder of the review of the application;
January 2, 2018 – Decision on the project will be issued by the Authority.
PROJECTS DETERMINED NOT REVIEWABLE
November 1, 2017 – Boone Memorial Hospital, Inc., Madison, Boone County, CON File #1-3-11196-X, for the total relocation of the certified rural health care clinic known as Boone Memorial Hospital Rapid Care Clinic from its current leased space at 172 State Street to 697 Madison Avenue, both located in Madison, Boone County; capital expenditure less than $750,000.
November 1, 2017 – RSCR West Virginia, Inc., Nutter Fort, Harrison County, CON File #17-1-1204-X, for the relocation of RSCR WV’s office in Harrison County from 1618 Buckhannon Pike, Nutter Fort to 220 West Main Street, 2nd Floor, Clarksburg, both located in Harrison County; no capital expenditure.
EXEMPTION APPLICATIONS APPROVED
November 1, 2017 – WomenCare, Inc., db/a FamilyCare Health Centers, Scott Depot, Putnam County, CON File #17-3-11192-X, for the addition of a school-based health center to serve students and members of the community at West Virginia State University.
November 1, 2017 – Mountaineer Mental Health, LLC, Springfield, Hampshire County, CON File #17-8-11201-X, for the provision of behavioral health services at 205 W. Birch Lane, Romney, Hampshire County.
Further information may be obtained on any of the above-referenced projects by contacting Barbara Skeen, Director, Certificate of Need Division.
NOTICE OF PUBLIC HEARING
Pursuant to West Virginia Code §11-6-11, the Board of Public Works will hold a public hearing Thursday, November 16, 2017 at 2:00 p.m. in the Governor’s Cabinet and Conference Room, Building 1, Suite 10 of the State Capitol Complex. The main purpose of the hearing is to provide an opportunity for public utilities to comment concerning the Notices of Tentative Assessed Values for tax year 2018 that were distributed by the State Tax Department on September 12, 2017.
If you have any questions concerning this hearing, please contact Maureen Lewis at the Secretary of State’s office at (304) 558-6000. You may also email her at email@example.com. Thank you. |
2030 vision of NEW TAIPEI CITY
NEW TAIPEI CITY GOVERNMENT
2021 Sep 23rd
Contents
Strength
Blueprint
2030 Vision
Importance of New Taipei city
- Sea and land transportation hub, convenient transportation, vast hinterland
- Diversified industries, with young and high-quality human resources
- The largest industrial and commercial city, to build a smart manufacturing town
ICT, Metal & Machinery is 20% of Taiwan
In 2020, the total value of New Taipei City is **5.2246 Trillion**, ratio of each industries as below.
- **Primary Sector**, 3.519 Billion, 0.07%
- **Secondary Sector**, 2.02 Trillion, 38.83%
- Manufacturing 79.88%; Construct 20.11%
- **Tertiary sector**, 3.19 Trillion, 63.00%
- Wholesome and Retail 67.98%; Real Estates 8.67%; Transportation and warehousing 4.31%
3W&2UPs For New Taipei City
Well-developed Community
- Local Economic
- New Commerce
Youth Innovation
Well-living City
- Zero Carbon
- Well Medicare
Quality of life Upgrades
Value of Manufacturing Upgrades
International Linkage
Well-transformed Industries
- Smart City
- Upgraded manufacturing
Use Smart Tech and Business as heart and vein to connect Smart manufacturing, Fintech, 5G, Green Energy and Smart electric car to build a High value and well-living City.
AI
Baogao smart space in Xindian
Zhohua AI space in Tucheng
Smart manufacturing
Industrial District in Linkou
Industrial District in Taipei port
Second Industrial District in Ruifang
5G
Green Energy
Smart electric car
Fintech
Fintech & Knowledge Space in Xinzhuang
Issues for Post-pandemic is not just about recovery, but adoption for new economic
Well-living City
- Zero carbon emission
Goal of 2050 Zero Carbon
- Smart Medicare
Biotech cluster in Xizhi
High level medical device Cluster in Zhonghe
Well-transformed Industries
- Digital transformation
Management of digital supply chain, smart production, Unmanned factory
Well-developed Community
- Retail digitalized
O2O New retail.
- New business model
Use Digital platform to attach 0-Touch Economy
In 2005, carbon emission in New Taipei City was 19.11 million mt.
In 2030 vision, the goal is 30% reduction of carbon emission (13.37 million mt)
In 2050, the goal is 100% reduction of carbon emission
**01 Zero Emission demonstrate**
- Make Bali a Net Zero Carbon Demonstration Zone
- Sanchong 2nd Administrative Center achieves carbon neutrality
- Input zero-carbon design in Urban renewal or large-scale development zones.
**02 Green Energy**
- Counseling the energy transition of enterprises
- Accelerate public-private partnerships to set up renewable energy
- Planning for fossil fuels to exit or switch to zero-carbon fuels
- Introduce building smart energy management system
- Counseling to improve the efficiency of power equipment
**03 Circular Economy**
Change the linear and one-way model development of "mining-manufacturing-consumption-abandonment" to increase resource recovery rate
**04 Smart Transportation**
- Promote the electrification of transportation equipment
- Smart driving for public transportation
- Import smart traffic control system
R-Energy enterprise corporate with government
- In New Taipei City, Solar energy industry created a total of 77.88MW, which is equivalent to the carbon reduction of 80 Daan Forest Parks.
- In 2030, the cumulative capacity of solar energy will reach 140MW.
Smart transportation in New Taipei
- Electrify the city's buses. There are currently 6 routes and a total of 69 electric buses are in operation.
- In the future, the MRT stations in New Taipei City is 206 in total, a length of 235 kilometers. By 2030, the proportion of public transportation will reach 50%.
Enterprise Response to energy saving
Zero carbon emission
Energy-saving subsidy for epidemic prevention and relief for businesses
- 89 owners in New Taipei city install PVC curtains and circulating fans
- Epidemic prevention, heat insulation and energy saving
No. 1 in the power saving rating of 7 competition
- Official: 2015, 2016, 2017, 2019, 2021
- Private: 2015, 2017, 2018
Sport
- Sports center 2.0
- 2021 New Taipei esports event
- Sports exhibition in New Taipei City
Long-term care
- Elderly sports program
- Elderly health community station
- Long-term care combination program
- Care center in Sanxia and Linkou
Well Medicare
Digital health
- Health program in New Taipei
Smart medical
- Medical care resources vertical integration plan
- Medical service improvement plan in remote areas
Recovery Program
eSports promotion and talents
- Cohost Asia Esports Championship, almost 4 million views
- 2021 the national games New Taipei City included eSport games, First in the country
Well Medicare
Sports exhibition in New Taipei City
- Technology Sports Industry Trend Forum is expected to be host in Oct, with 13 sports technology.
- Focus on "virtual sports for health", "smart textiles to drive economy", and "elderly to rejuvenate active life".
Medical service improvement plan in remote areas
- In 2021, telemedicine was input at Pingxi, Shuangxi, Sanzhi and Shimen.
- 13 more remote villages will be included in telemedicine care before 2022.
- Consultations had provided 944 times from Jan to Aug, serving 11,261 person-times.
Care center in Linkou
- The first comprehensive long-term care institution in Taiwan.
- The total floor area of the building is 905 square meters, and 26 beds are provided for the disabled, which can accommodate 18 people with dementia and 60 people in day care.
- Through the “One-stop Single Window Platform for Merchants” service, with the assistance of inter-bureaus, the building license was obtained in 3 months.
Build Smart City
Building Smart industry on ICT foundation
Smart Logistics (Bali)
With the advantage of Taipei Port to develop an international cold chain logistics center
Fintech (Panqiao, Xinzhuang)
Along with the development of the MRT network and industrial parks, build a fintech center
Smart electric car (Xindian)
Connect with local companies such as Foxtron and Gigabyte, and combine the resources of Xindian Baogao Park to create a smart electric car industry cluster
Biotechnology Information Industry (Xizhi, Ruifang)
precision medical and health wearable devices in combination with the advantages of ICT, biotech and medical industries
High medical materials industry (Zhonghe)
Taking Huibao Industrial Park as the hinterland and combining the R&D energy of Shuanghe Hospital to create a high-end medical material park
Stage I 4.1 hm²
- Introduction of smart technology industry: smart electric vehicles, digital health, AI, information communications and cloud computing related industries.
- Demonstration of smart technology applications through experimental fields: setting up experimental fields, testing centers, and R&D centers.
- Establish an international sister park for the 5G smart technology industry.
Stage II 4.8 hm²
Integrate the reporting and compilation of the Stage I of the park: It is estimated that the compilation will be completed in 2023 (with a total area of 8.9 hm²), which will promote the clustering of new stores and create multiplier benefits for advantageous industries.
Second Industrial District in Ruifang
Expect Effect
- It added 8.06 hm² of industrial land, 50 unit factories, an investment of 5 billion, an output value of 10 billion, and 1,557 jobs.
- Introduce low Pollution smart manufacturing
Schedule
Dec 2021
Report in accordance with industrial innovation regulations and related regulations
Park designation
Soil and water conservation, environmental impact assessment, land use change, etc.
~Jun 2022
Dec 2022
~Sep 2023
Land acquisition, construction start, etc.
Park development
Launch in Dec 2025
Completion of the project and investment and operation
Strive for Foresight 2.0
Sewage treatment plant
Overall vision of the park
Standard workshop
Build Fintech Park
Connect Xinzhuang, Wugu, Taishan & New Taipei Industrial Park
About 36,000 business owners' transformation and cross-domain cooperation
Simulation diagram, not the actual situation in the future
Combining the resources of industry, academia, and research to promote industrial upgrading and transformation
- **Smart manufacturing (with Linkou and Danshui as the core)**
- Actively develop Linkou and Danshui Industrial Parks as high-tech and green energy industrial centers
- **Innovation and transformation of traditional industries (with Wugu, Taishan, Sanchong, and Luzhou as the core)**
- Rectify Wugu Garbage Mountain, and promote the development of industrial settlements in Lunan, Lubei and Taishan Fengjiang
- **Industrial upgrading and smart manufacturing (with Tucheng and Shulin as the core)**
- Planning the Shulin Danyuan area as a hinterland for industrial development to promote regional industrial upgrading
Recovery Program
3D Industrial Zone 2.0
- Cooperate with planned urban development - "Adjust the scope of application"
- Implement corporate social responsibility - "Give back to the industry space or pay vouchers"
- Strengthen the implementation of investment - "Margin and liquidated damages system"
Encourage companies to set up operating headquarters to drive new investment
- Passed 50 applications
- The applied land area is up to 16.96 hectares
- Update and increase the total floor area of 147,600 square meters
- The overall investment amount is 40.404 billion yuan
- It is expected to provide more than 18,869 job opportunities
- Created an output value of about 115.64 billion yuan
Industrial District in Linkou
- area: 67.6 hectares
- Introduce smart factory to strengthen the competitive industries
- industries: New diversified industries such as "ICT, metal machinery industry", "biomedical industry and green energy industry" and "cultural and creative industries" enter
Combining emerging technologies, connecting e-commerce, strengthening local enterprises to move towards new retail, and supply chain towards internationalization.
**Local characteristic industry**
- Revitalization of traditional industries
- Local characteristics
**Electronic business platform**
- Platform economy
- Zero-touch economy
- Data economy
- Marketing Technology
**New Commerce**
- Digital transformation of B2B and B2C models
- O2O model of new retail
Transform the digital supply chain
O2O new retail shopping trends
New retail economy after the epidemic
- Assisted Taishan, Linkou, Sanxia, Xizhi Xiufeng and other markets to establish LINE platform, with a turnover of more than 1.62 million in 4 months.
- Expand the application of digital promotion coupons and promote the establishment of mobile payment platforms by micro-merchants.
Local tourism development
- Promote tourism brands such as the Qingshan Sea Line and the Danlan Ancient Road to attract tourists.
- The creation of indexable industrial relics and settlement spaces will promote the development of local tourism and the return of youth to their hometowns to achieve a balance between urban and rural areas.
Huangshi Market is adjacent to the Linjia Garden, reflecting each other with historical sites. The renovation of the market retains the human touch and adds to the aesthetics of the city. For your experience of the "combination of the old and the new"!
2030 Vision
- Employed population can reach 2.1 million
- Company, factory, firms More than 300,000
- Output value can reach 5.4 trillion
Recovery
- 2022 Ankeng Light Rail
- 2023 Sanying Line
- 2022 Industrial District in Linkou
- 2024 Tamkang Bridge
- 2025 Tambuk Road
- 2025 Wanda-Zhonghe-Shulin Line stage I
- 2026 Baogao Xindian stage I
- 2026 Second Industrial District in Ruifang
- 2027 Fintech & Knowledge Space in Xinzhuang
- 2028 Industrial District in Taipei port
- 2028 Wanda-Zhonghe-Shulin Line stage II
Baogao smart space in Xindian
To New Taipei City 2030 Vision |
Fall 2022 Adult Study: The Early Christians
V. Rev. Nabil Hanna
Dean
St. Nicholas Orthodox Cathedral
Los Angeles, California
Session 7: Worship (Part II) – Prayer, Feasts and Fasts
7 December 2022
Observances in the Old Testament
God both ordained and commanded celebration of various feasts
- Weekly: Sabbath
- Monthly: New Moon
- Annually:
- Passover
- Weeks/Pentecost
- Tabernacles/Succoth
Observances in the New Testament
- Jesus Christ Himself observed these celebrations, including the feasts of
- Tabernacles
- Hanukkah
- Passover
- Pentecost
- Sabbath
New and Old
- Christ abolished neither the Old Testament Law nor its celebrations, but He fulfilled them.
- He took their significance to wholly a new level. He declared that the Kingdom of God had come with power.
- Celebrations and feast days are part of how we fulfill Jesus’ command to go out and declare:
For example, whereas the Passover recalled the last Plague of Egypt, when the firstborn of man and beast died—except that death ‘passed over’ the homes of the Hebrews, which had been signed with the blood of a lamb—and the crossing of the Sea en route to the Promised Land, the Christian Passover (Pascha) observes the believer’s joining Jesus in ‘passing over’ from death to resurrection through baptism and beginning to live the life of the Heavenly Kingdom, the ultimate promised Land, through the Blood of Christ, the ultimate “Lamb of God, Who takes away the sin of the World” (John 1.29)
Reason for Celebration
Though Christians are to consider themselves as not belonging to this world (cf. John 15.19), we are in this world, and we care for the world that God so loved that He gave His only-begotten Son (John 3.16).
Reason for Celebration
Therefore, the Apostle Paul declares,
– “Look carefully then how you walk, not as unwise men but as wise, making the most of [redeeming/sanctifying] the time, because the days are evil.” (Eph. 5.16)
– “Whether you eat or drink or whatever you do, do all things to the glory of God.” (1 Cor. 10.31)
Thus we are called to sanctify activities of this life, so that all of time is sanctified by being ‘punctuated’ with prayer, thanksgiving and glory to God at set points in the day, week and year. In this way, all of life becomes part of a rhythm of worship.
“On the Lord's own day, assemble in common to break bread and offer thanks, but first confess your sins, so that your sacrifice may be pure. However, no one quarreling with his brother may join your meeting until they are reconciled; your sacrifice must not be defiled. For this is that which was spoken by the Lord: In every place and time offer to me a pure sacrifice....” (Chapter 14)
Christians pray at home, in churches and throughout the day, but the ultimate celebration is always that of the Eucharistic assembly, where we give thanks, offer our sacrifice of praise (Hebrews 13.15) and participate in a Holy Communion with Christ and the whole Body of the faithful. The *Teaching of the Twelve Apostles*, from about 90 AD, instructs the believers: (see slide)
The great 20th-century theologian, Fr. Alexander Schmemann summarized:
“The Church as life and grace is realized through her worship. The Greek word for worship - leiturgia - means more than common prayer: it means corporate action, in
which everyone takes an active part, is a participant and not only an 'attendant.' The nature of this action is both corporate and personal. It is corporate because through the unity and faith of its participants it realizes and fulfills the reality of the Church, i.e. the presence of Christ among those who believe in Him. It is personal because this reality is every time conveyed to me, given me for my personal edification, for my own growth in grace. Thus in worship I am both an active 'builder' of the Church - and to be this is my Christian duty - and I am also its 'beneficiary' - for the whole of the Church's treasure is offered to me, is a Divine gift to me.” (Liturgy and Life, p. 23)
Sanctification of Time
- "Continue steadfastly in prayer...making the most of [redeeming or sanctifying] the time." (Col. 4.2-5)
- "Thy Kingdom come; Thy will be done, on earth as it is in Heaven." (Mt. 6.10)
Sanctification of Time
“Pray without ceasing.” (1 Thess. 5.17)
– Three times a day (bare minimum!). Dan. 6.10; Ps. 55.17.
– “Seven times a day I praise Thee for thy righteous ordinances.” (Ps. 119.164)
– Specific hours of prayer. Acts 3.1; 10.30; Ps. 119.62.
Sanctification of Time
- All of time is sanctified by being punctuated with prayer, thanksgiving and glory to God.
- All of life thus becomes part of a rhythm of worship.
- "Whether you eat or drink or whatever you do, do all things to the glory of God." (1 Cor. 10.31)
- "I appeal to you...present your bodies as a living sacrifice, holy and pleasing to God, which is your rational (logikos) worship." (Rom. 12.1)
II. Cycles of Orthodox Worship and Their Corresponding Meditations
A. The Daily Cycle
1. Vespers/Lamp Lighting (6 pm)
a. Creation/new day--"evening and morning": Ps. 104; Gen. 1
b. Evening sacrifice: Ps. 141; Ex. 30.8
c. Removal of Jesus' Body from the Cross: Mk 15.42-47; Lk. 23.54
2. Compline/After Supper (9 pm)
a. "God is with us": Is. 8.8, 10
b. Christ is with His disciples in the Church: Jn.
3. Midnight/Cockcrow (12 midnight)
a. Peter's denial of Jesus: Mk. 14.72.
b. "The Bridegroom cometh" -- watchfulness: Mt. 25.6; Mt. 24.45-51
c. Jesus prays at Gethsemane -- "watch, and pray": Mt. 26.41
4. Matins/First Hour (6 am)
d. Resurrection -- Christ is the True Light: Mk. 16.2; Jn. 20.1
e. Thanks for the new day, for God's raising us up.
5. Third Hour (9 am)
a. Christ condemned and crucified: Mk. 15.25
b. Descent of the Holy Spirit: Acts 2.15
6. Sixth Hour (12 noon): Crucifixion of Christ and darkness over all the earth: Mk. 15.33; Mt. 27.45
7. Ninth Hour (3 pm)
a. The repentance of the thief and Jesus' promise of paradise: Lk. 23.43
b. Death of Jesus according to the flesh: Mk. 15.34; Mt. 27.46
B. The Weekly Cycle
1. Sunday: Resurrection, "Day of the Lord," new creation, the eighth day
2. Monday: angels (incorporeal powers)
3. Tuesday: John the Baptist (Forerunner) and all the
prophets
4. Wednesday: the betrayal of Jesus and the precious Cross (fast day)
5. Thursday: Apostles (and Nicholas of Myra); institution of the Lord's Supper
6. Friday: Crucifixion of Christ and the precious Cross (fast day)
7. Saturday: Sabbath/completion of creation; descent of Christ to hades; all saints and the departed
C. The Oktoechos Cycle
D. The Eothina Cycle - Mt. 28:16-20, Mk. 16:1-8, Mk. 16:9-20, Lk. 24:1-12, Lk. 24:12-35, Lk. 24:36-53, Jn. 20:1-10, Jn. 20:11-18, Jn. 20:19-31, Jn. 21:1-14, Jn. 21:15-25
E. The Annual Cycle of fixed feasts and fasts
F. The Paschal Cycle of moveable feasts and fasts (dependent on date of Pascha)
H. Feasts
1. Pascha - The Feast of Feasts - The Resurrection of the Lord Jesus Christ -
Mt. 28:1-15, Mk. 16:1-14, Lk. 24:1-11, Jn. 20:1-23
2. The Twelve Great Feasts
a. The Nativity of the Theotokos - September 8
b. The Exaltation of the Holy Cross - September 14
c. The Entrance of the Theotokos to the Temple - November 21
d. The Nativity of the Lord Jesus Christ - December 25 - Mt. 1:18-2:23, Lk. 1:26-2:2
e. Epiphany (Theophany) - January 6 - Mt. 3:13-17, Mk. 1:9-11, Lk. 3:21-22, Jn. 1:29-34
f. The Meeting of the Lord, The Presentation of Christ in the Temple - February 2 - Lk. 2:22-40
g. The Annunciation - March 25 - Lk. 1:26-38
h. Palm Sunday, The Triumphal Entrance of the Lord into Jerusalem The Sunday before Pascha - Mt. 21:1-16, Mk. 11:1-10, Lk. 19:28-40, Jn. 12:12-19
i. The Ascension - Forty days after Pascha - Mt. 28:16-20, Mk. 16:19, Lk. 24:50-53, Acts 1:1-11
j. Pentecost - Fifty days after Pascha - Acts 2:1-42
k. The Transfiguration of the Lord Jesus Christ - August 6 - Mt. 17:1-8, Mk. 9:2-8, Lk. 9:28-36
l. The Falling Asleep of the Theotokos (Dormition; not Assumption) - August 15
I. Preparation/Pre-feast --> Feast --> Post-feast
Feasts Established on Special Occasions
We do not act like mourners during these days. Rather, we put down the appetites of our bodies in order to refresh ourselves with spiritual food. In this way we gain strength to conquer our enemies (as, for example, Judith did when she fasted and prayed before killing Holofernes and overcoming the enemies of Israel). When the whole nation of Israel was about to perish, blessed Esther defeated the tyrant's anger simply by fasting and praying to God. By faith she changed the ruin of her people into safety (Esther 4:16)! Those days are feast days for Israel (Esther 9:20—28); they used to call a feast when an enemy was slain or a conspiracy against the people was broken up, and Israel was delivered. That is why Moses established the Feast of the Passover — because Pharaoh was killed, and the people were delivered from bondage.
So then, especially when tyrants were slain, temporal feasts and holidays were established in Judea. Now, however, the devil, that tyrant against the whole world, is slain. Therefore, our Feast does not relate only to time, but to eternity. It is a heavenly Feast! We do not announce it as a
shadow or a picture or a type, but as the real thing.
*St. Athanasius the Great of Alexandria, Letter IV, 332 AD*
Judith 13:8.
Judith 9.
Fasting
"And when you fast, do not look dismal, like the hypocrites, for they disfigure their faces that their fasting may be seen by men. Truly, I say to you, they have received their reward. But when you fast, anoint your head and wash your face, that your fasting may not be seen by men but by your Father who is in secret; and your Father who sees in secret will reward you. Matthew 6:16-18
Now the path of life is this -- first, thou shalt love the God who made thee, thy neighbour as thyself, and all things that thou wouldest not should be done unto thee, do not thou unto another. And the doctrine of these maxims is as follows. Bless them that curse you, and pray for your enemies. Fast on behalf of those that persecute you; for what thank is there if ye love them that love you? Do not even the Gentiles do the same? But do ye love them that hate you, and ye will not have an enemy. Didache 1.2-3
G. Fasts
1. Christmas (Advent) Fast - November 15 - December 24
2. Great Lent and Holy Week (55 days all together, inc. preparation)
3. Holy Apostles Fast - Monday, 9th day after Pentecost - June 28
4. Theotokos Fast - August 1-14
5. Day before Epiphany - January 5
6. Exaltation of the Holy Cross - September 14
7. Beheading of St. John the Baptist - August 29
8. Every Wednesday and Friday except:
a. The week following Pascha
b. The 12 days of Christmas: December 25 - January 4
c. The week following Pentecost
d. The third week before Great Lent (after Publican and Pharisee)
Fasting
- And when he had entered the house, his disciples asked him privately, "Why could we not cast it out?" And he said to them, "This kind cannot be driven out by anything but prayer and fasting." (Mark 9:28-29)
Fasting
While they were worshiping the Lord and fasting, the Holy Spirit said, "Set apart for me Barnabas and Saul for the work to which I have called them." Then after fasting and praying they laid their hands on them and sent them off. (Acts 13.2-3)
Fasting
- But as for your fasts, let them not be with the hypocrites [i.e., Jews], for they fast on the second [Monday] and fifth [Thursday] days of the week, but do ye fast on the fourth [Wednesday] and sixth [Friday] days. (Didache 8.1)
Now the path of life is this -- first, thou shalt love the God who made thee, thy neighbour as thyself, and all things that thou wouldest not should be done unto thee, do not thou unto another. And the doctrine of these maxims is as follows. Bless them that curse you, and pray for your enemies. Fast on behalf of those that persecute you; for what thank is there if ye love them that love you? Do not even the Gentiles do the same? But do ye love them that hate you, and ye will not have an enemy. Didache 1.2-3
G. Fasts
1. Christmas (Advent) Fast - November 15 - December 24
2. Great Lent and Holy Week (55 days all together, inc. preparation)
3. Holy Apostles Fast - Monday, 9th day after Pentecost - June 28
4. Theotokos Fast - August 1-14
5. Day before Epiphany - January 5
6. Exaltation of the Holy Cross - September 14
7. Beheading of St. John the Baptist - August 29
8. Every Wednesday and Friday except:
a. The week following Pascha
b. The 12 days of Christmas: December 25 - January 4
c. The week following Pentecost
d. The third week before Great Lent (after Publican and Pharisee)
- **The Sign of the Cross**
- Galatians 6:17: Following a discourse on the Cross, St. Paul says, "Henceforth let no man trouble me; for I bear on my body the marks of Jesus."
- Mark 8:34: "If any one would come after me, let him deny himself and take up his cross and follow me."
Standing
– Psalm 122:1-2: "I was glad when they said to me, 'Let us go to the house of the Lord!' Our feet have been standing within your gates, O Jerusalem."
– We have been redeemed by Christ and given back our true human stature, risen from the death of sin.
- **Prostrations or kneeling**
- Revelation 4: St. John the Evangelist was given a vision in which he saw Christ in all His glory seated on a throne, surrounded by 24 elders and four creatures who constantly praised Him. "And whenever the living creatures give glory and honor and thanks to him who is seated on the throne, who lives for ever and ever, the twenty-four elders fall down before him who is seated on the throne and worship him who lives for ever and ever."
- Used for both adoration of God and repentance, like the Publican of Luke 18: 9-14.
- Sitting is limited to the teaching parts of the service (Epistle, sermon, readings from the Old Testament prophecies).
- **Incense**
- Psalm 141:2: "Let my prayer arise in thy sight as incense, and the lifting up of my hands as the evening sacrifice."
- From Vespers: "Incense we offer unto thee, O Christ our God, as a savour of spiritual sweetness, which do thou receive upon thy most heavenly altar and send down upon us in return the grace of thine all-holy Spirit."
- **Icons**
- John 1:14: "And the Word became flesh and dwelt among us, full of grace and truth; we have beheld his glory, glory as of the only Son from the Father."
- Colossians 1:15: "He (Jesus) is the image (icon) of the invisible God..."
- **Candles and Oil lamps**
- John 12:46: "I have come as light into the world, that whoever believes in me may not remain in darkness."
- Mt. 5:14-16: "You are the light of the world. A city set on a hill cannot be hid. Nor do men light a lamp and put it under a bushel, but on a stand, and it gives light to all in the house. Let your light so shine before men, that they may see your good works and give glory to your Father who is in heaven."
Voices
- Psalm 5: 1-3: "Give ear to my words, O Lord, give heed to my groaning. Hearken to the sound of my cry, my King and my God, for to thee do I pray. O Lord, in the morning thou dost hear my voice; in the morning I prepare a sacrifice for thee, and watch."
- Psalm 7:17: "I will give to the Lord the thanks due to his righteousness, and I will sing praise to the name of the Lord, the Most High."
The most perfect instrument for worshipping God is the human voice.
"Alleluia" means "God is here, praise Him!" This expression is used throughout the liturgical services.
– Psalm 96:1-2: "O sing to the Lord a new song; sing to the Lord, all the earth! Sing to the Lord, bless his name; tell of his salvation from day to day."
– Alleluia
■ Rev. 19:1-6: "'Alleluia! Salvation and glory and power belong to our God....' And the 24 elders and the 4 living creatures fell down and worshiped God who is seated on the throne, saying, 'Amen. Alleluia! ... Alleluia! For the Lord our God the Almighty reigns.'"
The most perfect instrument for worshipping God is the human voice.
"Alleluia" means "God is here, praise Him!" This expression is used throughout the liturgical services.
– Amen
- Psalm 106:48: "Blessed be the Lord, the God of Israel, from everlasting to everlasting! And let all the people say 'Amen!' Praise the Lord."
- Neh. 8:6: "And Ezra blessed the Lord, the great God; and all the people answered, 'Amen, Amen,' lifting up their hands." |
Saint Thomas the Apostle Parish and School
TWENTY-SECOND SUNDAY IN ORDINARY TIME AUGUST 28, 2022
PARISH MISSION STATEMENT
“To make disciples, as we know, love and serve God and one another.”
Pastor:
Rev. Jerome A. Johnson
Parochial Vicars
Rev. Paulus P. Marandi, CMF
Rev. John M. Rozembajgier, JCL
Deacons:
Robert Bonfante, Sr.
Patrick W. Hearty
Scott D. Titmas, Sr.
Joseph C. Tobin
School Principal:
Annette Pioppo
School Vice Principal:
Diane Zarate
PREP Director:
Ms. Debbie Yesis
Director Sacred Music/Liturgy:
Mr. Justin Connors
Celebration of Mass
Saturday Vigil: 4:00pm
Sunday: 8:00am, 10:00am & 12:00Noon
Weekday:
Monday - Friday: 8:00am & 12:15pm*
*Mondays: Celebrated in church with Miraculous Medal Novena.
Parish Office: Tel: 732.251.4000
Fax: 732.251.4946
Website: www.sainthomasob.com
PEACE & WELCOME
Whatever your status in the Church, whatever your family/marital situation, whatever your religious affiliation, whatever your personal history, age, background, race or color, sexual orientation, you are invited, welcomed, accepted, loved and respected here in the Catholic Community of Saint Thomas the Apostle!
Welcome to the Parish Family of St. Thomas!
If you are new to the community, Welcome! We are grateful to the Lord for your presence with us, and look forward to including you in all areas of parish life. Please take a moment to stop by the Parish Office and register with us. After Mass, please introduce yourself to Father Jay or Father Paulus, or Father John. Registering and using your envelopes makes it easier for us to provide documentation, such as a certificate for sponsoring a child for Baptism or Confirmation or to arrange for a wedding.
So please register... and Welcome!
Parish Office: One St. Thomas Plaza, Old Bridge, NJ 08857
Tel: 732.251.4000 Fax: 732.251.4946
Office Hours: Monday-Friday 9:00am-4:00pm
Saturday-Sunday 10:30am-1:30pm
Tuesday and Thursday 9:00am - 7:00pm
(Lunch 12:30pm-1:30pm)
School Tel: 732.251.4812
PREP Tel: 732.251.1660
Contact Information:
Website: www.saintthomasob.com
www.facebook.com/pages/St-Thomas-the-Apostle-Church-Old-Bridge-NJ
Parish Office Staff
Business Administrator: Ms. Michelle Loney
Parish Secretary: Ms. Lisa Sorrentino
Reception/Bingo Coordinator: Ms. Jenn Bachonski
Bulletin Editor: Ms. Nellie Moran
Sacramental Information
BAPTISMS: (Sundays: 1:30pm, twice a month). The Church calls GODPARENTS, to be practicing Catholics, examples of Christ-centered living today. All Godparents should submit Sponsor letters from their Parish ASAP—but no later than three weeks before the scheduled Baptism. PARENTS must attend a Baptismal Preparation Session. (Registration is required.)
MARRIAGES:
Arrangements must be made at least one year in advance—before any social plans. Either the bride or groom must be a registered member of our parish. Once a marriage questionnaire (available in Pastoral Center) is completed/returned, a Parish Priest or Deacon will then contact the couple.
ANOINTING OF THE SICK:
In case of dangerous illness or accident, phone the Pastoral Center. A communal celebration of the Sacrament is held each year in the Spring.
PENANCE: Individual Confessions Saturdays, 12:30pm in the church.
HOMEBOUND PARISHIONERS: Parishioners desiring the Sacraments, please contact Pastoral Center.
DECEASED + LOVED ONES
Rosemary Berlew, Dorlores LaTorraca, Colleen Cran-Voorhees, Michael Turso, Mary Wojciechowski, Anna Fuzzi, Contance Aro, William Keller,
REMEMBERING LOVED ONES...
Sanctuary Candle/Mary Candle, (lit for one week in church/chapel, available during daytime in Pastoral Center).
Wall of Remembrance: Honor your Loved ones with a candle that burns for one year and has a plaque under the candle in the church.
PREP REGISTRATION:
If you have not yet registered, please register ASAP for classes. You can register online: www.saintthomasob.com. You can also stop by the Pastoral Center or the PREP Office for a registration form.
MARK YOUR CALENDARS:
Catechist In-Service for all catechist and adult aides, including Special Needs Program:
*Wednesday, September 7 at 6:30pm, Parish Room (Pastoral Center)*
PARENTS - Classes begin:
Monday: September 12 (4:30 – 5:30pm)
Tuesday: September 13 (4:15 – 5:45pm)
Thurs.: September 15 (6:00 - 7:30pm)
URGENT: WE NEED YOU!!
Serve as a Catechist or Catechist Aide -- Why?
The best way to learn is to teach.
Your own faith will come alive.
You become an active participant in one of the essential responsibilities of a Church community.
You assist in bringing Christ to others.
You practice stewardship.
You show your family that you value the faith.
You become a role model.
Being a Catechist brings joy.
You make a difference in the lives of our young people!
A Catechist helps young people come to know Christ and the riches of our faith by teaching PREP classes (25 x yearly).
Aides are needed to assist our Catechists on:
• Mondays, for our Special Needs program to provide one to one assistance for our students. Classes meet on Mondays: 4:30pm - 5:30pm.
• Tuesday afternoons from 4:15pm - 5:45pm
• Thursday evenings from 6:00pm - 7:30pm
Please call the PREP OFFICE if you are interested - 732.251.1660.
H.S. STUDENTS CONSIDER:
There is a great way to be of service here at St. Thomas. PREP enables you to assist our Catechists in sharing our faith with younger students. Volunteering in PREP will help you with your community service requirements for high school. Remember by your witness, experience, talents and service, you can positively change the lives of others! It’s time to “Pay it Forward!” Info: 732.251.1660.
40TH ANNIVERSARY OF THE DIOCESE OF METUCHEN
September 24, 2022
Please join the diocesan pilgrimage to the Basilica of the National Shrine of the Immaculate Conception in Washington, DC with Most Rev. James F. Checchio, JCD, MBA, Bishop of Metuchen on Saturday, September 24, 2022 to celebrate the closing event of the 40th Anniversary of the Diocese of Metuchen. Bishop Checchio will also welcome Archbishop Christophe Pierre, Apostolic Nuncio, to the United States, the personal and official representative of Pope Francis, to join us on this prayerful day. The following parishes are sponsoring bus trips and you are invited to participate and reach out directly to them for specific information regarding price, departure/arrival time.
St. Bartholomew Church - East Brunswick
Contact: Barbara Bunag 732.257.7722
Email: email@example.com
Cathedral of St. Francis of Assisi - Metuchen
Contact: Kara 732.548.0100
Email: firstname.lastname@example.org
Holy Family Parish - New Brunswick
Contact: Jennifer Herrera 732.545.1681 ext. 1001
Email: email@example.com
For a complete list of all buses in all four counties, visit: www.diometuchen.org/pilgrimage-in-honor-of-the-40th-Anniversary.
PARISH SUPPORT
Here at STA we encourage you to be Christian Stewards, using everything God has given us—time, talent, treasure—to serve Him gratefully.
You may mail in your weekly donation to:
St. Thomas Church, One St. Thomas Plaza,
Old Bridge, NJ 08857
Online Giving... Visit our website to get started: www.saintthomasob.com.
Collection: August 20/21 . . . $11,457.00
Assumption: $1,346.00
SEPTEMBER 1 - OCTOBER 4
Pope Francis established September 1st to October 4th as the World Day of Prayer for the Care of Creation, encouraging the Catholic community around the world to pray for our common home. He calls us all to celebrate and reaffirm our personal vocation to be stewards of creation, to thank God for the wonderful handiwork he has entrusted to our care, and to implore his help for the protection of creation, as well as his pardon for the sins committed against the world in which we live.
“Listen to the voice of creation” is the theme and invitation of this year’s Season of Creation. In his message for the World Day of Prayer 2022, Pope Francis calls us to use the season to “cultivate our ecological conversion” and to pray together in “the great cathedral of creation”. He warns that we are reaching “a breaking point” and must act decisively so that “we and future generations can continue to rejoice in creation’s sweet song of life and hope.”
You Cry out with Sorrow
God you made our Mother Earth,
who cries out with sorrow.
May the wonder of your creation be revealed to us; water that gives life, not destruction, crops sown, not destroyed, pure air to breathe, not polluted.
Renew in us a respect for the magic of a tiny seed, a flowing waterfall, a hovering skylark.
Restore us to closeness with you; call us to change for you, and may your spirit cry out within us always.
-Mary Clark/CAFOD
Visit: www.cafod.org.uk-news/celebrate-world-day-of-prayer for more ways to pray and action for World Day of Prayer for the Care of Creation.
RITE OF CHRISTIAN INITIATION
In our RCIA sessions, we welcome all who desire to learn more about the Catholic faith. If you are interested in learning more about the Catholic faith or know someone who is, please have them contact me. For some, this may be an opportunity for a “refresher course” in the Faith. As director of RCIA, I am thankful for the dedicated parishioners who assist me. Our classes will be weekly in the Fall on Wednesday evenings at 7:30pm. Please invite anyone you know who may be interested in the Catholic Church. Registration is required. - Deacon Pat Hearty -732.251.4000 ext. 8218.
SENIORS MEETING
September 12, 2022 at 1:00pm
Parish Room
Coffee and cake only!
DO YOU LIKE TO SING?
WE NEED YOU IN OUR CHOIR!!
First rehearsal Thursday: September 8th - 7:30pm in the Church - won’t you join us?
St. Thomas the Apostle Flea Market
Saturday, September 17th
Rain date - Saturday, September 24th
8:00am – 2:00pm
St. Thomas The Apostle Parking Lot
333 Rt.18 S.
Old Bridge, NJ 08857
Reserve your space!
1 spot -$25
2 spots -$40
Table rentals available if needed – $5
Get great deals on household goods, antiques, collectibles, toys, furniture, crafts, food & many more!
For More Information or to Reserve Your Spot, Please Call or Email Vanessa
908-208-8598
firstname.lastname@example.org
BEREAVEMENT SUPPORT PROGRAM
Beginning Wednesday, September 7, 2022 at 6:00pm, St. Thomas the Apostle will be offering six consecutive group sessions. The Bereavement group is based on Ignatian spirituality and is a grief and faith sharing program that brings those suffering the loss of a spouse together with others in the community who have experienced the same kind of loss. **This group is for those who have lost a spouse only.** The six week bereavement program is offered twice a year. Upcoming programs will be advertised on the website and in the bulletin. If you have lost a spouse and need a place to share your grief and to experience the love of Jesus in your life, the Bereavement group is for you. Please call Deacon Pat: 732.251.4000, ext. 8218 for more information.
**Registration is required. No walk-ins allowed.**
PLEASE PRAY FOR THE SICK
Anonymously Recommended, Beatrice, Bob Andrews, Ronald Atlak, Sr. Enola Barlik, Rita Bator, Barbara and George Bollhardt, Gloria Bonagard, Barbara Brooks, Craig Michael Butcher, Nicholas Campanella, Ralph Chiano, Louis Coromilas, Edmund Crookhorn, Camella Dacunta, Barbara Davis, Christopher Dee, John D’Mello, Nancy Donoghue, Loretta Doyle, Chet Dudek, Jim Feely, Sharon Ferrari, Flora, Abigail Francy, Joseph Fricano, Brian Gage, Lucinda Gatto, Walter Gladkowski, Johanna Gordon, Charlotte Guarino, Corazon Gutierrez, Matthew Harris, Robert Henrion, Robert John Isbecki, Emelie Jeffries, Vlad Kachur, Thomas Kaufman, Katie, Gwen Kelly, Pearl Kelly, Cathleen Kimber, Albert King, Joseph Lane, Cheryl Layden, Michael Layden, Thomas Layden, Lester Lim, Rosa Lopez, Cedric Magaway, Harold Mann, Patricia Mann, Gabrielle Margett, Mary Daniel Mechikowski, Margett, Margie Marrero, Rafael Marrero, Jr., Rudy Maurer, Wilfredo Medina, III, Brian Menendez, Yanina Cruz Mikos, Paul Montalban, Susan Napier, Jeff Nemeth, Ann Marie Nocera, Ernie Nocera, Olivia, Ralph Perez, Connie Pfiel, Sam Pontieri, Elaine Posluszny, Michael Quinlan, Frank Ranelli, Lucia Rella, Harry Rothlin, Joseph Russo, Jr., Marie Sarma, Eileen Schuck, Donna Semko, Fr. Thomas E. Smith (S.J.), Alice Sokolowsky, John Soporowski, AnnMarie Sorrentino, Nancy Stahley, Eileen Stolte, Irene Sutton, Karen Tortorici, Jacquelyn Tortoriello, Denise Tuite, Sandra Varnis, Mark Vern, Isilio Villa, Adele Weiner, Pati Wert, Andrew Wolf, Nell White, Peter Wyshoff, Mary Yuhas, Candida and Edward Zgobiicki.
*Please pray for all the sick. (Names will remain on our sick list for one month, after which time they will be removed, unless we are notified to the contrary.) The Clergy will be happy to visit parishioners confined to local hospitals. Phone the Pastoral Center: 732.251.4000.*
HEALING MASS
OUR LADY OF PEACE CHURCH
1730 US HIGHWAY 130
NORTH BRUNSWICK, NJ
A Healing Mass with Rev. John Campoli, I.V. Dei will be held at Our Lady of Peace Church, October 18, 2022 at 7:00pm. Please join us for a wonderful Mass and celebration of God’s healing love. Opportunity for individual prayer following the Mass. For further information go to www.hisloveministriescampoli.com.
KNIGHTS OF COLUMBUS
COUNCIL 4815
The Knights of Columbus have been hosting a Rosary from Monday to Thursday at 7:00pm via Zoom. If you would like to participate, please contact Rob Wright at email@example.com or cell phone: 908.510.6328.
COME JOIN US FOR AUTHENTIC GERMAN FOOD AND ENTERTAINMENT!
Saturday, October 1, 2022
5:30 pm
Menu
Bavarian Beer Cheese Dip with Pretzels
Swabian Pickles
Rye & Pumpernickel Breads
German Potato Salad
Dill Cucumber Salad
Potato Pancakes with Apple Sauce & Sour Cream
Spaetzle with Light Butter Sauce
Beer Braised Bratwurst with Bacon, Apple, & Onion Sauerkraut
Sweet and Sour Red Cabbage
German Pork Schnitzel
Roast Chicken
Beef Rouladen
Apple Strudel
We supply beer and refreshments
BYOB!
$25.00 pp
Kids 6 – 12 $10.00
Kids 5 and under Free
Tickets are now on sale after all Weekend Masses
MONTHLY MEMORIAL MASS …
…is offered for specifically-recommended deceased loved ones. The names are inscribed in a Memorial Register located at the rear of the church under a lighted candle. For more information, call the Pastoral Center: 732.251.4000.
**BE A BUDDY or FIELD CREW**
Higgins Field, 260 Higgins Rd, Old Bridge
Just4kixs is looking for responsible teens to be a Buddy to a child with special needs. Just4kixs has been teaching soccer to children with special needs for 15 years. If you are between the ages of 12-19 you can be a buddy and friend to a special child. No soccer experience necessary; all you need is patience. You will receive 15 hours of community service for completing the program.
Our Field Crew is a HUGE part of this program. They are responsible for setting up the field each week. Ages 10 & up can be part of our field crew team. They do not work with a child on the field; simply responsible for set up and clean up. You will receive 20 hours of community service for completing the program. Go to www.just4kixs.org to sign up. Fall season begins Saturday, September 10, 2022 and ends Saturday, November 12, 2022. Playtime is 12:00 noon -1:00pm.
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**MOST HOLY REDEEMER BLOOD DRIVE**
133 Amboy Road, Matawan
NJ Blood Services will be conducting a blood drive at Most Holy Redeemer Parish on Thursday, September 22 at 1:00 - 7:00pm in Desmond Hall.
- Donors must wear a mask or face covering,
- Will have their temperature taken.
- Must be 14 days symptom-free if recovered from COVID-19.
- May NOT donate if they have a diagnostic test or experienced symptoms of COVID-19 in the last 14 days.
- May NOT donate if they are currently on self-quarantine.
Please be aware that we DO NOT test for COVID-19. Contact your health care provider if you want to be tested. Remember to eat, drink, and bring your Donor ID or ID with your name and photo. Blood supply is critically low, PLEASE HELP!
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**DEACONS TABLE SPAGHETTI DINNER**
September 21, 2022
4:30 PM- 6:30 PM
St. Thomas the Apostle Church
333 Highway 18, Old Bridge, NJ
We will be distributing dinners to take home. Come pick up your spaghetti dinner at St. Thomas the Apostle Church. Please RSVP to firstname.lastname@example.org or call parish office (732) 251-4000
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**In God’s Image Support Group...**
the Catholic Faith Sharing Group for gay, lesbian, bisexual and transgender people at Church of the Sacred Heart, So. Plainfield, meets the 2nd Wednesday of every month at 7:00pm. Next meeting is September 14 and will be both in person and online. The group is open to LGBTQ adults, 18 and over, and their families. All are welcome for faith sharing, prayer, conversation and support. Contact Fr. John at 908.756.0633, ext. 125 or contact 908.822.5895 for more information or by emailing sacredhearti-
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**FIRST FRIDAY ADORATION**
First Friday Adoration on the first Friday of each month following the 8:00am Mass, and concluding with the 12:15pm Mass.
Come spend some time with our Lord!
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**LIFE CHOICES RESOURCE CENTER**
Clothing needed for children (up to size 7) Fall/Winter clothes. Contact: Maureen Nigro - 732.591.8914
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**ADVERTISING OPPORTUNITY**
The church would love to run a business card for all parishioner businesses in the weekly bulletin. Large ads and a limited number of Premium digital ads available. Receive a Free full color ad production. Buy a 2 space print ad and receive a Free small rotating digital ad. A 4 space print ad receive a Free large rotating digital ad. Call Doug Shaller at 862.373.0746.
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“Virtues are formed by prayer. Prayer preserves temperance. Prayer suppresses anger. Prayer prevents emotions of pride and envy. Prayer draws into the soul of the Holy Spirit, and raises man to heaven.”
St. Ephrem |
Last Sunday of the Church Year
Growing Roots Dedication of First Gifts
November 20-21, 2021
How can you help?
EVERYONE
• Volunteer at a fundraising event
• Forgo weekly Starbucks/ice cream & pledge amount to campaign (+$624)
• Forgo eating out once a month & pledge amount to campaign (+$1800)
• Contact your employer to see if they have grants or matching funds available
• Change all or a percentage of beneficiary to St. John’s Lutheran School
• Contact local charitable organization (i.e. Kiwanis, Rotary, etc.) for a donation to our campaign
SCHOOL FAMILIES
• Donate back all or a portion of your scholarship
FARMERS
• Donate a part of your grain through Heritage Building with Bounty program
AGE 59.5 & OVER
• Donate money from your retirement accounts
AGE 70.5 & OVER
• Qualified Charitable Distribution from retirement account.
AGE 72 & OVER
• Send your required minimum distribution to St. John’s
ALL PLEDGES TO THE CAMPAIGNED CAN BE DIVIDED & GIFTED OVER 3 YEARS.
Weekend Worship Services
Dale Scheiderer – Organist
“Commitment Dedication of First Gifts”
Three years of fulfillment begin with “First Gifts” where we begin our regular giving to Growing Roots. Throughout these years we will have events and special communications to re-ignite the excitement of the work ahead of us. We will continue to remind and encourage one another to recognize what God is doing in our midst through the ministry and mission of St. John’s Lutheran Church & School.
PRE-SERVICE MUSIC
WELCOME
RINGING OF THE BELLS
HYMN OF INVOCATION “O Worship the King” LSB 804
INVOCATION
CONFESION AND ABSOLUTION - LSB 151
SERVICE OF THE WORD - LSB 152
INTROIT Psalm 39:4-5a, 7-8, 12a; antiphon: 2 Peter 3:13b NIV
We are looking forward to a new heaven and a | new earth,*
the home of | righteousness.
O LORD, make me know my end and what is the measure | of my days;*
let me know how fleeting | I am!
Behold, you have made my days a few | handbreadths,*
and my lifetime is as nothing be- | fore you.
And now, O Lord, for what | do I wait?*
My hope | is in you.
Deliver me from all my trans- | gressions.*
Do not make me the scorn | of the fool!
Hear my prayer, O LORD, and give ear | to my cry;*
hold not your peace | at my tears!
Glory be to the Father and | to the Son* and to the Holy | Spirit; as it was in the be- |
ginning,* is now, and will be forever. | Amen.
We are looking forward to a new heaven and a | new earth,*
the home of | righteousness.
KYRIE LSB 152
THIS IS THE FEAST LSB 155
SALUTATION AND COLLECT OF THE DAY LSB 156
PRAYER OF THE DAY
P: Let us pray. Lord God,
C: You reign, robed in majesty over all that was, is, and will be. You are the Alpha and the Omega, the beginning and the end. As we wait for Your triumphant return, keep us steadfast in the one true faith and lead us to live lives that reflect Your presence so that You may work through us as You save others by snatching them from the fire;
P: through Jesus Christ, Your Son, our Lord, who lives and reigns with You and the Holy Spirit, one God, now and forever.
C: Amen.
OLD TESTAMENT READING: Isaiah 51:4-6
4“Give attention to me, my people, and give ear to me, my nation; for a law will go out from me, and I will set my justice for a light to the peoples. 5My righteousness draws near, my salvation has gone out, and my arms will judge the peoples; the coastlands hope for me, and for my arm they wait. 6Lift up your eyes to the heavens, and look at the earth beneath; for the heavens vanish like smoke, the earth will wear out like a garment, and they who dwell in it will die in like manner; but my salvation will be forever, and my righteousness will never be dismayed.”
A: This is the Word of the Lord.
C: Thanks be to God.
EPISTLE READING: Jude 20-25
20But you, beloved, build yourselves up in your most holy faith; pray in the Holy Spirit; 21keep yourselves in the love of God, waiting for the mercy of our Lord Jesus Christ that leads to eternal life. 22And have mercy on those who doubt; 23save others by snatching them out of the fire; to others show mercy with fear, hating even the garment stained by the flesh. 24Now to him who is able to keep you from stumbling and to present you blameless before the presence of his glory with great joy, 25to the only God, our Savior, through Jesus Christ our Lord, be glory, majesty, dominion, and authority, before all time and now and forever. Amen.
A: This is the Word of the Lord.
C: Thanks be to God.
ALLELUIA AND VERSE
HOLY GOSPEL: Mark 13:24-37
P: The Holy Gospel according to St. Mark, the thirteenth chapter.
C: Glory to You, O Lord.
24[Jesus said:] “In those days, after that tribulation, the sun will be darkened, and the moon will not give its light, 25and the stars will be falling from heaven, and the powers in the heavens will be shaken. 26And then they will see the Son of Man coming in clouds with great power and glory. 27And then he will send out the angels and gather his elect from the four winds, from the ends of the earth to the ends of heaven. 28“From the fig tree learn its lesson: as soon as its branch becomes tender and puts out its leaves, you know that summer is near. 29So also, when you see these things taking place, you know that he is near, at the very gates. 30Truly, I say to you, this generation will not pass away until all these things take place. 31Heaven and earth will pass away, but my words will not pass away. 32“But concerning that day or that hour, no one knows, not even the angels in heaven, nor the Son, but only the Father. 33Be on guard, keep awake. For you do not know when the time will come. 34It is like a man going on a journey, when he leaves home and puts his servants in charge, each with his work, and commands the doorkeeper to stay awake. 35Therefore stay awake—for you do not know when the master of the house will come, in the evening, or at midnight, or when the cock crows, or in the morning— 36lest he come suddenly and find you asleep. 37And what I say to you I say to all: Stay awake.”
P: This is the Gospel of the Lord.
C: Praise to You, O Christ.
SERMON MESSAGE: “Salvation Lasts Forever” - Isaiah 51:4-6
NICENE CREED
I believe in one God, the Father Almighty, maker of heaven and earth and of all things visible and invisible.
And in one Lord Jesus Christ, the only-begotten Son of God, begotten of His Father before all worlds, God of God, Light of Light, very God of very God, begotten, not made, being of one substance with the Father, by whom all things were made; who for us men and for our salvation came down from heaven and was incarnate by the Holy Spirit of the virgin Mary and was made man; and was crucified also for us under Pontius Pilate. He suffered and was buried. And the third day He rose again according to the Scriptures and ascended into heaven and sits at the right hand of the Father. And He will come again with glory to judge both the living and the dead, whose kingdom will have no end.
And I believe in the Holy Spirit, the Lord and giver of life, who proceeds from the Father and the Son, who with the Father and the Son together is worshiped and glorified, who spoke by the prophets. And I believe in one holy Christian and apostolic Church, I acknowledge one Baptism for the remission of sins, and I look for the resurrection of the dead and the life + of the world to come. Amen.
PRAYER OF THE CHURCH
Growing Roots Lifany
P: Heavenly Father, our shared faith in Jesus is the foundation of our Growing Roots campaign. Only through this faith could we embrace this campaign during a pandemic. We are grateful this faith has bore fruit in raising up campaign volunteers and participants.
C: Thank you for focusing us on your gift of faith through the Growing Roots campaign.
P: Father, our hope is in You. We envision both our congregation and school building up more people in the faith due to Growing Roots. We trust that you will allow those who have pledged gifts to fulfill their commitments. It is our hope that you will enable even more members and friends of our church to partner in Growing Roots to further your kingdom.
C: Thank you for helping us with your gift of hope in the Growing Roots campaign.
P: Father, your greatest gift is love. Increase our love for one another through the campaign’s efforts to contact all our members. Make sharing your love with our community the motivation for Growing Roots. Above all, thank you for the love you have showered on us in Jesus.
C: Thank you for lifting us with your gift of love in the Growing Roots campaign. AMEN!
PROCESSION OF DEDICATION OF FIRST GIFTS
“We Praise You, O God” LSB 785
“Lord of All Good” LSB 786
“Take My Life and Let It Be” LSB 783
OFFERINGS OF OUR TIME, TALENTS & TREASURES
“Lord, we are yours. This represents our heart, our attitude, our spirit, and our willingness to recognize and submit to you as our Lord.”
SERVICE OF THE SACRAMENT - LSB 160
PREPARATION FOR HOLY COMMUNION [as found on page 6 of this worship program]
PREFACE LSB 160
SANCTUS LSB 161
PRAYER OF THANKSGIVING LSB 161
THE WORDS OF OUR LORD LSB 162
PROCLAMATION OF CHRIST LSB 162
LORD’S PRAYER LSB 162
Our Father who art in heaven, hallowed be Thy name,
Thy kingdom come, Thy will be done on earth as it is in heaven; give us this day our daily bread;
and forgive us our trespasses as we forgive those who trespass against us; and lead us not into temptation, but deliver us from evil.
For Thine is the kingdom and the power and the glory forever and ever. Amen.
PAX DOMINI LSB 163
AGNUS DEI LSB 163
DISTRIBUTION LSB 164
DISTRIBUTION HYMNS
“O Lord, We Praise Thee” LSB 617
“O God of God, O Light of Light” LSB 810
THANK THE LORD LSB 164
POST-COMMUNION COLLECT LSB 166
BENEDICTION LSB 166
HYMN TO DEPART “Crown Him with Many Crowns” LSB 525
PREPARATION FOR HOLY COMMUNION
Therefore, whoever eats the bread or drinks the cup of the Lord in an unworthy manner will be guilty of sinning against the body and blood of the Lord. A man ought to examine himself before he eats of the bread and drinks of the cup.
For anyone who eats and drinks without recognizing the body of the Lord eats and drinks judgment on himself. 1 Corinthians 11:27-29
The following is a summary of what we believe and teach as Missouri Synod Lutheran Christians. Because we care for you, we ask that you carefully review the following statements:
1. I have been baptized into the name of the one true God: Father, Son and Holy Spirit. Matthew 28:16-20
2. I have been instructed concerning the meaning of Holy Communion, understand the importance of self-examination prior to coming to the Lord’s Supper and have made my confirmation of faith. 1 Corinthians 11:27-29
3. I confess that I am a sinner in need of forgiveness. I am sorry for my sins. 1 John 1:8-9
4. I believe that Jesus Christ, God’s Son, is my Savior from sin, death, and the power of the devil. Romans 3:21-24
5. I believe that the body and blood of Jesus Christ are really present in the bread and wine of Holy Communion, and I desire to receive Christ’s body and blood, given and shed for my forgiveness. 1 Corinthians 11:23-26
6. If possible, so far as it depends on me, I seek to live peaceably with all. Romans 12:17-19
7. By the power of the Holy Spirit, I desire and intend to lead a more Godly and Christ-like life, trusting in God’s promises and obeying His commands. Galatians 5:22-24
If you unreservedly agree with the seven points above, you are invited to come to the Lord’s Supper. If you do not agree with one or more of the seven points, please refrain from participating in Holy Communion lest you sin against the body and blood of the Lord. If you agree with the seven points above but are not a member of St. John’s, we welcome you to the Lord’s Table and invite you to give prayerful consideration to joining our partnership in the Gospel. You are encouraged to speak with a pastor or elder prior to communing regarding any point(s) of disagreement and/or regarding the process of joining St. John’s.
Gluten-Free Communion Wafers: A gluten-free communion wafer option is now available for those who are allergic. They are located in the brass cup in the middle of the communion plate.
Communion Wine: For those who have health related, or other issues with drinking alcohol, please take the purple individual communion cup. It contains all water with one drop of wine.
Church Sanctuary Worship Service Guidelines
The Board of Elders has approved the following guidelines to reopen the sanctuary in response to the governor’s announcement:
- Mask wearing will be optional and will no longer be required, but will still be available for those choosing to use them.
- Gloves will no longer be required for the ushers.
- Every pew will be available for seating.
- The Plexiglass shields will no longer be used.
- Since the cold and flu season is approaching, Pastor Jack and the Elders will again be wearing gloves and masks while giving communion as an extra level of precaution. The Common Cup will not be used at this time, and everyone will be asked to return to their pew until the service is concluded.
- Those wishing to receive communion in their cars may continue to do so.
- Attendance Cards will be placed back into the pews at a later date.
- Contemporary Service will return at a later date.
- The Offering Boxes will still be used until further notice.
- Hand sanitizer will still be available.
Additional Worship Service Information:
- By Radio - You can join our worship service by tuning to WQTT1270 AM and 96.7 FM at 8:00 a.m. airtime.
- Join us in the parking lot by tuning your car radio to 92.1 FM at any of our sanctuary services.
- Join us on Facebook at 11:00 a.m. for our “live streaming” service, or after on Sundays at: https://www.facebook.com/jack.heino
Thanksgiving Week Notes & News
Article Deadline
Please submit articles by no later than Monday, November 22 at noon due to the short work week. Contact Regina Bullerman, Church Secretary, by calling directly at 937-240-3004, dropping them in the black lockbox outside the office doors, mailing to the church office or emailing them to firstname.lastname@example.org, Thank you!
St. John’s Lutheran Church
2021-22 Holiday Worship Service Schedule
Advent Celebration—“Celebrating Christ the King”
Sunday, November 21 from 12:00 pm to 2:00 pm
in the school gym
Meal provided by the CEA (free will offering accepted)
SJS Student Council presents:
“Advent Discovery at GG’s”
Musical Performances by SJS Jaguar Singers (grades 2-4) & SJS Chimes Choir (grades 4-8)
Thanksgiving Eve Service
Wednesday, November 24 at 7:00 pm
(with communion)
Thanksgiving Day Service
Thursday, November 25 at 10:00 am
(with communion)
Presentation of Christmas by St. John’s School Children:
Preschool - Wednesday, December 8
Alt. K/Kindergarten - Thursday, December 9
Grades 1-4 - Wednesday, December 15
Grades 5-8 - Thursday, December 16
(All presentations start at 6:00 pm in the school gym)
Christmas Eve Services
Friday, December 24
Family Service at 7:00 pm
Candlelight Service at 11:00 pm (with communion)
Christmas Day Service
Saturday, December 25 at 10:00 am
(with communion)
**No 6:00 pm weekly worship service**
New Year’s Eve Service
Friday, December 31 at 7:00 pm
(with communion)
New Year’s Day Service
Saturday, January 1, 2022 at 10:00 am
(with communion)
**No 6:00 pm weekly worship service**
Please Join Us - All Are Welcome!
Welcome to St. John’s. Thank you for choosing to worship with us today. We pray that you will encounter Christ, the Living Word, and in a new way experience His mercy and grace today. We ask if you are a visitor, or a worship scholarship participant (SJ School), to please fill out the blue card located in the pew rack in front of you. Then drop the card in the offering box as you leave worship. If you would like to know more about our ministry, please call the church office at 937-644-5540.
The Lutheran Hour is on the radio Sunday mornings at 7:00am on WLW (700 AM). Log on to www.lhm.org for more information and channels. Jim Vandre, LHM Ambassador.
St. John’s Radio Program airs Sunday mornings at 8:00am on local channel WQTT (1270 AM & 98.7 FM).
Altar Flowers: The altar flowers are in thanksgiving and glory to God for the blessing of our wonderful parents, Bill and Nina Nicol, on what would have been their 65th wedding anniversary, and in thanksgiving for their great granddaughter, Quinn, who shares the same birthday November 25th, as Great Grandma Bill Nicol. Cindy and Larry Brake, Connie and Mike Priday, Sandy and Scott Smith
Chancel Flowers: Chancel flowers are given to the Glory of God and in celebration of Megan Bowsher’s 12th birthday today November 21st, from her family.
THE LORD’S WEEK AT ST. JOHN’S NOVEMBER 21-28, 2021
TODAY Christ the King Sunday
11/21 Growing Roots Dedication of First Gifts
9:00 am Sanctuary Worship Service/Communion
10:00 am Adult & Young Adult Bible Study/
Youth & Children Sunday School
10:00 am Youth Catechism/School Modulars
11:00 am Sanctuary Worship Service/Communion &
“Live Streaming”
12:00 pm Advent Celebration—“Celebrating Christ the King”; Performances by SJ School Children
Meal provided & event hosted by SJ CEA
MONDAY School Closed—Thanksgiving Break: 11/22-26
8:00 pm Adult Open Gym Volleyball
TUESDAY 11:30 am Ladies Aid Quilting
7:00 pm All Board’s Meetings/Heritage House
7:00 pm Elder’s Meeting/Cafeteria
WEDNESDAY 7:00 pm Thanksgiving Eve Service/Communion
THURSDAY 10:00 am Thanksgiving Day Service/Communion
FRIDAY 1:00 pm Ladies Aid Quilting
SATURDAY 8:30 am Church Christmas Decorating
6:00 pm Sanctuary Worship Service
SUNDAY 9:00 am Sanctuary Worship Service
11/28 10:00 am Adult & Young Adult Bible Study/
Youth & Children Sunday School
10:00 am Youth Catechism/School Modulars
11:00 am Sanctuary Worship Service & “Live Streaming”
6:00 pm LYF Christmas Party/Youth House
ALL AGES SUNDAY SCHOOL 10:00 - 11:00 am
3 Years-Kindergarten—Church Basement
1st-6th Grades—Meet in the gym together for singing time with Mr. Mark Moran, then break out into school classrooms.
7th & 8th Grade Youth Catechism Class—Mrs. Susie Miller & Mrs. Jayme Allen’s Modular Classrooms.
High School Youth “Cornerstone Discipleship”—Youth House
Women’s Bible Study—Mrs. Melissa Vollrath’s Classroom (below the school loft): Topic - “Chosen”, a study of the Book of Esther.
Adult Bible Study—School Cafeteria: Topic - “God’s Trustees”
If you have questions, please contact Sunday School Superintendent, Lisa Arnold at 937-205-1802 or email@example.com
Weekly Church Attendance
6:00 p.m. Saturday, 9:00 & 11:00 a.m. Sunday
11/13 & 11/14: 262
Weekly Worship Bible Readings
For those of you who would like to study the Word ahead of the next weekends worship services, we are listing here in the N&N the Bible readings that Pastor Jack will be using.
November 27-28, 2021
Old Testament Reading: Jeremiah 33:14-16
Epistle Reading: 1 Thessalonians 3:9-13
Holy Gospel Reading: Luke 21:25-36
As we come forward today with our gifts toward our Growing Roots Campaign, we give thanks to our Redeemer, Creator who has showered us with wonderful opportunities to share our love with others.
Last week your generous gifts to our Concordia Seminary were loaded by our students, delivered and gratefully received by the folks at the Co-Op in Fort Wayne. Upon arrival at the loading dock, we were greeted by a team of campus helpers (including the security guard, and 4th year seminarian, Adam) who quickly unloaded and prepared items for distribution to waiting families. Over $1,200 in gift cards and several hundred pounds of products were delivered.
Thanks be to God for your hearts to serve, to give and to share!
“We bless Thy Holy name, Glad Praises we sing!”
The Columbus Mannerchor Christmas Concert: Founded over 170 years ago by 12 young men, new Americans, the Columbus Mannerchor has become the nation’s longest continually active Germanic singing society and social club. What began as 12 fresh immigrants huddled around 6 candles on a blustery October night in 1848 flourished as an organization where men from all walks of life could come together to raise a glass, and their collective voices to honor the beautiful songs of the old country… and of the new. From that first Tuesday night, and on every Tuesday night since, the Columbus Mannerchor has always striven to live up to their motto:
“Harmony - in song and in life - holds us together”.
The Columbus Mannerchor’s Annual Christmas Concert will be presented Sunday, December 5th at 5:00 pm. St. John’s members Jim Vandre and Roger Nicol are members of this renowned group who returns to the beautifully renovated St. Mary’s Church located in German Village for this special yuletide concert in German. We have arranged motor coach transportation with departure from St. John’s parking lot set tentatively for 2:30 pm. Following the concert, we’ll have dinner together at Valter’s Restaurant in German Village and plan to return home around 9:00 pm. Admission to the concert is free. The cost of transportation is $30 per person, with dinner on your own (Allow $12 to $15).
The Mannerchor Christmas Concert is a long-standing tradition! What better way to prepare your hearts and minds for the coming of the Christ Child! Capacity on the bus is limited, so please make your reservations as soon as possible. Call or email Jeff or Carol Reinhard at 614-560-5085 or firstname.lastname@example.org.
Scioto Ridge Boys Gospel Quartet Concert - Sunday, November 21, 2021: For those of you who have enjoyed the lively gospel sounds of our friends The Scioto Ridge Boys, we are happy to announce they will be performing their 29th Annual Christmas Concert Concert LIVE AND IN PERSON TODAY Sunday, November 21 at 6:30 pm, at Scioto Ridge Methodist Church, 4343 Dublin Road, Hilliard, Ohio. You may recall this talented gospel quartet as friends of St. John’s, performing here on several occasions. The concert will be available for in-person attendance or by viewing the live-streamed event at www.srumc.org/concert. There will be no pre-concert meal this year.
MORE NOTES & NEWS ITEMS
ALTAR FLOWER CALENDAR DATES
November 28 is the only date available for altar flowers for the remainder of this year.
All of the December altar flower dates are filled.
Chancel flowers are available almost every weekend.
Please call Charlotte Blumenschein at (937) 644-4111 to reserve any special dates for flowers in church.
The Flower Committee thanks you for your continued support.
SJS Rewards Rebate Program
Did you know that simply by shopping at Kroger, St. John’s School can earn money. All you have to do is go to the following website and link your Kroger Plus card. This does not take away from your personal rewards or gas points.
Thank you for supporting SJS!
https://www.kroger.com/i/community/community-rewards
Box Tops has switched to a completely digital collection program. This does require you to download the Box Tops app on your smart phone. Once in the app choose St. John’s Lutheran as your school of choice then take a picture from the app of your receipt after grocery trips. If you order groceries online and only receive digital receipts, please download the app and choose St. John’s.
Then forward your email with your digital receipt to email@example.com.
For questions on this process, please email firstname.lastname@example.org
Altar Committee Needs a Volunteer
If you are looking for a “behind the scenes” way to serve, the Altar Committee needs you! You would be partnered with another committee member for three months of the year, and for those months, the two of you would be responsible for keeping the candles filled, the paraments that go on the altars, lectern, and pulpit the correct color according to the church year calendar, washing the Communion ware after the last service on Communion Sundays (normally the first and third Sundays of the month) and special services, as well as laundering and/or pressing the Communion covers. Each committee member also signs up to cover some of the Lent, Advent, holidays, and special services, as they are able. If you are interested, or if you have any questions as you consider, contact Dee Junkans at: email@example.com cell - 937-243-0762
SJS Giving Opportunities from Honda Employees
We have recently been made aware of two giving opportunities for Honda employees. Each would be of great benefit to the school. Note: Please designate it as a “school” and not “church” activity, for qualification purposes. They are entailed in this link: HondaGO Overview (hondaweb.com) which is only available to Honda associates (required to login with ID and password). If you are considering giving to our building campaign, the match program would be very beneficial. If you have volunteered, or plan to volunteer, the school would also benefit financially. My goal is to make you aware of these programs. Please let me know if you would like to be connected to another Honda employee (one of our parents) who is willing to further explain the program. Thank you. Principal Rich Rausch
NEED A RIDE TO CHURCH? If so, please call the church office at 937-644-5540 and arrangements will be made for someone to pick you up in the Church Bus.
#TEAMMEGAN UPDATE! A BIG thank you for everyone from the church and school that demonstrated what it means to give with a servant’s heart by supporting one of our own! Through your purchases of #TeamMegan bracelets, t-shirts, and donations, we were able to raise about $1800 for the Bowsher family. In addition, the sixth grade students were able to purchase over 40 craft kits to donate to Nationwide Children’s Hospital in honor of Megan. “God is my strength and power.” 2 Samuel 22:33
Thank you, Pastor Jack for the birthday prayer. Sincere thanks to my family, Church family and friends for the beautiful birthday cards and well wishes. Thanks to the Sunday School children for the special drawings and coloring birthday cards. They are always so enjoyable. Best wishes and happy Thanksgiving to all. Marjorie Morley
CHEESE & BUCKEYE ORDER TIME
For the next few weeks you will see flier inserts in the Notes & News for the 7th and 8th grade Cheese & Buckeye Sale that supports their class trip to Washington D.C. in the spring.
Please include payment with your order form. There are extra forms and envelopes in the drop box in the Marie Pfarr Room for you to place your order form and payment.
Cheese & Buckeye Orders will be available for pick up Nov. 21 or Dec. 12, so please make sure to designate which date you would prefer.
If you have any questions, feel free to contact the school office and talk with Lauren Schultz at
Sunday, November 28th, 6pm - LYF Christmas Party, Youth House: Join us as we celebrate the Christmas season together with a devotion, games, a white elephant gift exchange, hot cocoa and treats! We will also be making/preparing luminaries for the Christmas Eve services. Plan to bring along a white elephant gift (cost limit $10) for our exchange, wear your Christmas sweater and cheer, and we hope to see you there!
December 24th - Christmas Eve Luminaries: LYF is setting-up milk jug luminaries for the Christmas Eve services again this year! We have different time slots available on Christmas Eve to help set-up and maintain the luminaries for both services. We will initially meet at 10am to set-up luminaries, and then prior to each service (6pm, 10:30pm) as well as clean-up luminaries after the candlelight services. If any youth/family is able to help, please sign-up for a slot at www.tinyurl.com/SJLYFLuminaries.
Thank you!
St. John’s Lutheran Church and School
12809 State Route 736 Marysville, OH 43040
Office Phone: 937-644-5540
Church Website: www.stjohnsmarysville.org School Website: www.sjsmarysville.org
Email: firstname.lastname@example.org
Rev. Jack D. Heino, Sr. Pastor 937-240-3002 Mr. Rich Rausch, Principal 937-240-3003
Equipping the family of God to joyfully and boldly make disciples of Christ as we
KNOW Jesus and one another, GROW to be more like Him and
SOW His love in Word and deed. |
Ransomware Protection
Whitepaper
RANSOMWARE AT-A-GLANCE
- Ransomware is a malware that aims at extorting the victims for money
- Ransomwares are often created by criminal gangs with extensive experience and infrastructure
- In 2016 ransomware grew by 400% and costed private individuals and companies several billion USD
- Most ransomwares encrypts the files on the infected computers, but some holds the entire computer as a hostage
- In most cases, once infected and the files are encrypted, there is no way to decrypt the files without paying the ransom fee.
- Most users get infected through emails, but remote attacks and infected websites are also relevant attack vectors.
- Most analysts agree, in 2017 ransomware will evolve to target IoT devices such as Point of Sales systems, ATM machines, Smart TVs, Heating/Climate Control systems and similar.
Introduction
With cybercriminals making billions of dollars from ransom demands, ransomware is unanimously identified as one of the biggest threats businesses face today.
Ironically, the main estimated cost is not the ransom amount but the business downtime it causes – so it is not at all surprising that only one third of businesses believe they will actually recover from a ransomware attack¹.
Clavister together with its technology partner Bitdefender has been closely following the evolution of ransomware, predicting its next steps and introducing technologies to handle ransomware specifically.
The best protection if achieved through a combination of educating the end users, infrastructure security such as Next Generation Firewalls and good protection in the form of Endpoint Client software installed on all devices and that follows the user also when leaving the office.
In the following paper, you will learn what you need to know about ransomware, and what technologies Clavister offers, through its partnership with Bitdefender, to uses who wish to protect their business against one of the biggest threats faced today.
WHAT IS RANSOMWARE?
Malware tries to adapt to the surroundings to survive. Some fail, but some thrive, even spreading to become an epidemic. Cyber-threats are no different. In 2015, ransomware caused $350 million in damage, living up to its reputation as the most significant menace targeting Internet users and organizations to date. What’s more, 3 in 4 security professionals see the re-emergence of ransomware as the greatest new threat to appear in the last 12 months, according to a 2016 BlackHat survey.
Modern ransomware is a type of malware that locks and usually encrypts an operating system until the user pays to regain access. The malware can enter a system through a malicious downloaded file, a vulnerability in a network service or a text message.
Why is it different from traditional malware?
- It doesn’t steal victims’ information, but rather encrypts it
- It doesn’t try to hide itself after files are encrypted because detection won’t restore the lost data
- It demands ransom, usually in a virtual currency such as Bitcoins
- It’s relatively easy to produce—there are a number of well-documented crypto-libraries
WHAT FORMS DOES IT TAKE?
There are two main types of ransomware in circulation.
Device lockers. This type of ransomware locks the device screen and displays a full-screen image that blocks access to the device. The message demands payment, but personal files are not encrypted. This type of ransomware is often presented as a message from police and threatens to fine users for alleged online indiscretions or criminal activities.
Both types of malware deny access to computer resources, but lockers can be dismantled through various system restore techniques and tools while encryptions can’t be easily deciphered, making them more destructive.
Crypto-ransomwares. File-encryptors are more evolved than lockers, boasting irreversible encryption of personal files and folders such as documents, spreadsheets, pictures and videos.
WHAT YOU NEED TO KNOW
Clavister and Bitdefender are closely following the evolution of ransomware in 2016, trying to predict its next steps and developing technologies to protect against this major threat.
In the first three months of 2016, spam email with attached files increased by 50%, according to data from Bitdefender Antispam Lab. Similar data is also shown by other analysts.
Partially responsible for the large volumes of infected email attachments is the proliferation of crypto-ransomware. Locky and Petya, two emerging ransomware threats, are aggressively hunting victims via massive spam campaigns spreading Word documents disguised as invoices and Dropbox links to malicious applications. The two new ransomware proved so prolific that Locky, for example, infected over 400,000 workstations in just a few hours\(^4\).
RANSOMWARE IS DANGEROUSLY EXPANDING ACROSS DEVICES
Windows remains the main victim of ransomware – with variants going through various transformations, as law enforcement and security companies hammered down on some of the most popular and prolific variants, such as CryptoLocker, TorLocker, BitLocker and others.
Bitdefender, supplier of the technology found in the Clavister Endpoint Security Client, currently has a knowledge-base of 2.8 million ransomware samples, and 3 acting technologies to protect Windows systems against this threat.
Ransomware is not only prolific on Windows, but also on Android, Linux and even MacOS. The Android operating system was deemed a likely candidate for the new generation of mobile ransomware, not only because of its staggering 82.2 percent market share in Q2 2015, according to IDC\(^5\), but also because it has more than 1.4 billion 30-day active users globally, according to Google CEO Sundar Pichai\(^6\).
Bitdefender’s statistics show the Android SLocker ransomware family accounts for 4.35 percent of all mobile malware reported by infected devices in Q3 2015, and 3.08 percent in Q4 2015.
The newest development in ransomware has been its attack on the Linux operating system. Linux-enabled web servers are at the heart of the Internet, many even hosting dozens of websites. Successful infection could affect more than one victim, so ransom payouts could also increase. One of our 2016 predictions actually involves the evolution of Linux ransomware, making it one the most serious threats to date.
Clavister, together with Bitdefender are also closely following the evolution of Mac ransomware that as of KeRanger, the first ransomware for Mac OSx, is picking up more traction.
HOW DOES CLAVISTER PROTECT BUSINESSES AGAINST RANSOMWARE?
All Clavister Endpoint Security Clients use not one, but two protection layers against ransomware. The two technologies work independently.
Together, they form one of the market’s most powerful shields against this ransomware.
To enhance your existing endpoint protection, you can use the ransomware vaccine. It works with any solution you are using.
| WHEN USING CLAVISTER ENDPOINT SECURITY CLIENT | STEP 1 SIGNATURE DETECTION |
|-----------------------------------------------|----------------------------|
| | FILTERS OUT ALL KNOWN RANSOMWARE |
| STEP 2 RANSOMWARE ATC |
|------------------------|
| FINDS RANSOMWARE BEHAVIOUR IN UNKNOWN FILES & PROCESSES |
| WHEN USING ANY SECURITY VENDOR | RANSOMWARE VACCINE |
|--------------------------------|---------------------|
| | PREVENTS RANSOMWARE THAT BYPASSED YOUR OTHER DEFENSES FROM ENCRYPTING - COMPATIBLE WITH ANY EPP - |
SIMILARITY SIGNATURE-BASED PROTECTION
BLOCKS MOST RANSOMWARE FOUND TODAY
WHY SIMILARITY SIGNATURE-BASED DETECTION?
Signature-based detection is the first line of defense against ransomware attacks. It is not sufficient to protect against this threat, but it nevertheless plays an important role in every business security solution against ransomware.
- **BLOCKS THE EXECUTION OF EVERY KNOWN RANSOMWARE FAMILY.** Detects and blocks every known sample of ransomware from all major and lesser ransomware families.
- **BLOCKS NEW RANSOMWARE VARIANTS FROM KNOWN FAMILY.** Ransomware is polymorphic, creating new copies on each particular device. Clavister identify droppers instead of files, to counter-act this ability.
- **BLOCKS RANSOMWARE WITH BEHAVIOUR SIMILAR TO KNOWN RANSOMWARE FAMILIES.** Thanks to its similarity technology, Clavister can catch previously unknown ransomware, if it’s similar in behaviour to known ones.
- **2.8 MILLION NEW RANSOMWARE AND COUNTING.** Bitdefender can detect a total of 2.8 million unique ransomware samples from the last 2 years alone.
HOW IT WORKS
Ransomware is polymorphic – this means that each sample is unique, customized for each victim. This is why signing each sample would not make sense in ransomware’s case.
Dropper Signatures
To maximize this traditional detection method, besides the sample, Clavister and Bitdefender also signs the dropper, blocking the attack vector before the ransomware actually reaches your device.
What is the dropper?
During a ransomware attack, the ransomware itself is not the first malicious piece that reaches your device. Whenever you click on the wrong link or file, what is actually downloaded first is a dropper – a small piece of software that acts as a downloader for the actual ransomware piece.
Another advantage of blocking droppers instead of the actual ransomware besides anticipating the infection is that a dropper can be used on multiple devices. So each new victim targeted by that specific dropper that uses Clavister Endpoint Security Client will be completely safe from that ransomware.
Similarity Signatures - Blocking Zero-Day malware based on similarity patterns
The Clavister Endpoint Security Client can also detect variations that are similar to previously known ransomware, through an internally developed algorithm called simhash. By using simhash, similar ransomware attacks can be blocked, even if the sample was previously unknown.
STOP NEVER-SEEN-BEFORE RANSOMWARE
CLAVISTER AND BITDEFENDER - HIGHEST SCORE AGAINST UNKNOWN THREATS?
The Clavister Endpoint Security Client reaches near-perfect score against new threats, while market average continues to drop. The efficiency of the Advanced Threat Control feature can be best demonstrated by Heuristic or Behavioral tests, such as the AV-Comparatives Proactive Protection Test. The independent report tests leading AV/Antimalware products against new or zero-day malware and ranks their performance based on their ability to block malware samples. Because the threats are new, traditional signatures are useless, so detection relies solely on the heuristic technologies.
In the 2015 test, Clavister/Bitdefender outperformed all other solutions, blocking 99% of the samples, with the nearest competitor blocking 93%. Bitdefender has also scored over 97% in the last 3 years consecutively, with the industry average for this test dropping from 84% to 75% in the same period.
WHY RANSOMWARE ADVANCED THREAT CONTROL?
Since September 2015, Clavister / Bitdefender has extended its proprietary heuristic technology, called ATC, to also detect previously unknown ransomware. The technology uses advanced behavioral models to find ransomware, even if it has not been signed.
INCREDIBLY EFFECTIVE AGAINST NEW BLACK MARKET RANSOMWARE. Detects new ransomware families that can be purchased and generated through the black market – because they all exhibit similar behavior in essence.
DETECTS UNKNOWN types of ransomware. Ransomware behavior is similar, even if polymorphic. A strong behavioral technology can catch even new variants by using adapted heuristics.
WORKS ON COMPLEX BEHAVIOURAL DETECTION. New variants of ransomware are incredibly easy to make, so signature-based detection cannot keep up. To catch it, a technology needs to track it down by its behavior.
Uses RENOWNED ADVANCED THREAT CONTROL (ATC) technology. ATC has proven an incredibly effective technology in uncovering unknown malware. ATC constantly earns Clavister and Bitdefender top marks in detection by making the difference in uncovering new or unknown malware.
PROTECTS AGAINST DIGITALLY SIGNED RANSOMARE. Even if a ransomware is digitally signed, it will still exhibit malicious behavior, and will be blocked.
HOW THE SOLUTION WORKS
The ATC doesn’t need signatures, as it uncovers ransomware simply by its behavior. To determine if a process is ransomware before it gets a chance to hit, ATC watches over all active processes, and marks any suspicious behavior with a score. If a process take several suspicious actions, it will receive a higher score. Once the score passes a threshold, ATC signals other technologies to block the process.
Here are some actions the Clavister Endpoint Security Client looks out for that can indicate ransomware behavior:
DOES THE PROCESS TRY TO WRITE, RENAME, MOVE, OR COPY FILES? A ransomware’s single purpose is to encrypt your files. Therefore, the most common actions associated with ransomware are write, rename, move or copy. Bitdefender’s ATC constantly checks any program that tries to take one of these actions.
DOES A PROCESS TRY TO CHANGE AUDIO, VIDEO OR IMAGE FILES? Ransomware also targets audio, video or image files. So ATC becomes even more suspicious if a program tries to take one of the actions above on any of these file types.
These are just some examples. Bitdefender Ransomware ATC constantly watches for dozens of actions that can indicate the presence of ransomware.
ATC detection works locally, and does not need a Cloud connection. The technology is autonomous, as ransomware heuristic parameters defined by the technology work by themselves.
INTELLIGENT AND PROACTIVE APPROACH TO RANSOMWARE
Ransomware is one of the largest threats businesses have ever had to face and a targeted approach is monumental to defend your business against it.
Clavister has not one, but three anti-ransomware layers in its Endpoint Security Client, with more to be added in the near future.
- ATC technology, which offers protection against new forms of ransomware, makes a major contribution in the excellent scores that Bitdefender receives against zero-day threats.
- Clavister Endpoint Security Client has also scored over 97% in the last 3 years consecutively, with the industry average for this test dropping from 84% to 75% in the same time period.
- Clavister Endpoint Security Client can detect a total of 2.8 million unique ransomware samples from the last 2 years alone.
While ransomware remains at large, there is a very fine line between a healthy, trustworthy business and unexpected business downtime that can damage your reputation.
Use the right tools with an intelligent and proactive approach to strengthen your security posture.
In addition to using an intelligent and Proactive endpoint security client like Clavisters, it is also important to look at how the entire organization needs to be protected, this includes using Next Generation Firewalls which capabilities such as stream-based antivirus, web content filtering and application control. |
Effect of Ni Modified GNSs on Thermal Aging Characteristics of SnAgCuRE/Cu Soldering Joints
Wang Huigai\textsuperscript{1,2}, Zhang Keke\textsuperscript{1,2}, Wang Bingying\textsuperscript{1}, Wang Yaoli\textsuperscript{1,2}
\textsuperscript{1}School of Materials Science and Engineering, Henan University of Science and Technology, Luoyang 471023, China; \textsuperscript{2}Collaborative Innovation Center of Nonferrous Metals, Henan Province, Provincial and Ministerial Co-construction of Collaborative Innovation Center for Non-ferrous Metal New Materials and Advanced Processing Technology, Luoyang 471023, China
Abstract: Sn2.5Ag0.7Cu0.1RE0.05Ni lead-free solder alloy was used as the research object. Based on the unique structure, excellent physical properties, and good mechanical properties of graphene nanosheets (GNSs), the Ni modified GNSs (Ni-GNSs) were used as the reinforcement phase. The soldering process of Ni-GNSs reinforced SnAgCuRE system composite solder/Cu and thermal aging tests of soldering joints were conducted to investigate the effect of Ni-GNSs on the microstructure and thermal aging fracture mechanism of composite soldering joints. Results show that the addition of Ni-GNSs inhibits the linear expansion of the composite solder, resulting in lattice distortion and dislocation. The intermetallic compound (IMC) particles near the dislocation line interact with the dislocations and hinder their movement, thereby strengthening the composite solder and further improving the soldering joint. With a longer thermal aging time, the thickness of interface IMC layer is increased and the shear strength of soldering joints is decreased. Among them, the shear strength decrement of the composite soldering joints with 0.05wt% GNS addition is the least of only 8.9%. Moreover, after thermal aging for 384 h, its shear strength is still higher than that of the Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint before thermal aging. With the addition of Ni-GNSs, the growth coefficient of interface IMC of composite soldering joints is significantly reduced, which effectively alleviates the degradation of mechanical properties of composite solder/Cu soldering joints during the thermal aging process, further changes the thermal aging fracture mechanism of composite solder/Cu soldering joints, and ultimately affects the reliability of joints. The fracture position of the Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joints moves from the soldering seam before thermal aging to the soldering seam/interface IMC, presenting the ductile-brittle mixed fracture. The fracture position of the Sn2.5Ag0.7Cu0.1RE0.05Ni-0.05GNSS/Cu soldering joints is still in the soldering seam zone, presenting the ductile fracture, which indicates the high reliability of the soldering joints.
Key words: Ni-GNSs/SnAgCuRE system composite solder; interface IMC; soldering joints; thermal aging; microstructure and properties
With the improvement of microelectronic circuit integration, the number of soldering joints on the device is increased, and the size becomes smaller and smaller. The failure of soldering joints will affect the reliability of the device, which mainly depends on the environment and characteristics of the soldering joints. Among them, the influence of heat-mechanical action is more significant. Kim et al\textsuperscript{[1]} showed that the heat generated during the service of electronic components promotes the further growth of intermetallic compound (IMC) and production of stress. More seriously, IMC may be transformed into new phases, which weakens the mechanical properties of the joint to a certain extent and even causes fracture failure.
Among the current lead-free solders, Sn-based lead-free solder has high fatigue resistance, good wettability, and weldability, therefore widely used in the microjoining field\textsuperscript{[2–3]}. However, in the process of fine-pitch and high-density packaging, the wettability, strength, and toughness of the current joints are slightly unqualified. In order to further improve the wettability of lead-free solder and to achieve...
good wettability and soldering connection with substrate materials, composition amelioration of the solder is the most direct and effective method.
In order to widen the application range of Sn5Sb-based materials, such as third-generation semiconductors, in higher-temperature package conditions, Xin et al\textsuperscript{[4]} studied the microstructure evolution and mechanical properties of micro-alloyed Sn-5Sb/Cu soldering joints during the isothermal aging process. Results show that the addition of Cu, Ni, Ag, and other alloying elements can effectively inhibit the growth of Cu$_3$Sn compound and generate the fine (Cu, Ni)$_3$Sn, and Ag$_2$Sn compounds. These compounds play a pinning role at the grain boundary, more effectively inhibit the diffusion between the solder and the Cu substrate, and form a finer microstructure and a thinner interface Cu$_3$Sn layer. Additionally, the precipitation strengthening of alloying elements significantly improves the microhardness of the aging joint, which effectively alleviates the premature deformation and fracture under high temperature service, thereby being conducive to the rapid development of the third-generation semiconductor interconnection materials. Yang et al\textsuperscript{[5]} studied the effect of Mo on the microstructure evolution in Sn58Bi-$x$Mo/Cu soldering joints during aging and found that the addition of Mo nanoparticles increases the atomic diffusion activation energy of the composite solder and decreases the diffusion coefficient, thus reducing the growth rate of Cu$_3$Sn layer. Yang et al\textsuperscript{[6]} added a trace amount of Ge to Sn-0.7Cu solder to study the interface reaction and mechanical properties of soldering joints during thermal aging and thermal cycling. Results show that the addition of Ge decreases the diffusion rate of Sn and Cu atoms, promotes the formation of SnGe solid solutions, and improves the shear strength of soldering joints. Besides, the thickness of IMC layer at soldering joint interface reduces. The addition of Ge also improves the reliability of the soldering joints during the thermal cycles. In addition to the micro-nano metal particles, the addition of micro-nano ceramic particles also has the same effect\textsuperscript{[7]}.
The addition of nano-carbon materials into the lead-free solder can effectively improve the mechanical properties of composite solder and soldering joint due to their fine grain strengthening, pinning, and bridging effects\textsuperscript{[8]}. Jiang et al\textsuperscript{[9]} studied reliability of graphene nanosheets (GNSs) reinforced Sn-5Bi/Cu soldering joints. Results show that with the addition of GNSs, the shear fracture mode of Sn-58Bi solder converts from brittle fracture into the mixed mode of brittle and ductile fracture, which is coincident with the shear strength variation. Han et al\textsuperscript{[10]} studied the interface reaction of GNSs enhanced SAC305 soldering joints during thermal aging at 150 °C, and found that scallop-like interface IMC forms during soldering, and the morphology of IMC changes from scallop-like form to irregular form during thermal aging. After soldering and thermal aging, IMC layer thickness of SAC305/Cu soldering joint is larger than that of composite solder/Cu soldering joint. Compared with solder matrix, the diffusion coefficient of composite soldering joint is reduced, indicating that GNSs can effectively hinder the growth of interface IMC. However, the nano-carbon material has a large specific surface area and it is easy to agglomerate, which degrades the mechanical properties. After GNSs addition, carbon nanotubes (CNTs) and other carbon-based nanoparticles can be modified by metal. The diffusion between elements becomes a key control factor for the growth of interface IMC during soldering and thermal aging. Jing et al\textsuperscript{[11]} analyzed the effect of Ag-GNSs on the IMC growth process of SAC305/Cu soldering joints. Compared with that of SAC305 material, the thickness of IMC layer of composite soldering joints reinforced by Ag-GNSs is significantly smaller, indicating that Ag-GNSs can reduce the diffusion coefficient of interface atoms and inhibit the growth of interface IMC layer. Park et al\textsuperscript{[12]} studied the mechanical, electrical, and thermal properties of Sn-58Bi composite soldering joints strengthened by Ag-multi-walled CNTs (MWCNTs) during the thermal aging process and found that the thickness of IMC layer at the soldering joint interface is twice larger than that of the composite soldering joint interface after thermal aging for 1000 h. The composite soldering joint with 0.05Ag-MWCNTs has the optimal shear strength and the small resistivity and thermal resistance.
The formation and microstructure evolution of IMC during the interface reaction between solder material and metal substrate have been widely researched, as well as IMC influence on the mechanical properties and subsequent service performance of soldering joints\textsuperscript{[13–17]}. However, the morphology, microstructure of interface IMC, and fracture mechanism of Ni-GNSs reinforced SnAgCuRE (RE indicates the rare earth element) composite solder/Cu soldering joints during thermal aging are rarely reported. GNSs in the composite solder present excellent heat conduction characteristics, and their thermal radiation coefficient is more than 0.95, so it is expected to improve the thermal efficiency of current electronic components and to enhance the service stability of soldering joints.
In this research, the evolution of interface microstructure and mechanical properties of composite solder/Cu soldering joint during thermal aging were analyzed. The formation mechanism, growth dynamics of interface IMC, and failure fracture mechanism of soldering joint were discussed. Then, the mechanism of GNSs in the interface reaction and thermal aging process of composite solder/Cu soldering joint was revealed. The prevention measures for the thermal aging failure of microelectronic package interconnect soldering joints were discussed.
1 Experiment
The test material was Sn2.5Ag0.7Cu0.1RE0.05Ni-$x$GNSs composite solders. According to the addition amount of GNS (0wt%, 0.01wt%, 0.03wt%, 0.05wt%, 0.07wt%, and 0.10wt%) in the composite solder and the composition of the solder matrix (Sn2.5Ag0.7Cu0.1RE0.05Ni), nickel in the composite solder was added in the form of Ni-GNSs. The theoretical nickel loading in Ni-GNSs was calculated according to the amount of GNS added in the composite
solder. The composite solder was prepared by mechanical alloying and rolled into a thin solder strip of 0.1 mm. The to-be-soldered surfaces of the thin solder strip and the Cu substrate were firstly polished with sandpaper and then washed by ultrasonic cleaning machine with acetone. After the removal of oil and oxide impurities on the surface, the composite solder was dried for subsequent use.
The thin strip solder was placed between the lap surfaces of the upper and lower Cu substrates for furnace soldering, as shown in Fig. 1. Based on the optimization results of wettability test parameters, the soldering tests of composite solders with different GNS addition amounts were conducted with washing flux at 270 °C.
The soldering joint was placed in a box resistance furnace for thermal aging test. In order to avoid oxidation of the soldering joint, the sample of the soldering joint was placed in the molybdenum disulfide for thermal aging treatment according to the Japanese test methods\textsuperscript{[18]}. The test temperature was 150 °C, which is also the maximum service temperature of microelectronic connection. The thermal aging time was 0, 48, 96, 192, and 384 h. After the thermal aging treatment, the sample of the soldering joint was air-cooled.
The composite solder rod was cut into uniform sheets with the size of Φ8 mm×0.4 mm. Grind the solder sheets with 1200#–2000# sandpaper until the sheet thickness was about 120 μm. Then, punch the sheets into small wafers with the diameter of 3 mm and continuously grind them until the thickness was about 80 μm. MTP-1A type electrolysis double spray thinning instrument was used to thin the center thickness of the wafer (Φ3 mm). Then, the wafer was put into ethanol immediately for cleaning. Before the observation by transmission electron microscope (TEM), the samples were thinned again with Gatan691 ion thinning instrument to ensure the clean surface. The interface morphology and microstructure of composite solder were characterized by JEM-2100 TEM.
Due to the irregular morphology of IMC layer at the interface of composite soldering joint, the area query method was used to measure the thickness of IMC layer in this research. Firstly, the area of the interface IMC layer was measured with ImageJ software, and then the thickness of the interface IMC layer was obtained by measuring the length. Additionally, ImageJ software was also used to measure the particle size of the interface IMC. A representative field of view was selected to measure the diameter of about 100 IMC particles, and their average value was used as the size of interface IMC particles.
## 2 Results and Discussion
### 2.1 Microstructure and structural characterization of Ni-GNSs/SnAgCuRE composite solder
The results in Ref. [8] show that the improvement in reliability of the soldering joint largely depends on the strengthening effect of Ni-GNSs on the composite solder, which is closely related to the microstructure of the composite solder. The composite solders were analyzed by high resolution TEM (HRTEM), selected area electron diffraction (SAED), and energy dispersive spectroscopy (EDS), and the analysis results of composite solder containing 0.05wt% GNSs are shown in Fig. 2. In Fig. 2a, it can be observed that the black granular material with 30–80 nm in diameter is uniformly distributed on the surface of the light gray material. EDS results of the nanoparticles show that the contents of Ni and C are 5.07at% and 83.98at%, respectively, indicating that the Ni particles exist on the GNS surface. According to SAED pattern, the interplanar crystal spacing of 0.209, 0.171, and 0.113 nm has a good correspondence with the (111), (200), and (311) crystal face spacing of Ni, respectively, which belongs to the [02\overline{2}] crystal band axis with lattice constant $a=0.3619$ nm. Because this lattice constant is close to that of standard Ni ($a=0.3524$ nm), it can be further determined that the nanoparticles are Ni.
Fig. 2d shows the morphology of composite solder. According to EDS analysis results, the bright black particles with the atomic ratio of Ag:Sn=65.24:25.11 are Ag$_2$Sn. Two sets of spots can be observed in Fig. 2e. The strong spots are the solder alloy spots, and the weak spots are the precipitated phase spots. According to SAED pattern of the bright black particles, the interplanar crystal spacing of 0.492, 0.348, and 0.217 nm has a good correspondence with the crystal face spacing of the Ag$_2$Sn (001), (011), and (012) planes, respectively, which belongs to the [100] crystal band axis. It can be further determined that the bright black particle is Ag$_2$Sn (Pmmm space group, lattice constant $a=0.597$ nm, $b=0.478$ nm, $c=5.184$ nm, $\alpha=\beta=\gamma=90^\circ$, orthomorphic system). According to EDS analysis results of the gray particles marked by the dashed rectangle in Fig. 2g (the atomic ratio of Cu to Sn is 41.07:44.12), it is preliminarily determined that the composition of the gray particles is mainly Cu$_3$Sn. According to SAED pattern, the interplanar crystal spacing of 0.206, 0.163, and 0.122 nm corresponds to the crystal face spacing of Cu$_3$Sn, (020), (\overline{1}13), and (\overline{1}33) planes, respectively, which belongs to the [602] crystal band axis. These results further prove that the gray particles are Cu$_3$Sn.
Dislocation lines, dislocation walls, and IMC particles near the dislocation lines can also be observed in the composite solder, as shown in Fig. 2j. Due to the small linear expansion coefficient of GNSS\textsuperscript{[19]}, the addition of the reinforcement phase Ni-GNSs inhibits the linear expansion of the composite solder\textsuperscript{[20]}, resulting in the lattice distortion and eventually dislocation. IMC particles are distributed near the dislocation line. During the dislocation movement, IMC particles interact with the dislocation, hindering the dislocation movement\textsuperscript{[21]}. The
dislocation wall in Fig.2j further hinders the dislocation movement, thus increasing the strength of the composite solder.
Fig. 2k shows the interface morphology of Ni-GNSs and composite solder. The middle light gray material is GNSs, and Ni nanoparticles with uniform size of 30–80 nm are distributed evenly on GNS surface, indicating that there is a high bonding between Ni and GNSs. According to EDS analysis results of the black material on both sides (Sn content is 96.57wt%), the black material is preliminatively identified as $\beta$-Sn matrix. According to SAED pattern, the interplanar crystal spacing of 0.209, 0.207, and 0.166 nm has a good correspondence with the (220), (121), and (301) crystal face spacing of $\beta$-Sn, respectively, which belongs to the [2 2 6] crystal band axis. These results further prove that the black material is $\beta$-Sn. The bonding surface of Ni-GNSs and $\beta$-Sn matrix is smooth and uniform, and there are no cracks and other defects.
Hence, the composite solder is mainly composed of $\beta$-Sn, Ag$_3$Sn, and a small amount of Cu$_6$Sn$_5$, and defects, such as dislocation lines and dislocation walls, exist in the composite solder. Some IMC particles are distributed near the dislocation lines, which hinders the dislocation movement and strengthens the composite solder. The interface of Ni-GNSs and solder alloy is well bonded, and no cracks and other defects can be observed.
### 2.2 Microstructure evolution of composite solder/Cu soldering joint during thermal aging
Fig. 3 shows the interface morphologies of soldering joints with different GNS additions after thermal aging at 150 °C for different durations. It can be observed that thickness of IMC layer is increased with the prolongation of aging time. In addition to the scalloped IMC, there is also a small amount of prismatic IMC, and the roughness of IMC layer increases firstly and then decreases. After thermal aging for 384 h, a thicker Cu$_6$Sn$_5$ layer appears below the Cu$_6$Sn$_5$ layer at the
interface of the soldering joint without GNS addition, whose thickness accounts for about 1/3 of the thickness of IMC layer, as shown in Fig. 3d. Besides, holes and cracks are initiated between the Cu$_3$Sn layer and the Cu substrate.
Goldmann et al.\textsuperscript{[22]} studied the motion law of Cu-Sn diffusion couple by element labeling method. At a relatively low temperature (20–70 °C), Cu in the diffusion couple is the main diffusion element at the interface, and it moves towards Sn side by grain boundary diffusion and gap diffusion. When the aging temperature is higher than 150 °C, Sn will replace Cu as the main diffusion element at the interface and move towards Cu through vacancy diffusion and bulk diffusion. During the thermal aging, the growth of Cu$_6$Sn$_5$ at the interface mainly depends on the mutual diffusion of Sn atoms in the solder and Cu atoms in the Cu substrate, i.e., the Cu atoms in the substrate pass through IMC layer and react with Sn atoms at the soldering joint/Cu$_6$Sn$_5$ interface, which thickens the IMC layer. Thus, the Cu atoms reach the soldering joint, and the interface roughness increases. At the same time, Cu atoms also react with IMC layer to form Cu$_3$Sn layer during the Cu diffusion to IMC layer. With the thermal aging further proceeding, Cu$_3$Sn layer begins to grow. Due to the brittleness of Cu$_3$Sn, its thermal expansion coefficient is quite different from that of Cu. Submicron Kirkendall pores often appear in the Cu$_3$Sn layer and at the Cu$_3$Sn/Cu interface, and even cracks are generated.
When the GNS addition amount is 0.01wt%, the interface morphologies of the soldering joint during the thermal aging are shown in Fig. 3e–3h. Compared with the soldering joint without GNS addition, the thickness of the interface IMC layer decreases, especially that of the Cu$_3$Sn layer near the Cu substrate. Interface IMC thickness reduction can be attributed to two aspects. Firstly, the reinforcement phase GNS is enriched at the interface during soldering process, which reduces the interdiffusion rate of metal atoms at the interface during thermal aging. At the same time, GNSs have high
surface activity and are easy to be adsorbed on the surface of interface IMC particles, preventing the diffusion of Cu, Sn, and other atoms in the soldering joints. Secondly, the remaining GNSs in the soldering joints near the interface will disturb the concentration gradient of Sn atoms in the composite solder and affect the growth of interface IMC layer. Due to the low GNS addition, the growth of IMC layer at the interface is slightly inhibited, and the thickness of IMC layer is increased greatly with the prolongation in thermal aging time. The interface IMC morphologies of the soldering joint with high GNS content (0.1wt%) are shown in Fig.3i–3l. The thickness of the interface IMC layer is slightly larger than that of the soldering joint without GNS addition, and the surface roughness increases, which can be attributed to the irreversible agglomeration phenomenon under the action of Van der Waals force. This result indicates that the GNS addition is excessive. In the soldering process, GNSs are partially separated from the interface and occupy the Ni sites, causing the composition fluctuation inside the composite solder, promoting the mutual diffusion between Cu and Sn atoms, and resulting in faster growth of IMC layer.
The interface IMC morphologies of soldering joint with GNS addition of 0.03wt%–0.07wt% are shown in Fig.4. It can be seen that the thickness of IMC layer increases during the thermal aging process. Compared with that in the soldering joint without GNS addition, the growth rate of IMC layer in soldering joint with GNS addition significantly reduces, as well as the growth rate of Cu$_2$Sn layer. The Cu$_2$Sn layer cannot be clearly identified after the short-time thermal aging. Wang et al.\[23\] reported that the growth of Cu$_2$Sn layer is mainly controlled by the interface reaction, whereas the growth of Cu$_2$Sn$_5$ layer is controlled by diffusion. When the thickness of interface IMC layer is small, Cu$_2$Sn$_5$ phase grows relatively fast, which will inhibit the growth of Cu$_2$Sn phase, so the interface IMC layer is mainly Cu$_2$Sn$_5$ phase.
With the thermal aging proceeding, the morphology of interface IMC is transformed from scallop-like and short-rod-like shapes to relatively flat lamellar shape, and some IMC
**Fig.4** Interface morphologies of Sn2.5Ag0.7Cu0.1RE0.05Ni-xGNSs/Cu soldering joints containing 0.03wt% GNSs (a–d), 0.05wt% GNSs (e–h), and 0.07wt% GNSs (i–l) after thermal aging for 48 h (a, e, i), 96 h (b, f, j), 192 h (c, g, k), and 384 h (d, h, l)
Cu$_3$Sn particles can be observed at the interface between Cu$_3$Sn layer and soldering seam zone at the end of thermal aging, as shown in Fig. 4d and 4l. This is because the Gibbs free energy in the soldering seam zone and interface IMC always decreases during thermal aging process. Scallop-like or rod-like IMCs have large surface area and high surface energy, so the transformation to lamellar-like IMC with low surface energy is necessary for the normal reaction proceeding, which also ensures the stability of the whole system. In addition, when the roughness of interface IMC layer is large, the distance between IMC layer tip and Cu substrate is much greater than the distance between IMC layer groove and Cu substrate. In the thermal aging process, the Cu atoms in the substrate preferentially diffuse to the grooves between IMC particles, promoting the rapid growth of IMC particles and finally flattening the IMC layer. Besides, the grooves between the interface IMCs belong to the near-interface region, where high-density vacancy, dislocation, and other defects are often gathered, and the interface energy is high. Therefore, these regions are used as channels for the quick diffusion of Cu atoms into the solder\textsuperscript{[23]}, thus thickening the groove of IMC layer and gradually flattening the interface IMC layer, as shown in Fig. 4d, 4h, and 4l.
Compared with Fig. 3 and Fig. 4, it can be seen that the interface IMC layers with GNS addition of 0.03wt%–0.07wt% are relatively dense with less holes and no cracks. This phenomenon is related to the adsorption of Ni-GNS nanoparticles and other active phases at the interface. According to the surface adsorption theory, the surface energy can be reduced effectively after the surface active materials adsorb on the crystal surface. The Ni-GNS nanoparticles in the composite solder have high surface activity and can be uniformly trapped to the interface during soldering. When the interface spontaneously captures the nano-active phase, the attraction of the atoms inside the solder to the interface metal atoms greatly reduces, which is conducive to the wetting and spreading of the liquid solder on the substrate\textsuperscript{[25]}. Additionally, due to the high melting point of Ni-GNSs, Ni-GNSs do not melt in the soldering process, and a frame structure with a certain capillary effect can be formed at the soldering joint, which improves the caulking ability of the liquid solder, avoids the formation of holes to a certain extent, and improves the density of interface IMC layer.
To further study the influence of GNSs on the growth of IMC particles during thermal aging process, the IMC particle size was measured by ImageJ software, as shown in Fig. 5.
With the prolongation of thermal aging time, the particle size of IMC is gradually increased, and the local grain fusion phenomenon appears. According to Oswald grain maturity theory\textsuperscript{[26]}, due to different concentrations of Cu atoms in Cu$_3$Sn particles of different sizes which are generated during soldering, a certain concentration gradient is generated among Cu$_3$Sn particles, and Cu atoms will diffuse from small particles with higher concentration to large particles with lower concentration. Eventually, the small Cu$_3$Sn particles contract or even disappear, and only large Cu$_3$Sn particles exist. Among them, the grain coarsening effect of interface IMC is more obvious without GNS addition. After thermal aging for 96 h, more holes appear in the IMC layer, as shown in Fig. 5b – 5d. Tao et al\textsuperscript{[27]} studied the effect of alloying elements on the microstructure properties of lead-free soldering joints and found that Ni also has a great influence on the growth of interface IMC. Yoon et al\textsuperscript{[28]} found that after the Ni addition, the activation energy of (Cu, Ni)$_3$Sn$_4$ formation is lower than that of Cu$_3$Sn$_4$ formation, and the diffusion coefficient of Ni atom in molten Sn is larger than that of Cu atom. As a result, the interdiffusion coefficient of (Cu, Ni)$_3$Sn$_4$ at the interface increases, and the growth rate of IMC layer is also accelerated during thermal aging.
At the initial stage of thermal aging, the mutual diffusion coefficients of Cu and Sn atoms have a little difference, and no holes are generated at the Cu/Cu$_3$Sn interface or IMC layer, as shown in Fig. 5a. This phenomenon indicates that the Cu atoms required for the growth of interface IMC layer at the initial stage of thermal aging mainly come from the supersaturated Cu atoms dissolved in the soldering seam near the interface, and Cu atoms barely diffuse through the Cu substrate. However, the content of Cu atoms in the soldering seam is only 0.7wt%, and Cu atoms are evenly distributed. During soldering, Cu atoms preferentially react with nearby Sn atoms to generate IMC, i.e., Cu atoms are difficult to diffuse to the interface to promote the growth of interface IMC layer. Therefore, before the generation of interface IMC layer, the diffusion process of Sn atoms in the soldering seam zone to the Cu substrate and the dissolution process of Cu atoms in the substrate to the soldering seam occur at the interface, and the Cu atoms near the interface reach the supersaturated state. These supersaturated Cu atoms are gradually precipitated from the soldering seam near the interface and react with Sn atoms to form interface Cu$_3$Sn\textsuperscript{[29]}. With the thermal aging proceeding, the oversaturated Cu atoms enriched in the soldering seam near the interface are exhausted. At this time, the growth of interface IMC is mainly caused by the diffusion of Cu atoms in the Cu substrate, and the diffusion rate becomes faster, which promotes the transition from Cu$_3$Sn$_4$ to Cu$_3$Sn. At the Cu$_3$Sn/Cu interface, vacancy diffusion is dominant, and the diffusion rate of Cu to Sn is much higher than that of Sn to Cu. Therefore, the Cu$_3$Sn/Cu interface moves towards the interface of the Cu substrate side and even forms holes (Fig. 5b–5d). These holes remain in the Cu$_3$Sn layer during interface movement.
Compared with that of interface IMC without GNS addition, the particle size of interface IMC is significantly refined after 0.05wt% GNS addition. In addition to the scalloped IMC particles, a large number of prismatic IMC particles grow towards the soldering seam direction, the holes at the interface decrease, and the interface is rough, as shown in Fig. 5i – 5l. This is consistent with the cross-section morphologies of interface IMC in Fig. 4e – 4h. Through the investigation on the relationship between joint strength and interface reaction during thermal aging, Kim et al\textsuperscript{[30]} found that a flat interface IMC layer can reduce the contact area between
the soldering seam and the interface IMC layer, resulting in the decrease in the bonding strength between the interface IMC and the soldering seam, and ultimately reducing the reliability of joint. Therefore, adding an appropriate amount of GNS can improve the reliability of the joint by changing the shape of interface IMC. During the thermal aging process, the interface IMC gradually flattens, which affects the reliability of the soldering joint.
2.3 Interface IMC formation mechanism of composite solder/Cu soldering joint
According to the analysis of interface structure transformation of soldering joint, the formation of interface IMC includes two stages: reaction and ripening. The first stage is the reaction stage, as shown in Fig.6.
At the initial reaction stage, the solder material is in direct contact with the Cu substrate and generates interface $\text{Cu}_3\text{Sn}$, IMC, as expressed by Eq.(1):
$$6\text{Cu} + 5\text{Sn} \rightarrow \text{Cu}_3\text{Sn}$$ \hspace{1cm} (1)
$\text{Cu}_3\text{Sn}$ grows towards the soldering seam side along the direction perpendicular to the Cu substrate. The growth rate of IMC is determined by the reaction rate. Choi et al.\textsuperscript{[31]} found that the Jackson factor of $\text{Cu}_3\text{Sn}$ is less than 2, and the interface is smooth after solidification, i.e., the interface IMC
---
**Fig.5** Morphologies (a–d, i–l) and grain diameters (e–h, m–p) of interface IMC grains in Sn2.5Ag0.7Cu0.1RE0.05Ni$_x$GNSs/Cu soldering joints containing 0wt% GNSs (a–h) and 0.05wt% GNSs (i–p) after thermal aging for 48 h (a, e, i, m), 96 h (b, f, j, n), 192 h (c, g, k, o), and 384 h (d, h, l, p)
**Fig.6** Schematic diagrams of initial (a), middle (b), and end (c) reaction stage
is scalloped.
The growth of IMCs at the interface obstructs the direct contact between Sn and Cu substrate, and Cu atoms need to diffuse through the IMC layer to react with Sn. Therefore, the growth of interface IMC layer is mainly controlled by the diffusion reaction process, and its growth rate depends on the diffusion flux of Cu, as expressed by Eq.(2), as follows:
\[ J_{Cu} = D \Delta C / d \]
(2)
where \( J_{Cu} \) is the flux diffused from Cu substrate to Sn; \( D \) is the diffusion coefficient of Cu; \( \Delta C \) is the Cu concentration difference between Cu substrate and Cu solder; \( d \) is the thickness of IMC layer.
According to Eq. (2), the diffusion flux of Cu decreases after the formation of IMC. When the interface IMCs are in contact with each other and gradually form a continuous thin layer covering the Cu substrate, diffusion only occurs in the microscopic gaps between the grains, suggesting that the diffusion becomes more and more difficult. With the growth of IMC grains, the atomic diffusion channels between grains are completely blocked.
According to the principle of minimum Gibbs free energy, small grains dissolve and large grains grow. Therefore, IMC enters the second stage, namely the ripening stage, as shown in Fig. 7. Because the saturation solubility of Cu atoms in Cu\(_3\)Sn particles of different sizes is different, smaller grains have larger saturation solubility in the parent phase \( \alpha \). Thus, the Cu atoms diffuse from small particles with radius \( R_2 \) to large particles with radius \( R_1 \), and the large particles merge with the small particles and grow up. The driving force of diffusion comes from the concentration difference of parent phase around the small and large particles. As shown in Fig. 7a, the free energy of large particles is lower than that of small particles. According to the common tangent rule, the parent phase concentration \( C_{R_1} \) in equilibrium with large particles is lower than that (\( C_{R_2} \)) in equilibrium with small grains, resulting in the dissolution of small particles and the growth of large particles, as shown in Fig. 7b.
### 2.4 Interface IMC growth kinetics of composite solder/Cu soldering joint
The growth characteristics of interface IMC layer during thermal aging have an important influence on the reliability of soldering joints. Within the thermal aging duration in this research, the growth rate of IMC layer becomes slower due to the GNS addition into the composite solder, and the thickness of Cu\(_3\)Sn layer is smaller than that of the Cu\(_6\)Sn\(_5\) IMC layer. Therefore, the growth kinetics of the total interface IMC layer should be further analyzed and discussed. The variation curves of thickness of interface IMC layer with thermal aging time are shown in Fig. 8. It can be seen that during the thermal aging process, the thickness of IMC layer increases, basically conforming to the parabolic law. The relationship between the growth change behavior of interface IMC and the thermal aging time can be described by the power-law formula\(^{[32]}\), as expressed by Eq. (3), as follows:
\[ x(t) = x_0 + (Dt)^n \]
(3)
where \( t \) is the thermal aging time; \( x(t) \) is the thickness of interface IMC layer after thermal aging for \( t \) time; \( x_0 \) is the thickness of IMC layer before thermal aging; \( D \) is the IMC growth coefficient; \( n \) is the time exponent.
The \( n \) value of interface reaction between solder material and metal substrate is 0.33 – 0.70, and different \( n \) values indicate different growth mechanisms of interface IMC. For example, for parabolic growth with \( n \) value close to 0.5, the growth of interface IMC is mainly controlled by diffusion\(^{[33]}\), and the IMC layer grows slowly.
In this research, the growth of interface IMC layer during thermal aging is mainly controlled by volume diffusion, i.e., the growth of interface IMC layer depends on the diffusion of Cu (Ni) and Sn atoms at the interface between solder material and Cu substrate. The growth of IMC layer at the interface obeys the time square root law, i.e., the \( n \) value in Eq. (3) is 0.5. Therefore, the relationship curves between the thickness of IMC layer and the square root of the thermal aging time \( t^{1/2} \) can be obtained, as shown in Fig. 8c–8d. In this case, the slope of the growth rate curve of interface IMC is \( D^{1/2} \). The growth coefficients and linearities of interface IMC layer with different GNS addition amounts obtained from this curve are shown in Table 1.
Based on Table 1, compared with that of interface IMC in soldering joint without GNS addition, the growth coefficient of interface IMC in soldering joint with GNS addition is relatively low. Particularly, when GNS addition amount is 0.03wt% – 0.07wt%, the growth coefficient of the interface IMC is about 1/3 of that in soldering joint without GNS addition. These results all suggest that adding an appropriate amount of GNS to the solder can effectively inhibit the growth of interface IMC during thermal aging process, which is also conducive to improve the reliability of soldering joint.
In order to investigate the coarsening mechanism of interface IMC grains during thermal aging, the relationships between particle sizes of interface IMC with thermal aging time are shown in Fig. 9.
The power-law formula can also be used to describe the relationship between the coarsening behavior of interface IMC grains and the thermal aging time during the thermal aging process, as shown in Eq. (4):
\[ d(t) = d_0 + (Kt)^n \]
(4)
Fig.8 Relationships between thickness of IMC layer in Sn2.5Ag0.7Cu0.1RE0.05Ni-xGNSs/Cu soldering joints and thermal aging time: (a, c) 0wt% GNSs, 0.01wt% GNSs, and 0.10wt% GNSs; (b, d) 0.03wt% GNSs, 0.05wt% GNSs, and 0.07wt% GNSs
Table 1 Growth coefficients and linearities of interface IMC in Sn2.5Ag0.7Cu0.1RE0.05Ni-xGNSs/Cu soldering joints during thermal aging
| Composite solder | Growth coefficient, $D \times 10^{-14} \text{ cm}^2\cdot\text{s}^{-1}$ | Linearity, $R^2$ |
|------------------|-------------------------------------------------|-----------------|
| Sn2.5Ag0.7Cu0.1RE0.05Ni | 6.00 | 0.94 |
| Sn2.5Ag0.7Cu0.1RE0.05Ni-0.01GNSS | 5.76 | 0.97 |
| Sn2.5Ag0.7Cu0.1RE0.05Ni-0.03GNSS | 1.93 | 0.93 |
| Sn2.5Ag0.7Cu0.1RE0.05Ni-0.05GNSS | 1.72 | 0.91 |
| Sn2.5Ag0.7Cu0.1RE0.05Ni-0.07GNSS | 1.99 | 0.87 |
| Sn2.5Ag0.7Cu0.1RE0.05Ni-0.1GNSS | 4.00 | 0.86 |
where $t$ is aging time; $d(t)$ is the particle size of interface IMC after thermal aging for $t$ time; $d_0$ is the particle size of interface IMC before aging; $K$ is the grain growth coefficient of interface IMC; $n$ is the time exponent.
According to FDR model [24], the growth of interface Cu$_x$Sn$_y$ grains is determined by the ripening process caused by bulk diffusion in the solder, and there is a linear relationship between the interface Cu$_x$Sn$_y$ particle size and the cube root of the thermal aging time. This means that the relationship between average grain size and the thermal aging time obeys the 1/3 power-law. The relationship between average particle diameter and $t^{1/3}$ is shown in Fig. 9b, presenting the linear relationship. This result is consistent with the theoretical analysis of the coarsening mechanism of Cu$_x$Sn$_y$ grains in Ref. [24]. The slope of the relationship curve is $K^{1/3}$. The growth coefficients and linearities of IMC grains of the soldering joints obtained from Fig. 9 are shown in Table 2.
There is a good linear correlation between IMC particle size and the cubic root of thermal aging time. The growth rate of Cu$_x$Sn$_y$ grains at the interface of composite solder with GNS addition is much slower than that at the interface of solder matrix, indicating that adding appropriate amount of GNS to...
Table 2 Growth coefficients and linearitys of IMC particles in Sn2.5Ag0.7Cu0.1RE0.05Ni-xGNSs/Cu soldering joints during thermal aging
| Composite solder | Growth coefficient, $K'$ $\times 10^{-17}$ cm$^3$·s$^{-1}$ | Linearity, $R^2$ |
|------------------|-------------------------------------------------|-----------------|
| Sn2.5Ag0.7Cu0.1RE0.05Ni | 1.9 | 0.996 |
| Sn2.5Ag0.7Cu0.1RE0.05Ni-0.05GNSs | 0.48 | 0.993 |
the Sn2.5Ag0.7Cu0.1RE0.05Ni solder can effectively inhibit the coarsening of interface IMC grains during the thermal aging process. The GNS addition is beneficial to improve the reliability of soldering joints.
2.5 Fracture mechanism of composite solder/Cu soldering joint during thermal aging
The relationships between shear strength of soldering joints and thermal aging time are shown in Fig. 10. It can be seen that adding GNS can improve the shear strength of soldering joints to some extent.
With the prolongation of thermal aging time, the grains of interface IMC are coarsened, presenting a parabolic law. The shear strength of Sn2.5Ag0.7Cu0.1RE0.05Ni-0.05GNSs/Cu soldering joint is 29.53 MPa, which is higher than that of Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint by 23.5%. The main reason is that the uniform distribution of reinforcement phase particles inhibits the growth of IMC grains in the soldering seam and the solder. The fine IMC grains hinder the dislocation slip along the shear direction through the pinning effect. In addition, the thermal mismatch between reinforcement phase and solder matrix and the load transfer of reinforcement phase involved in Ref.[8] can also be used to explain the increase in shear strength of the soldering joints. However, with the further increase in GNS addition amount, the shear strength of the soldering joint is decreased to some extent. This phenomenon is related to the stress concentration in the soldering joint caused by agglomerated GNSs in the composite solder.
According to Fig.10, the shear strength of soldering joints is decreased with the prolongation of aging time. It can be seen that the shear strength of Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint decreases greatly from 23.92 MPa (before thermal aging) to 16.63 MPa (after thermal aging), which decreases by 30.5%. This degradation is related to the Coriolis effect and micro-cracks caused by stress concentration during thermal aging[15]. As shown in Fig.3d, the micro-cracks can be observed at the Cu$_3$Sn/Cu interface after thermal aging for 384 h, resulting in a significant reduction in shear strength. After adding GNSs, the shear strength decrement of composite soldering joints is less. Particularly, when GNS addition is 0.05wt%, the shear strength only decreases by 8.9%. After thermal aging for 96 h, the shear strength tends to be stable. After thermal aging for 384 h, the shear strength is still higher than that of the Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint before aging. These results indicate that the addition of GNSs cannot only greatly improve the shear strength of soldering joints, but also effectively inhibit the decrease in shear strength during the thermal aging process, which is conducive to the improvement in reliability of soldering joints.
In order to further analyze the effect of GNS addition on the shear strength of soldering joints during the thermal aging process, the shear fracture morphologies of the soldering joint are shown in Fig.11. It can be seen from Fig.11 that before thermal aging, the fracture of Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu and Sn2.5Ag0.7Cu0.1RE0.05Ni-0.05GNSs/Cu soldering joints both occurs in the soldering seam zone. The shear fracture of the Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint is composed of parabolic dimples and cleavage steps (Fig.11a), and a small number of IMC particles can also be observed, which belongs to the tough-brittle mixed fracture.
The shear fracture of the Sn2.5Ag0.7Cu0.1RE0.05Ni-0.05GNSs/Cu soldering joint presents the typical parabolic dimples (Fig.11b), and the dimple size is large, which belongs to the ductile fracture. As shown in the inset of Fig.11b, in the dimple root, a translucent crumpled material with a slice diameter of 10–20 μm appears, which is a typical feature of GNSs. It can be inferred that GNSs are distributed in the soldering seam zone or at the interface between soldering seam and interface IMC layer, which can inhibit the growth of IMC particles and the thickening of the interface IMC layer. These results are beneficial to increase the shear strength of composite soldering joints. After thermal aging for 192 h, the shear fracture morphology of Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint shows the parabolic dimples and cleavage plane, and there are large pebble-like pits at the dimple root, which are traces left after the interface IMC grains are pulled out during the shear process. Therefore, the fracture location moves from the soldering seam zone to the soldering seam/IMC layer, which is accompanied by the breakage and fracture of some IMC grains, indicating the brittle fracture. Consequently, the shear strength is greatly reduced.
The shear fracture of the composite soldering joint with 0.05wt% GNS addition after thermal aging for 192 h is composed of parabolic dimples and cleavage planes, as shown in Fig.11d. Compared with the fracture morphology of the soldering joint before thermal aging, the dimple size is reduced, the fracture fluctuation is larger, and no interface
IMC particles can be found. The fracture location is still in the soldering seam zone, and the shear strength is relatively high. This is because the interface IMC layer with 0.05wt% GNS addition only accounts for a small part in the soldering joint, the fracture behavior is controlled by the solder, and the ductile fracture is dominant. However, Sn2.5Ag0.7Cu0.1RE-0.05Ni/Cu soldering joint contains more interface IMCs, the fracture behavior is controlled by IMC, and the brittle fracture mode is dominant\textsuperscript{[36]}.
In conclusion, during the thermal aging process, the fracture position of Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint shifts from the soldering seam zone to the soldering seam/IMC layer, and the shear strength of the soldering joint decreases greatly. The fracture locations of the soldering joint with 0.05wt% GNS addition are all in the soldering seam zone. Ni in the composite solder can hardly be ionized due to strong chemisorption with GNSs, and the surface active GNSs tend to be adsorbed by IMC particles, which inhibits the growth of IMC particles and thus inhibits the significant reduction in shear strength of the soldering joints during thermal aging.
3 Conclusions
1) SnAgCuRE system composite solder reinforced by Ni-GNSs is mainly composed of $\beta$-Sn, Ag$_3$Sn, and a small amount of Cu$_3$Sn$_4$. The addition of Ni-GNSs inhibits the linear expansion of the composite solder, resulting in lattice distortion and dislocation. IMC particles near the dislocation line interact with the dislocation and hinder the dislocation movement, therefore strengthening the composite solder. Then, the composite soldering joint is also strengthened. The interface IMC of the composite soldering joint is pebble-like and rod-like. When GNS addition amount is 0.03wt%–0.07wt%, the thickness of the interface IMC layer is small, and the IMC grains and soldering seam microstructure are refined.
2) The thickness of IMC layer increases during the thermal aging, and Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint has the largest thickness increment. The Cu$_3$Sn IMC layer is obvious, and there are Kirkendall holes and micro-cracks at the IMC layer/Cu interface. The growth coefficients of IMC layer and IMC particles of composite soldering joints decrease significantly when GNS addition amount is 0.03wt% – 0.07wt%, indicating that the growth of interface IMC is effectively inhibited by adding appropriate GNSs.
3) Adding an appropriate amount of GNS can effectively alleviate the decrease in mechanical properties of composite soldering joints during the thermal aging. The shear strength reduction of composite soldering joint with 0.05wt% GNS addition is the minimum of 8.9%. After thermal aging for 384 h, its shear strength is still higher than that of the Sn2.5Ag-0.7Cu0.1RE0.05Ni/Cu soldering joint before thermal aging. The fracture position of Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu soldering joint shifts from the soldering seam zone to the soldering seam/IMC layer, whereas the fracture locations of the soldering joint with 0.05wt% GNS addition are all in the soldering seam zone, which suggests higher shear strength.
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Ni改性GNSs对SnAgCuRE/Cu钎焊接头热老化特性的影响
王悔改\textsuperscript{1,2}，张柯柯\textsuperscript{1,2}，王冰莹\textsuperscript{1}，王要利\textsuperscript{1,2}
(1. 河南科技大学 材料科学与工程学院，河南 洛阳 471023)
(2. 有色金属新材料与先进加工技术省部共建协同创新中心 有色金属共性技术河南省协同创新中心，河南 洛阳 471023)
摘要：以Sn2.5Ag0.7Cu0.1RE0.05Ni无铅钎料合金为研究对象，基于石墨烯纳米片（GNS）独特的结构、优异的物理性能和力学性能，以其为复合钎料的增强相，开展基于Ni改性GNSs（Ni-GNSs）增强SnAgCuRE系复合钎料/Cu的钎焊和钎焊接头热老化试验，探讨Ni-GNSs对复合钎料组织及钎焊接头热老化失效断裂机制的影响。结果表明：Ni-GNSs的加入，抑制了复合钎料的线膨胀，产生晶格畸变；导致位错产生，金属间化合物（IMC）颗粒分布在位错线附近，与位错发生交互作用，阻碍位错运动，强化复合钎料，进而强化复合钎料接头。随着热老化时间延长，钎焊接头界面IMC层厚度增加，剪切强度降低；其中，添加0.05%（质量分数）GNSs的复合钎料接头剪切强度降幅最小，为8.9%，且热老化384h后，其剪切强度仍高于Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu合金接头热老化前的剪切强度。Ni-GNSs的加入，使复合钎料钎焊接头界面IMC的生长系数明显降低，有效缓解了复合钎料/Cu钎焊接头热老化过程中力学性能的降低，进而改变复合钎料/Cu钎焊接头的热老化失效断裂机制，最终影响接头的可靠性。Sn2.5Ag0.7Cu0.1RE0.05Ni/Cu钎焊接头的断裂位置由热老化前的钎缝区向钎缝/界面IMC移动，变为韧脆混合断裂；而添加0.05%（质量分数）GNSs复合钎料接头的断裂位置均在钎缝区，为韧性断裂，钎焊接头可靠性较高。
关键词：Ni-GNSs/SnAgCuRE系复合钎料；界面IMC；钎焊接头；热老化；组织与性能
作者简介：王悔改，女，1980年生，博士，副教授，河南科技大学材料科学与工程学院，河南 洛阳 471023，电话：0379-64231269，E-mail: email@example.com |
V.
On the Flesh of Christ.\textsuperscript{6939}
This was written by our author in confutation of certain heretics who denied the reality of Christ’s flesh, or at least its identity with human flesh—fearing that, if they admitted the reality of Christ’s flesh, they must also admit his resurrection in the flesh; and, consequently, the resurrection of the human body after death.
[Translated by Dr. Holmes.]
Chapter I.—The General Purport of This Work. The Heretics, Marcion, Apelles, and Valentinus, Wishing to Impugn the Doctrine of the Resurrection, Deprive Christ of All Capacity for Such a Change by Denying His Flesh.
They who are so anxious to shake that belief in the resurrection which was firmly settled\textsuperscript{6940} before the appearance of our modern Sadducees,\textsuperscript{6941} as even to deny that the expectation thereof has any relation whatever to the flesh, have great cause for besetting the flesh of Christ also with doubtful questions, as if it either had no existence at all, or possessed a nature altogether different from human flesh. \textit{For they cannot but be apprehensive} that, if it be once determined that \textit{Christ’s flesh} was human, a presumption would immediately arise in opposition to them, that that flesh must by all means rise again, which has already risen in Christ. Therefore we shall have to guard our belief in the resurrection\textsuperscript{6942} from the same armoury, whence they get their weapons of destruction. Let us examine our Lord’s bodily substance, for about His spiritual nature all are agreed.\textsuperscript{6943} It is His flesh that is in
\textsuperscript{6939} In his work \textit{On the Resurrection of the Flesh} (chap. ii.), Tertullian refers to this tract, and calls it “De Carne Domini adversus quatuor hereses”: the four heresies being those of Marcion, Apelles, Basilides, and Valentinus. Pamellius, indeed, designates the tract by this fuller title instead of the usual one, “De Carne Christi.” [This tract contains references to works written while our author was Montanistic, but it contains no positive Montanism. It should not be dated earlier than a.d. 207.]
\textsuperscript{6940} Moratam.
\textsuperscript{6941} The allusion is to Matt. xxii. 23; comp. \textit{De Praeser. Haret.} 33 (Fr. Junius).
\textsuperscript{6942} Tertullian’s phrase is “carnis vota”—the future prospects of the flesh.
\textsuperscript{6943} Certum est.
question. Its verity and quality are the points in dispute. Did it ever exist? whence was it derived? and of what kind was it? If we succeed in demonstrating it, we shall lay down a law for our own resurrection. Marcion, in order that he might deny the flesh of Christ, denied also His nativity, or else he denied His flesh in order that he might deny His nativity; because, of course, he was afraid that His nativity and His flesh bore mutual testimony to each other’s reality, since there is no nativity without flesh, and no flesh without nativity. As if indeed, under the prompting of that licence which is ever the same in all heresy, he too might not very well have either denied the nativity, although admitting the flesh,—like Apelles, who was first a disciple of his, and afterwards an apostate,—or, while admitting both the flesh and the nativity, have interpreted them in a different sense, as did Valentinus, who resembled Apelles both in his discipleship and desertion of Marcion. At all events, he who represented the flesh of Christ to be imaginary was equally able to pass off His nativity as a phantom; so that the virgin’s conception, and pregnancy, and child-bearing, and then the whole course\textsuperscript{6944} of her infant too, would have to be regarded as putative.\textsuperscript{6945} These facts pertaining to the nativity of Christ would escape the notice of the same eyes and the same senses as failed to grasp the full idea\textsuperscript{6946} of His flesh.
\begin{footnotes}
\item[6944] Ordo.
\item[6945] Τῶ δοκεῖν haberentur. This term gave name to the Docetic errors.
\item[6946] Opinio.
\end{footnotes}
Chapter II.—Marcion, Who Would Blot Out the Record of Christ’s Nativity, is Rebuked for So Startling a Heresy.
Clearly enough is the nativity announced by Gabriel.\textsuperscript{6947} But what has he to do with the Creator’s angel?\textsuperscript{6948} The conception in the virgin’s womb is also set plainly before us. But what concern has he with the Creator’s prophet, Isaiah?\textsuperscript{6949} He\textsuperscript{6950} will not brook delay, since \textit{suddenly} (without any prophetic announcement) did he bring down Christ from heaven.\textsuperscript{6951} “Away,” says he, “with that eternal plaguey taxing of Caesar, and the scanty inn, and the squalid swaddling-clothes, and the hard stable.”\textsuperscript{6952} We do not care a jot for\textsuperscript{6953} that multitude of the heavenly host which praised their Lord at night.\textsuperscript{6954} Let the shepherds take better care of their flock,\textsuperscript{6955} and let the wise men spare their legs so long a journey,\textsuperscript{6956} let them keep their gold to themselves.\textsuperscript{6957} Let Herod, too, mend his manners, so that Jeremy may not glory over him.\textsuperscript{6958} Spare also the babe from circumcision, that he may escape the pain thereof; nor let him be brought into the temple, lest he burden his parents with the expense of the offering,\textsuperscript{6959} nor let him be handed to Simeon, lest the old man be saddened at the point of death.\textsuperscript{6960} Let that old woman also hold her tongue, lest she should bewitch the child.\textsuperscript{6961} After such a fashion as this, I suppose you have had, O Marcion, the hardihood of blotting out the original records (of the history) of Christ, that His flesh may lose the proofs of its reality. But, prithee, on what grounds (do you do this)? Show me your authority. If you are a prophet, foretell us a thing; if you are an apostle, open your message in public; if a follower of apostles,\textsuperscript{6962} side with apostles in thought; if you are only a (private) Chris-
\textsuperscript{6947} Luke i. 26–38.
\textsuperscript{6948} This is said in opposition to Marcion, who held the Creator’s angel, and everything else pertaining to him, to be evil.
\textsuperscript{6949} A reference to Isa. vii. 14.
\textsuperscript{6950} Marcion.
\textsuperscript{6951} See also our Anti-Marcion, iv. 7.
\textsuperscript{6952} Luke ii. 1–7.
\textsuperscript{6953} Viderit.
\textsuperscript{6954} Luke ii. 13.
\textsuperscript{6955} Luke ii. 8.
\textsuperscript{6956} Matt. ii. 1.
\textsuperscript{6957} Matt. ii. 11.
\textsuperscript{6958} Matt. ii. 16–24, and Jer. xxxi. 15.
\textsuperscript{6959} Luke ii. 22–24.
\textsuperscript{6960} Luke ii. 25–35.
\textsuperscript{6961} Luke ii. 36–38.
\textsuperscript{6962} Apostolicus.
tian, believe what has been handed down to us: if, however, you are nothing of all this, then (as I have the best reason to say) cease to live.\textsuperscript{6963} For indeed you are already dead, since you are no Christian, because you do not believe that which by being believed makes men Christian,—nay, you are the more dead, the more you are not a Christian; having fallen away, after you had been one, by rejecting\textsuperscript{6964} what you formerly believed, even as you yourself acknowledge in a certain letter of yours, and as your followers do not deny, whilst our (brethren) can prove it.\textsuperscript{6965} Rejecting, therefore, what you \textit{once} believed, you have completed the act of rejection, by now no longer believing: the fact, however, of your having ceased to believe has not made your rejection of the faith right and proper; nay, rather,\textsuperscript{6966} by your act of rejection you prove that what you believed previous to the said act was of a different character.\textsuperscript{6967} What you believed to be of a different character, had been handed down just as \textit{you believed it}. Now\textsuperscript{6968} that which had been handed down was true, inasmuch as it had been transmitted by those whose duty it was to hand it down. Therefore, when rejecting that which had been handed down, you rejected that which was true. You had no authority for what you did. However, we have already in another treatise availed ourselves more fully of these prescriptive rules against all heresies. Our repetition of them hereafter that large (treatise) is superfluous,\textsuperscript{6969} when we ask the reason why you have formed the opinion that Christ was not born.
\begin{footnotes}
\item[6963] Morere.
\item[6964] Rescindendo.
\item[6965] Compare our \textit{Anti-Marcion}, i. 1, iv. 4 and \textit{de Praescr. Haer.} c. xxx.
\item[6966] Atquin.
\item[6967] Altere fuisse.
\item[6968] Porro.
\item[6969] Ex abundanti. [Dr. Holmes, in this sentence actually uses the word \textit{lengthy}, for which I have said \textit{large}.]
\end{footnotes}
Chapter III.—Christ’s Nativity Both Possible and Becoming. The Heretical Opinion of Christ’s Apparent Flesh Deceptive and Dishonourable to God, Even on Marcion’s Principles.
Since\textsuperscript{6970} you think that this lay within the competency of your own arbitrary choice, you must needs have supposed that being born\textsuperscript{6971} was either impossible for God, or unbecoming to Him. With God, however, nothing is impossible but what He does not will. Let us consider, then, whether He willed to be born (for if He had the will, He also had the power, and was born). I put the argument very briefly. If God had willed not to be born, it matters not why, He would not have presented Himself in the likeness of man. Now who, when he sees a man, would deny that he had been born? What God therefore willed not to be, He would in no wise have willed the seeming to be. When a thing is distasteful, the very notion\textsuperscript{6972} of it is scouted; because it makes no difference whether a thing exist or do not exist, if, when it does not exist, it is yet assumed to exist. It is of course of the greatest importance that there should be nothing false (\textit{or pretended}) attributed to that which really does not exist.\textsuperscript{6973} But, say you, His own consciousness (of the truth of His nature) was enough for Him. If any supposed that He had been born, because they saw Him as a man, that was their concern.\textsuperscript{6974} Yet with how much more dignity and consistency would He have sustained the human character on the supposition that He was truly born; \textit{for} if He were not born, He could not have undertaken the said character without injury to that consciousness of His which you on your side attribute to \textit{His} confidence of being able to sustain, although not born, the character of having been born even against! His own consciousness!\textsuperscript{6975} Why, I want to know,\textsuperscript{6976} was it of so much importance, that Christ should, when perfectly aware what He really was, exhibit Himself as being that which He was not? You cannot express any apprehension that,\textsuperscript{6977} if He had been born and truly clothed
\begin{itemize}
\item \textsuperscript{6970} Quatenus.
\item \textsuperscript{6971} Nativitatem.
\item \textsuperscript{6972} Opinio.
\item \textsuperscript{6973} If Christ’s flesh was not real, the pretence of it was wholly wrong.
\item \textsuperscript{6974} Viderint homines.
\item \textsuperscript{6975} It did not much matter (according to the view which Tertullian attributes to Marcion) if God did practise deception in affecting the assumption of a humanity which He knew to be unreal. Men took it to be real, and that answered every purpose. God knew better: and He was moreover, strong enough to obviate all inconveniences of the deception by His unfaltering fortitude, etc. All this, however, seemed to Tertullian to be simply damaging and perilous to the character of God, even from Marcion’s own point of view.
\item \textsuperscript{6976} Edoce.
\item \textsuperscript{6977} Non potes dicere ne, etc.
Himself with man’s nature, He would have ceased to be God, losing what He was, while becoming what He was not. For God is in no danger of losing His own state and condition. But, say you, I deny that God was truly changed to man in such wise as to be born and endued with a body of flesh, on this ground, that a being who is without end is also of necessity incapable of change. For being changed into something else puts an end to the former state. Change, therefore, is not possible to a Being who cannot come to an end. Without doubt, the nature of things which are subject to change is regulated by this law, that they have no permanence in the state which is undergoing change in them, and that they come to an end from thus wanting permanence, whilst they lose that in the process of change which they previously were. But nothing is equal with God; His nature is different\textsuperscript{6978} from the condition of all things. If, then, the things which differ from God, \textit{and} from which God differs, lose what existence they had whilst they are undergoing change, wherein will consist the difference of the Divine Being from all other things except in His possessing the contrary faculty of theirs,—in other words, that God can be changed into all conditions, and yet continue just as He is? On any other supposition, He would be on the same level with those things which, when changed, lose the existence they had before; whose equal, of course, He is not in any other respect, as He certainly is not in the changeful issues\textsuperscript{6979} \textit{of their nature}. You have sometimes read and believed that the Creator’s angels have been changed into human form, and have even borne about so veritable a body, that Abraham even washed their feet,\textsuperscript{6980} and Lot was rescued from the Sodomites by their hands,\textsuperscript{6981} an angel, moreover, wrestled with a man so strenuously with his body, that the latter desired to be let loose, so tightly was he held.\textsuperscript{6982} Has it, then, been permitted to angels, which are inferior to God, after they have been changed into human bodily form,\textsuperscript{6983} nevertheless to remain angels? and will you deprive God, their superior, of this faculty, as if Christ could not continue to be God, after His real assumption of the nature of man? Or else, did those angels appear as phantoms of flesh? You will not, however, have the courage to say this; for if it be so held in your belief, that the Creator’s angels are in the same condition as Christ, then Christ will belong to the same God as those angels do, who are like Christ in their condition. If you had not purposely rejected in some instances, and corrupted in others, the Scriptures which are opposed to your opinion, you would have been confuted in this matter by the Gospel of John, when it
\textsuperscript{6978} Distat.
\textsuperscript{6979} In exitu conversionis.
\textsuperscript{6980} Gen. xviii.
\textsuperscript{6981} Gen. xix.
\textsuperscript{6982} Gen. xxxii.
\textsuperscript{6983} See below in chap. vi. and in the \textit{Anti-Marcion}, iii. 9.
declares that the Spirit descended in the body\textsuperscript{6984} of a dove, and sat upon the Lord.\textsuperscript{6985} When the said Spirit was in this condition, He was as truly a dove as He was also a spirit; nor did He destroy His own proper substance by the assumption of an extraneous substance. But you ask what becomes of the dove’s body, after the return of the Spirit back to heaven, and similarly in the case of the angels. Their withdrawal was effected in the same manner as their appearance had been. If you had seen how their production out of nothing had been effected, you would have known also the process of their return to nothing. If the initial step was out of sight, so was also the final one. Still there was solidity in their bodily substance, whatever may have been the force by which the body became visible. What is written cannot but have been.
\begin{footnotes}
\item[6984] Corpore.
\item[6985] Matt. iii. 16.
\end{footnotes}
Chapter IV.—God’s Honour in the Incarnation of His Son Vindicated. Marcion’s Disparagement of Human Flesh Inconsistent as Well as Impious. Christ Has Cleansed the Flesh. The Foolishness of God is Most Wise.
Since, therefore, you do not reject the assumption of a body\textsuperscript{6986} as impossible or as hazardous to the character of God, it remains for you to repudiate and censure it as unworthy of Him. Come now, beginning from the nativity itself, declaim\textsuperscript{6987} against the uncleanness of the generative elements within the womb, the filthy concretion of fluid and blood, of the growth of the flesh for nine months long out of that very mire. Describe the womb as it enlarges,\textsuperscript{6988} from day to day, heavy, troublesome, restless even in sleep, changeful in its feelings of dislike and desire. Inveigh now likewise against the shame itself of a woman in travail\textsuperscript{6989} which, however, ought rather to be honoured in consideration of that peril, or to be held sacred\textsuperscript{6990} in respect of (the mystery of) nature. Of course you are horrified also at the infant, which is shed into life with the embarrassments which accompany it from the womb,\textsuperscript{6991} you likewise, of course, loathe it even after it is washed, when it is dressed out in its swaddling-clothes, graced with repeated anointing,\textsuperscript{6992} smiled on with nurse’s fawns. This reverend course of nature,\textsuperscript{6993} you, O Marcion, (are pleased to) spit upon; and yet, in what way were you born? You detest a human being at his birth; then after what fashion do you love anybody? Yourself, of course, you had no love of, when you departed from the Church and the faith of Christ. But never mind,\textsuperscript{6994} if you are not on good terms with yourself, or even if you were born in a way different from other people. Christ, at any rate, has loved even that man who was condensed in his mother’s womb amidst all its uncleanesses, even that man who was brought into life out of the said womb, even that man who was nursed amidst the nurse’s simpers.\textsuperscript{6995} For his sake He came down (from heaven), for his sake He preached,
\begin{itemize}
\item Corporationem.
\item Compare similar passages in the \textit{Anti-Marcion}, iii. 1 and iv. 21.
\item Insolecentem.
\item Entitentis.
\item Religiosum.
\item Cum suis impedimentis profusum.
\item Unctionibus formatur.
\item Hanc venerationem naturæ. Compare Tertullian’s phrase, “Illa sanctissima et reverenda opera naturæ,” in the \textit{Anti-Marcion}, iii. 11.
\item Videris.
\item Per ludibria nutritum. Compare the phrase just before, “smiled on with nurse’s fawns”—“blanditiis deridetur.” Oehler, however, compares the phrase with Tertullian’s expression (“puerperii spurcos, anxios, \textit{ludicos exitus},”) in the \textit{Anti-Marcion}, iv. 21.
for his sake “He humbled Himself even unto death—the death of the cross.”\textsuperscript{6996} He loved, of course, the being whom He redeemed at so great a cost. If Christ is the Creator’s Son, it was with justice that He loved His own (creature); if He comes from another god, His love was excessive, since He redeemed a being who belonged to another. Well, then, loving man He loved his nativity also, and his flesh as well. Nothing can be loved apart from that through which whatever exists has its existence. Either take away nativity, and then show us your man; or else withdraw the flesh, and then present to our view the being whom God has redeemed—since it is these very conditions\textsuperscript{6997} which constitute the man whom God has redeemed. And are you for turning these conditions into occasions of blushing to the very creature whom He has redeemed, (censuring them), too, as unworthy of Him who certainly would not have redeemed them had He not loved them? Our birth He reforms from death by a second birth from heaven;\textsuperscript{6998} our flesh He restores from every harassing malady; when leprous, He cleanses it of the stain; when blind, He rekindles its light; when palsied, He renews its strength; when possessed with devils, He exorcises it; when dead, He reanimates it,—then shall we blush to own it? If, to be sure,\textsuperscript{6999} He had chosen to be born of a mere animal, and were to preach the kingdom of heaven invested with the body of a beast either wild or tame, your censure (I imagine) would have instantly met Him with this demurrer: “This is disgraceful for God, and this is unworthy of the Son of God, and simply foolish.” For no other reason than because one thus judges. It \textit{is} of course foolish, if we are to judge God by our own conceptions. But, Marcion, consider well this Scripture, if indeed you have not erased it: “God hath chosen the foolish things of the world, to confound the wise.”\textsuperscript{7000} Now what are those foolish things? Are they the conversion of men to the worship of the true God, the rejection of error, the whole training in righteousness, chastity, mercy, patience, and innocence? These things certainly are not “foolish.” Inquire again, then, of what things he spoke, and when you imagine that you have discovered what they are will you find anything to be so “foolish” as believing in a God that has been born, and that of a virgin, and of a fleshly nature too, who wallowed in all the before-mentioned humiliations of nature? But some one may say, “These are not the foolish things; they must be other things which God has chosen to confound the wisdom of the world.” And yet, according to the world’s wisdom, it is more easy to believe that Jupiter became a bull or a swan, if we listen to Marcion, than that Christ really became a man.
\textsuperscript{6996} Phil. ii. 8.
\textsuperscript{6997} Haec: i.e. man’s \textit{nativity} and his \textit{flesh}.
\textsuperscript{6998} Literally, “by a heavenly regeneration.”
\textsuperscript{6999} Revera. [I cannot let the words which follow, stand in the text; they are sufficiently rendered.]
\textsuperscript{7000} 1 Cor. i. 27.
Chapter V.—Christ Truly Lived and Died in Human Flesh. Incidents of His Human Life on Earth, and Refutation of Marcion’s Docetic Parody of the Same.
There are, to be sure, other things also quite as foolish (as the birth of Christ), which have reference to the humiliations and sufferings of God. Or else, let them call a crucified God “wisdom.” But Marcion will apply the knife\textsuperscript{7001} to this \textit{doctrine} also, and even with greater reason. For which is more unworthy of God, which is more likely to raise a blush of shame, that \textit{God} should be born, or that He should die? that He should bear the flesh, or the cross? be circumcised, or be crucified? be cradled, or be coffined?\textsuperscript{7002} be laid in a manger, or in a tomb? \textit{Talk of “wisdom!”} You will show more of \textit{that} if you refuse to believe this also. But, after all, you will not be “wise” unless you become a “fool” to the world, by believing “the foolish things of God.” Have you, then, cut away\textsuperscript{7003} all sufferings from Christ, on the ground that, as a mere phantom, He was incapable of experiencing them? We have said above that He might possibly have undergone the unreal mockeries\textsuperscript{7004} of an imaginary birth and infancy. But answer me at once, you that murder truth: Was not God really crucified? And, having been really crucified, did He not really die? And, having indeed really died, did He not really rise again? Falsely did Paul\textsuperscript{7005} “determine to know nothing amongst us but Jesus and Him crucified,”\textsuperscript{7006} falsely has he impressed upon us that He was buried; falsely inculcated that He rose again. False, therefore, is our faith also. And all that we hope for from Christ will be a phantom. O thou most infamous of men, who acquittest of all guilt\textsuperscript{7007} the murderers of God! For nothing did Christ suffer from them, if He really suffered nothing at all. Spare the whole world’s one only hope, thou who art destroying the indispensable dishonour of our faith.\textsuperscript{7008} Whatesoever is unworthy of God, is of gain to me. I am safe, if I am not ashamed of my Lord. “Whosoever,” says He, “shall be ashamed of me, of him will I also be ashamed.”\textsuperscript{7009} Other matters for shame find I none which can prove me to be shameless in a good sense, and foolish in a happy one, by my own contempt of shame. The Son of God was crucified; I am not ashamed because men must needs be ashamed \textit{of it}. And the Son of God died; it is by all means to be believed, because it is absurd.\textsuperscript{7010} And He
\begin{itemize}
\item Aufer, Marcion. Literally, “Destroy this also, O Marcion.”
\item Educari an sepeliri.
\item Recidisti.
\item Vacua ludibria.
\item Paul was of great authority in Marcion’s school.
\item \textit{1 Cor. ii. 2.}
\item Excusas.
\item The humiliation which God endured, so indispensable a part of the Christian faith.
\item \textit{Matt. x. 33, Mark viii. 38, and Luke ix. 26.}
\item Ineptum.
was buried, and rose again; the fact is certain, because it is impossible. But how will all this be true in Him, if He was not Himself true—if He really had not in Himself that which might be crucified, might die, might be buried, and might rise again? I mean this flesh suffused with blood, built up with bones, interwoven with nerves, entwined with veins, a flesh which knew how to be born, and how to die, human without doubt, as born of a human being. It will therefore be mortal in Christ, because Christ is man and the Son of man. Else why is Christ man and the Son of man, if he has nothing of man, and nothing from man? Unless it be either that man is anything else than flesh, or man’s flesh comes from any other source than man, or Mary is anything else than a human being, or Marcion’s man is as Marcion’s god.\footnote{That is, imaginary and unreal.} Otherwise Christ could not be described as being man without flesh, nor the Son of man without any human parent; just as He is not God without the Spirit of God, nor the Son of God without having God for His father. Thus the nature\footnote{Census: “the origin.”} of the two substances displayed Him as man and God,—in one respect born, in the other unborn; in one respect fleshy, in the other spiritual; in one sense weak, in the other exceeding strong; in one sense dying, in the other living. This property of the two states—the divine and the human—is distinctly asserted\footnote{Dispuncta est.} with equal truth of both natures alike, with the same belief both in respect of the Spirit\footnote{This term is almost a technical designation of the \textit{divine nature} of Christ in Tertullian. (See our translation of the \textit{Anti-Marcion}, p. 247, note 7, Edin.)} and of the flesh. The powers of the Spirit,\footnote{This term is almost a technical designation of the \textit{divine nature} of Christ in Tertullian. (See our translation of the \textit{Anti-Marcion}, p. 247, note 7, Edin.)} proved Him to be God, His sufferings attested the flesh of man. If His powers were not without the Spirit\footnote{This term is almost a technical designation of the \textit{divine nature} of Christ in Tertullian. (See our translation of the \textit{Anti-Marcion}, p. 247, note 7, Edin.)} in like manner, were not His sufferings without the flesh. If His flesh with its sufferings was fictitious, for the same reason was the Spirit false with all its powers. Wherefore halve\footnote{Dimidias.} Christ with a lie? He was wholly the truth. Believe me, He chose rather to be born, than in any part to pretend—and that indeed to His own detriment—that He was bearing about a flesh hardened without bones, solid without muscles, bloody without blood, clothed without the tunic of skin,\footnote{See his \textit{Adv. Valentin}, chap. 25.} hungry without appetite, eating without teeth, speaking without a tongue, so that His word was a phantom to the ears through an imaginary voice. A phantom, too, it was of course after the resurrection, when, showing His hands and His feet for the
disciples to examine, He said, “Behold and see that it is I myself, for a spirit hath not flesh and bones, as ye see me have,”\textsuperscript{7019} without doubt, hands, and feet, and bones are not what a spirit possesses, but \textit{only} the flesh. How do you interpret this statement, Marcion, you who tell us that Jesus comes only from the most excellent God, who is both simple and good? See how He \textit{rather} cheats, and deceives, and juggles the eyes of all, and the senses of all, as well as their access to and contact with Him! You ought rather to have brought Christ down, not from heaven, but from some troop of mountebanks, not as God besides man, but simply as a man, a magician; not as the High Priest of our salvation, but as the conjurer in a show; not as the raiser of the dead, but as the misleader\textsuperscript{7020} of the living,—except that, if He were a magician, He must have had a nativity!
\begin{footnotes}
\item[7019] Luke xxiv. 39.
\item[7020] Avocatorem.
\end{footnotes}
Chapter VI.—The Doctrine of Apelles Refuted, that Christ’s Body Was of Sidereal Substance, Not Born. Nativity and Mortality are Correlative Circumstances, and in Christ’s Case His Death Proves His Birth.
But certain disciples\textsuperscript{7021} of the heretic of Pontus, compelled to be wiser than their teacher, concede to Christ real flesh, without effect, however, on\textsuperscript{7022} their denial of His nativity. He might have had, they say, a flesh which was not at all born. So we have found our way “out of a frying-pan,” as the proverb runs, “into the fire,”\textsuperscript{7023}—from Marcion to Apelles. This man having first fallen from the principles of Marcion into (intercourse with) a woman, in the flesh, and afterwards shipwrecked himself, in the spirit, on the virgin Philumene,\textsuperscript{7024} proceeded from that \textit{time}\textsuperscript{7025} to preach that the body of Christ was of solid flesh, but without having been born. To this angel, indeed, of Philumene, the apostle will reply in tones like those in which he even then predicted him, saying, “Although an angel from heaven preach any other gospel unto you than that which we have preached unto you, let him be accursed.”\textsuperscript{7026} To the arguments, however, which have been indicated just above, we have now to show our resistance. They allow that Christ really had a body. Whence was the material of it, if not from the same sort of thing as\textsuperscript{7027} that in which He appeared? Whence came His body, if His body were not flesh? Whence came His flesh, if it were not born? Inasmuch as that which is born must undergo this nativity in order to become flesh. He borrowed, they say, His flesh from the stars, and from the substances of the higher world. And they assert it for a certain principle, that a body without nativity is nothing to be astonished at, because it has been submitted to angels to appear even amongst ourselves in the flesh without the intervention of the womb. We admit, of course, that such facts have been related. But then, how comes it to pass that a faith which holds to a different rule borrows materials for its own arguments from the faith which it impugns? What has it to do with Moses, who has rejected the God of Moses? Since the God is a different one, everything belonging to him must be different also. But let the heretics always use the Scriptures of that God whose world they also enjoy. The fact will certainly recoil on them as a witness to judge them, that they maintain their own blasphemies from examples derived from Him.\textsuperscript{7028}
\begin{itemize}
\item \textsuperscript{7021} He has Appelles mainly in view.
\item \textsuperscript{7022} Sine prejudicio tamen. “Without prejudice to their denial, etc.”
\item \textsuperscript{7023} The Roman version of the proverb is “out of the lime-kiln into the coal-furnace.”
\item \textsuperscript{7024} See Tertullian, \textit{de Praescr. Haeret.} c. xxx.
\item \textsuperscript{7025} Ab eo: or, “from that event of the carnal contact.” A good reading, found in most of the old books, is \textit{ab ea}, that is, Philumene.
\item \textsuperscript{7026} \textit{Gal. i. 8.}
\item \textsuperscript{7027} Ex ea qualitate in qua.
\item \textsuperscript{7028} Ipsius: the Creator.
But it is an easy task for the truth to prevail without raising any such demurrer against them. When, therefore, they set forth the flesh of Christ after the pattern of the angels, declaring it to be not born, and yet flesh for all that, I should wish them to compare the causes, both in Christ’s case and that of the angels, wherefore they came in the flesh. Never did any angel descend for the purpose of being crucified, of tasting death, and of rising again from the dead. Now, since there never was such a reason for angels becoming embodied, you have the cause why they assumed flesh without undergoing birth. They had not come to die, therefore they also (came not) to be born. Christ, however, having been sent to die, had necessarily to be also born, that He might be capable of death; for nothing is in the habit of dying but that which is born. Between nativity and mortality there is a mutual contrast. The law, which makes us die is the cause of our being born. Now, since Christ died owing to the condition which undergoes death, but that undergoes death which is also born, the consequence was—nay, it was an antecedent necessity—that He must have been born also, by reason of the condition which undergoes birth; because He had to die in obedience to that very condition which, because it begins with birth, ends in death. It was not fitting for Him not to be born under the pretence that it was fitting for Him to die. But the Lord Himself at that very time appeared to Abraham amongst those angels without being born, and yet in the flesh without doubt, in virtue of the before-mentioned diversity of cause. You, however, cannot admit this, since you do not receive that Christ, who was even then rehearsing how to converse with, and liberate, and judge the human race, in the habit of a flesh which as yet was not born, because it did not yet mean to die until both its nativity and mortality were previously (by prophecy) announced. Let them, then, prove to us that those angels derived their flesh from the stars. If they do not prove it because it is not written, neither will the flesh of Christ get its origin therefrom, for which they borrowed the precedent of the angels. It is plain that the angels bore a flesh which was not naturally their own; their nature being of a spiritual substance, although in some sense peculiar to themselves, corporeal; and yet they could be transfigured into human shape, and for the time be able to appear and have intercourse with men. Since, therefore, it has not been told us whence they obtained their flesh, it remains for us not to doubt in our minds that a property of angelic power is this, to assume to themselves bodily shape out of no material substance. How much more, you say, is it (within their competence to take a body) out of
---
7029 Forma.
7030 Æque.
7031 Quod, quia nascitur, moritur.
7032 Pro.
7033 Ediscebat. Compare a fine passage of Tertullian on this subject in our Anti-Marcion, note 10, p. 112, Edin.
some material substance? That is true enough. But there is no evidence of this, because Scripture says nothing. Then, again,\textsuperscript{7034} how should they who are able to form themselves into that which by nature they are not, be unable to do this out of no material substance? If they become that which they are not, why cannot they so become out of that which is not? But that which has not existence when it comes into existence, is \textit{made} out of nothing. This is why it is unnecessary either to inquire or to demonstrate what has subsequently become of their\textsuperscript{7035} bodies. What came out of nothing, came to nothing. They, who were able to convert \textit{themselves} into flesh have it in their power to convert \textit{nothing itself} into flesh. It is a greater thing to change a nature than to make matter. But even if it were necessary \textit{to suppose} that angels derived their flesh from some material substance, it is surely more credible that it was from some earthly matter than from any kind of celestial substances, since it was composed of so palpably terrene a quality that it fed on earthly aliments. Suppose that even now a celestial \textit{flesh}\textsuperscript{7036} had fed on earthly aliments, although it was not itself earthly, in the same way that earthly flesh actually fed on celestial aliments, although it had nothing of the celestial nature (for we read of manna having been food for the people: “Man,” says \textit{the Psalmist}, “did eat angels’ bread,”\textsuperscript{7037}) yet this does not once infringe the separate condition of the Lord’s flesh, because of His different destination. For One who was to be truly a man, even unto death, it was necessary that He should be clothed with that flesh to which death belongs. Now that \textit{flesh} to which death belongs is preceded by birth.
\begin{footnotes}
\item Ceterum.
\item The angels’.
\item Sidera. Drawn, as they thought, from the stars.
\item Ps. lxxviii. 24.
\end{footnotes}
Chapter VII.—Explanation of the Lord’s Question About His Mother and His Brethren. Answer to the Cavils of Apelles and Marcion, Who Support Their Denial of Christ’s Nativity by It.
But whenever a dispute arises about the nativity, all who reject it as creating a presumption in favour of the reality of Christ’s flesh, wilfully deny that God Himself was born, on the ground that He asked, “Who is my mother, and who are my brethren?”\textsuperscript{7038} Let, therefore, Apelles hear what was our answer to Marcion in that little work, in which we challenged his own (favourite) gospel to the proof, even that the material circumstances of that remark (of the Lord’s) should be considered.\textsuperscript{7039} First of all, nobody would have told Him that His mother and brethren were standing outside, if he were not certain both that He had a mother and brethren, and that they were the very persons whom he was then announcing,—who had either been known to him before, or were then and there discovered by him; although heretics\textsuperscript{7040} have removed this passage from the gospel, because those who were admiring His doctrine said that His supposed father, Joseph the carpenter, and His mother Mary, and His brethren, and His sisters, were very well known to them. But it was with the view of tempting Him, that they had mentioned to Him a mother and brethren which He did not possess. The Scripture says nothing of this, although it is not in other instances silent when anything was done against Him by way of temptation. “Behold,” it says, “a certain lawyer stood up, and tempted Him.”\textsuperscript{7041} And in another passage: “The Pharisees also came unto Him, tempting Him.” Who\textsuperscript{7042} was to prevent its being in this place also indicated that this was done with the view of tempting Him? I do not admit what you advance of your own apart from Scripture. Then there ought to be suggested\textsuperscript{7043} some occasion\textsuperscript{7044} for the temptation. What could they have thought to be in Him which required temptation? The question, to be sure, whether He had been born or not? For if this point were denied in His answer, it might come out on the announcement of a temptation. And yet no temptation, when aiming at the discovery of the point which prompts the temptation by its doubtfulness, falls upon one so abruptly, as not to be preceded by the question which compels the temptation whilst raising the doubt. Now, since the nativity of Christ had never come into question, how can you contend that they meant by their temptation to inquire about
\textsuperscript{7038} Matt. xii. 48; Luke viii. 20, 21.
\textsuperscript{7039} See our Anti-Marcion, iv. 19.
\textsuperscript{7040} Literally, “heresies.”
\textsuperscript{7041} Luke x. 25.
\textsuperscript{7042} Literally, “nobody prevented its being, etc.”
\textsuperscript{7043} Subsesse.
\textsuperscript{7044} Materia.
a point on which they had never raised a doubt? Besides, if He had to be tempted about His birth, this of course was not the proper way of doing it,—by announcing those persons who, even on the supposition of His birth, might possibly not have been in existence. We have all been born, and yet all of us have not either brothers or mother. He might with more probability have had even a father than a mother, and uncles more likely than brothers. Thus is the temptation about His birth unsuitable, for it might have been contrived without any mention of either His mother or His brethren. It is clearly more credible that, being certain that He had both a mother and brothers, they tested His divinity rather than His nativity, whether, when within, He knew what was without; being tried by the untrue announcement of the presence of persons who were not present. But the artifice of a temptation might have been thwarted thus: it might have happened that He knew that those whom they were announcing to be “standing without,” were in fact absent by the stress either of sickness, or of business, or a journey which He was at the time aware of. No one tempts (another) in a way in which he knows that he may have himself to bear the shame of the temptation. There being, then, no suitable occasion for a temptation, the announcement that His mother and His brethren had actually turned up recovers its naturalness. But there is some ground for thinking that Christ’s answer denies His mother and brethren for the present, as even Apelles might learn. “The Lord’s brethren had not yet believed in Him.” So is it contained in the Gospel which was published before Marcion’s time; whilst there is at the same time a want of evidence of His mother’s adherence to Him, although the Marthas and the other Marys were in constant attendance on Him. In this very passage indeed, their unbelief is evident. Jesus was teaching the way of life, preaching the kingdom of God and actively engaged in healing infirmities of body and soul; but all the while, whilst strangers were intent on Him, His very nearest relatives were absent. By and by they turn up, and keep outside; but they do not go in, because, forsooth, they set small store on that which was doing within; nor do they even wait, as if they had something which they could contribute more necessary than that which He was so earnestly doing; but they prefer to interrupt Him, and wish to call Him away from His great work. Now, I ask you, Apelles, or will you Marcion, please (to tell me), if you happened to be at a stage play, or had laid a wager on a foot race or a chariot race, and were called away by such a message, would you not have exclaimed, “What are mother and brothers to me?” Literally, “Who is my mother, and who are my brethren?”—Christ’s own words.
did not Christ, whilst preaching and manifesting God, fulfilling the law and the prophets, and scattering the darkness of the long preceding age, justly employ this same form of words, in order to strike the unbelief of those who stood outside, or to shake off the importunity of those who would call Him away from His work? If, however, He had meant to deny His own nativity, He would have found place, time, and means for expressing Himself very differently, and not in words which might be uttered by one who had both a mother and brothers. When denying one’s parents in indignation, one does not deny their existence, but censures their faults. Besides, He gave others the preference; and since He shows their title to this favour—even because they listened to the word (of God)—He points out in what sense He denied His mother and His brethren. For in whatever sense He adopted as His own those who adhered to Him, in that did He deny as His those who kept aloof from Him. Christ also is wont to do to the utmost that which He enjoins on others. How strange, then, would it certainly have been, if, while he was teaching others not to esteem mother, or father, or brothers, as highly as the word of God, He were Himself to leave the word of God as soon as His mother and brethren were announced to Him! He denied His parents, then, in the sense in which He has taught us to deny ours—for God’s work. But there is also another view of the case: in the abjured mother there is a figure of the synagogue, as well as of the Jews in the unbelieving brethren. In their person Israel remained outside, whilst the new disciples who kept close to Christ within, hearing and believing, represented the Church, which He called mother in a preferable sense and a worthier brotherhood, with the repudiation of the carnal relationship. It was in just the same sense, indeed, that He also replied to that exclamation (of a certain woman), not denying His mother’s “womb and paps,” but designating those as more “blessed who hear the word of God.”
---
7052 The *alias* is a genitive, and must be taken with *sermonis*.
7053 Abnegavit: “repudiated.”
7054 Force of the indicative *quale erat*.
7055 Luke xi. 27, 28. See also our Anti-Marcion, p. 292, Edin.
Chapter VIII.—Apelles and His Followers, Displeased with Our Earthly Bodies, Attributed to Christ a Body of a Purer Sort. How Christ Was Heavenly Even in His Earthly Flesh.
These passages alone, in which Apelles and Marcion seem to place their chief reliance when interpreted according to the truth of the entire uncorrupted gospel, ought to have been sufficient for proving the human flesh of Christ by a defence of His birth. But since Apelles’ precious set\textsuperscript{7056} lay a very great stress on the shameful condition\textsuperscript{7057} of the flesh, which they will have to have been furnished with souls tampered with by the fiery author of evil,\textsuperscript{7058} and so unworthy of Christ; and because they on that account suppose that a sidereal substance is suitable for Him, I am bound to refute them on their own ground. They mention a certain angel of great renown as having created this world of ours, and as having, after the creation, repented of his work. This indeed we have treated of in a passage by itself; for we have written a little work in opposition to them, \textit{on the question} whether one who had the spirit, and will, and power of Christ for such operations, could have done anything which required repentance, since they describe the \textit{said} angel by the figure of “the lost sheep.” The world, then, must be a wrong thing,\textsuperscript{7059} according to the evidence of its Creator’s repentance; for all repentance is the admission of fault, nor has it indeed any existence except through fault. Now, if the world\textsuperscript{7060} is a fault, as is the body, such must be its parts—faulty too; so in like manner must be the heaven and its celestial (contents), and everything which is conceived and produced out of it. And “a corrupt tree must needs bring forth evil fruit.”\textsuperscript{7061} The flesh of Christ, therefore, if composed of celestial elements, consists of faulty materials, sinful by reason of its sinful origin,\textsuperscript{7062} so that it must be a part of that substance which they disdain to clothe Christ with, because of its sinfulness,—in other words, our own. Then, as there is no difference in the point of ignominy, let them either devise for Christ some substance of a purer stamp, since they are displeased with our own, or else let them recognise this too, than which even a heavenly substance could not have been better. We read in so many words,\textsuperscript{7063} “The first man is of the earth, earthly; the second man is the Lord from heaven.”\textsuperscript{7064} This passage, however, has nothing to do with any difference of substance; it
\begin{itemize}
\item \textsuperscript{7056} Isti Apelleiaci.
\item \textsuperscript{7057} Ignominiam.
\item \textsuperscript{7058} Ab igneo illo præside mali: see Tertullian’s \textit{de Anima}. xxiii.; \textit{de Resur. Carn.} v.; \textit{Adv. Omnes Haeres.} vi.
\item \textsuperscript{7059} Peccatum.
\item \textsuperscript{7060} Mundus is here the universe or entire creation.
\item \textsuperscript{7061} Matt. vii. 17.
\item \textsuperscript{7062} Censu.
\item \textsuperscript{7063} Plane.
\item \textsuperscript{7064} 1 Cor. xv. 47.
only contrasts with the once\textsuperscript{7065} “earthy” substance of the flesh of the first man, Adam, the “heavenly” substance of the spirit of the second man, Christ. And so entirely does the passage refer the celestial man to the spirit and not to the flesh, that those whom it compares to Him evidently become celestial—by the Spirit, of course—even in this “earthy flesh.” Now, since Christ is heavenly even in regard to the flesh, they could not be compared to Him, who are not heavenly in reference to their flesh.\textsuperscript{7066} If, then, they who become heavenly, as Christ also was, carry about an “earthy” substance of flesh, the conclusion which is affirmed by this fact is, that Christ Himself also was heavenly, but in an “earthy” flesh, even as they are who are put on a level with Him.\textsuperscript{7067}
\begin{footnotes}
\item[7065] Retro.
\item[7066] Secundum carnem.
\item[7067] Ei adæquantur.
\end{footnotes}
Chapter IX.—Christ’s Flesh Perfectly Natural, Like Our Own. None of the Supernatural Features Which the Heretics Ascribed to It Discoverable, on a Careful View.
We have thus far gone on the principle, that nothing which is derived from some other thing, however different it may be from that from which it is derived, is so different as not to suggest the source from which it comes. No material substance is without the witness of its own original, however great a change into new properties it may have undergone. There is this very body of ours, the formation of which out of the dust of the ground is a truth which has found its way into Gentile fables; it certainly testifies its own origin from the two elements of earth and water,—from the former by its flesh, from the latter by its blood. Now, although there is a difference in the appearance of qualities (in other words, that which proceeds from something else is in development\textsuperscript{7068} different), yet, after all, what is blood but red fluid? what is flesh but earth in an especial\textsuperscript{7069} form? Consider the respective qualities,—of the muscles as clods; of the bones as stones; the mammillary glands as a kind of pebbles. Look upon the close junctions of the nerves as propagations of roots, and the branching courses of the veins as winding rivulets, and the down (which covers us) as moss, and the hair as grass, and the very treasures of marrow within our bones as ores\textsuperscript{7070} of flesh. All these marks of the earthy origin were in Christ; and it is they which obscured Him as the Son of God, for He was looked on as man, for no other reason whatever than because He existed in the corporeal substance of a man. Or else, show us some celestial substance in Him purloined from the Bear, and the Pleiades, and the Hyades. Well, then, \textit{the characteristics} which we have enumerated are so many proofs that His was an earthly flesh, as ours is; but anything new or anything strange I do not discover. Indeed it was from His words and actions only, from His teaching and miracles solely, that men, though amazed, owned Christ to be man.\textsuperscript{7071} But if there had been in Him any new kind of flesh miraculously obtained (from the stars), it would have been certainly well known.\textsuperscript{7072} As the case stood, however, it was actually the ordinary\textsuperscript{7073} condition of His terrene flesh which made all things else about Him wonderful, as when they said, “Whence hath this man this wisdom and these mighty works?”\textsuperscript{7074} Thus spake even they who despised His outward form. His body did not reach even to human beauty, to say nothing of heavenly glory.\textsuperscript{7075} Had the
\begin{itemize}
\item \textsuperscript{7068} Fit.
\item \textsuperscript{7069} Sua.
\item \textsuperscript{7070} Metalla.
\item \textsuperscript{7071} Christum hominem obstupescebant.
\item \textsuperscript{7072} Notaretur.
\item \textsuperscript{7073} Non mira.
\item \textsuperscript{7074} Matt. xiii. 54.
\item \textsuperscript{7075} Compare Isa. liii. 2. See also our Anti-Marcion, p. 153, Edin.
prophets given us no information whatever concerning His ignoble appearance, His very sufferings and the very contumely He endured bespeak it all. The sufferings attested His human flesh, the contumely proved its abject condition. Would any man have dared to touch even with his little finger, the body of Christ, if it had been of an unusual nature; or to smear His face with spitting, if it had not invited it (by its abjectness)? Why talk of a heavenly flesh, when you have no grounds to offer us for your celestial theory? Why deny it to be earthy, when you have the best of reasons for knowing it to be earthy? He hungered under the devil’s temptation; He thirsted with the woman of Samaria; He wept over Lazarus; He trembles at death (for “the flesh,” as He says, “is weak”); at last, He pours out His blood. These, I suppose, are celestial marks? But how, I ask, could He have incurred contempt and suffering in the way I have described, if there had beamed forth in that flesh of His aught of celestial excellence? From this, therefore, we have a convincing proof that in it there was nothing of heaven, because it must be capable of contempt and suffering.
---
7076 Novum: made of the stars.
7077 Merentem.
7078 Literally, “why do you suppose it to be celestial.”
7079 Matt. xxvi. 41.
Chapter X.—Another Class of Heretics Refuted. They Alleged that Christ’s Flesh Was of a Finer Texture, Animalis, Composed of Soul.
I now turn to another class, who are equally wise in their own conceit. They affirm that the flesh of Christ is composed of soul,\textsuperscript{7080} that His soul became flesh, so that His flesh is soul; and as His flesh is of soul, so is His soul of flesh. But here, again, I must have some reasons. If, in order to save the soul, Christ took a soul within Himself, because it could not be saved except by Him having it within Himself, I see no reason why, in clothing Himself with flesh, He should have made that flesh one of soul,\textsuperscript{7081} as if He could not have saved the soul in any other way than by making flesh of it. For while He saves \textit{our} souls, which are not only not of flesh,\textsuperscript{7082} but are even distinct from flesh, how much more able was He to secure salvation to that soul which He took Himself, when it was also not of flesh? Again, since they assume it as a main tenet,\textsuperscript{7083} that Christ came forth not to deliver the flesh, but only our soul, how absurd it is, in the first place, that, meaning to save only the soul, He yet made it into just that sort of bodily substance which He had no intention of saving! And, secondly, if He had undertaken to deliver our souls by means of that which He carried, He ought, in that soul which He carried to have carried our \textit{soul}, one (that is) of the same condition as ours; and whatever is the condition of our soul in its secret nature, it is certainly not one of flesh. However, it was not our soul which He saved, if His own was of flesh; for ours is not of flesh. Now, if He did not save our soul on the ground, that it was a soul of flesh which He saved, He is nothing to us, because He has not saved our soul. Nor indeed did it need salvation, for it was not our soul really, since it was, on the supposition,\textsuperscript{7084} a soul of flesh. But yet it is evident that it has been saved. Of flesh, therefore, it was not composed, and it was ours; for it was our \textit{soul} that was saved, since that was in peril of \textit{damnation}. We therefore now conclude that as in Christ the soul was not of flesh, so neither could His flesh have possibly been composed of soul.
\textsuperscript{7080} Animalem: "etherialized; of a finer form, differing from gross, earthy matter" (Neander).
\textsuperscript{7081} Animalem.
\textsuperscript{7082} Non carneas.
\textsuperscript{7083} Praesumant.
\textsuperscript{7084} Scilicet.
Chapter XI.—The Opposite Extravagance Exposed. That is Christ with a Soul Composed of Flesh—Corporeal, Though Invisible. Christ’s Soul, Like Ours, Distinct from Flesh, Though Clothed in It.
But we meet another argument of theirs, when we raise the question why Christ, in assuming a flesh composed of soul, should seem to have had a soul that was made of flesh? For God, they say, desired to make the soul visible to men, by enduing it with a bodily nature, although it was before invisible; of its own nature, indeed, it was incapable of seeing anything, even its own self, by reason of the obstacle of this flesh, so that it was even a matter of doubt whether it was born or not. The soul, therefore (they further say), was made corporeal in Christ, in order that we might see it when undergoing birth, and death, and (what is more) resurrection. But yet, how was this possible, that by means of the flesh the soul should demonstrate itself\textsuperscript{7085} to itself or to us, when it could not possibly be ascertained that it would offer this mode of exhibiting itself by the flesh, until the thing came into existence to which it was unknown,\textsuperscript{7086} that is to say, the flesh? It received darkness, forsooth, in order to be able to shine! Now,\textsuperscript{7087} let us first turn our attention to this point, whether it was requisite that the soul should exhibit itself in the manner contended for;\textsuperscript{7088} and next \textit{consider} whether their previous position be\textsuperscript{7089} that the soul is wholly invisible (inquiring further) whether this invisibility is the result of its incorporeality, or whether it actually possesses some sort of body peculiar to itself. And yet, although they say that it is invisible, they determine it to be corporeal, but having somewhat that is invisible. For if it has nothing invisible how can it be said to be invisible? But even its existence is an impossibility, unless it has that which is instrumental to its existence.\textsuperscript{7090} Since, however, it exists, it must needs have a something through which it exists. If it has this something, it must be its body. Everything which exists is a bodily existence \textit{sui generis}. Nothing lacks bodily existence but that which is non-existent. If, then, the soul has an invisible body, He who had proposed to make it\textsuperscript{7091} visible would certainly have done His work better\textsuperscript{7092} if He had made that part of it which was accounted invisible, visible; because then there would have been no untruth or weakness in the case, and neither of these flaws is suitable to God. (But as the case stands in the hypo-
\begin{itemize}
\item \textsuperscript{7085} Demonstraretur: or, "should become apparent."
\item \textsuperscript{7086} Cui latetabat.
\item \textsuperscript{7087} Denique.
\item \textsuperscript{7088} Isto modo.
\item \textsuperscript{7089} An retro allegent.
\item \textsuperscript{7090} Per quod sit.
\item \textsuperscript{7091} Eam: the soul.
\item \textsuperscript{7092} Dignius: i.e., "in a manner more worthy of Himself."
thesis) there is untruth, since He has set forth the soul as being a different thing from what it really is; and there is weakness, since He was unable to make it appear\textsuperscript{7093} to be that which it is. No one who wishes to exhibit a man covers him with a veil\textsuperscript{7094} or a mask. This, however, is precisely what has been done to the soul, if it has been clothed with a covering belonging to something else, by being converted into flesh. But even if the soul is, on their hypothesis, supposed\textsuperscript{7095} to be incorporeal, so that the soul, whatever it is, should by some mysterious force of the reason,\textsuperscript{7096} be quite unknown, only not be a body, then in that case it were not beyond the power of God—indeed it would be more consistent with His plan—if He displayed\textsuperscript{7097} the soul in some new sort of body, different from that which we all have in common, one of which we should have quite a different notion,\textsuperscript{7098} (being spared the idea that)\textsuperscript{7099} He had set His mind on\textsuperscript{7100} making, without an adequate cause, a visible soul instead of\textsuperscript{7101} an invisible one—a fit incentive, no doubt, for such questions as they start\textsuperscript{7102} by their maintenance of a human flesh for it.\textsuperscript{7103} Christ, however, could not have appeared among men except as a man. Restore, therefore, to Christ, His faith; believe that He who willed to walk the earth as a man exhibited even a soul of a thoroughly human condition, not making it of flesh, but clothing it with flesh.
\begin{itemize}
\item [7093] Demonstrare.
\item [7094] Cassidem.
\item [7095] Deputetur.
\item [7096] Aliqua vi rationis: or, "by some power of its own condition."
\item [7097] Demonstrare.
\item [7098] Notitiae.
\item [7099] Ne.
\item [7100] Gestisset.
\item [7101] Ex.
\item [7102] Istitis.
\item [7103] In illam: perhaps "in it," as if an ablative case, not an unusual construction in Tertullian.
Chapter XII.—The True Functions of the Soul. Christ Assumed It in His Perfect Human Nature, Not to Reveal and Explain It, But to Save It. Its Resurrection with the Body Assured by Christ.
Well, now, let it be granted that the soul is made apparent by the flesh,\footnote{7104} on the assumption that it was evidently necessary\footnote{7105} that it should be made apparent in some way or other, that is, as being incognizable to itself and to us: there is still an absurd distinction in this \textit{hypothesis}, which implies that we are ourselves separate from our soul, when all that we are is soul. Indeed,\footnote{7106} without the soul we are nothing; there is not even the name of a human being, only that of a carcass. If, then, we are ignorant of the soul, it is in fact the soul that is ignorant of itself. Thus the only remaining question left for us to look into is, whether the soul was in this matter so ignorant of itself that it became known in any way it could.\footnote{7107} The soul, in my opinion,\footnote{7108} is sensual.\footnote{7109} Nothing, therefore, pertaining to the soul is unconnected with sense,\footnote{7110} nothing pertaining to sense is unconnected with the soul.\footnote{7111} And if I may use the expression for the sake of emphasis, I would say, “\textit{Animae anima sensus est}”—“Sense is the soul’s very soul.” Now, since it is the soul that imparts the faculty of perception\footnote{7112} to all (that have sense), and since it is itself that perceives the very senses, not to say properties, of them all, how is it likely that it did not itself receive sense as its own natural constitution? Whence is it to know what is necessary for itself under given circumstances, from the very necessity of natural causes, if it knows not its own property, and what is necessary for it? To recognise this indeed is within the competence of every soul; it has, I mean, a practical knowledge of itself, without which knowledge of itself no soul could possibly have exercised its own functions.\footnote{7113} I suppose, too, that it is especially suitable that man, the only rational animal, should have been furnished with such a soul as would make him the rational animal, itself being pre-eminently rational. Now, how can that soul which makes man a rational animal be itself rational if it be itself ignorant of its ration-
\begin{itemize}
\item \textit{Ostensa sit.}
\item \textit{Si constiterit.}
\item \textit{Denique.}
\item \textit{Quoquo modo.}
\item \textit{Opinor.}
\item \textit{Sensualis: endowed with sense.}
\item \textit{Nihil animale sine sensu.}
\item \textit{Nihil sensuale sine anima.}
\item We should have been glad of a shorter phrase for \textit{sentire} (“to use sense”), had the whole course of the passage permitted it.
\item \textit{Se ministrare.}
ality, being ignorant of its own very self? So far, however, is it from being ignorant, that it knows its own Author, its own Master, and its own condition. Before it learns anything about God, it names the name of God. Before it acquires any knowledge of His judgment, it professes to commend itself to God. There is nothing one oftener hears of than that there is no hope after death; and yet what imprecations or deprecations does not the soul use according as the man dies after a well or ill spent life! These reflections are more fully pursued in a short treatise which we have written, “On the Testimony of the Soul.”\textsuperscript{7114} Besides, if the soul was ignorant of itself from the beginning, there is nothing it could\textsuperscript{7115} have learnt of Christ except its own quality.\textsuperscript{7116} It was not its own form that it learnt of Christ, but its salvation. For this cause did the Son of God descend and take on Him a soul, not that the soul might discover itself in Christ, but Christ in itself. For its salvation is endangered, not by its being ignorant of itself, but of the word of God. “The life,” says He, “was manifested,”\textsuperscript{7117} not the soul. And again, “I am come to save the soul.” He did not say, “to explain”\textsuperscript{7118} it. We could not know, of course,\textsuperscript{7119} that the soul, although an invisible essence, is born and dies, unless it were exhibited corporeally. We certainly were ignorant that it was to rise again with the flesh. This is the truth which it will be found was manifested by Christ. But even this He did not manifest in Himself in a different way than in some Lazarus, whose flesh was no more composed of soul\textsuperscript{7120} than his soul was of flesh.\textsuperscript{7121} What further knowledge, therefore, have we received of the structure\textsuperscript{7122} of the soul which we were ignorant of before? What invisible part was there belonging to it which wanted to be made visible by the flesh?
\begin{footnotes}
\item[7114] See especially chap. iv. \textit{supra}.
\item[7115] Deburat.
\item[7116] Nisi qualis esset.
\item[7117] 1 John i. 2.
\item[7118] Ostendere; see Luke ix. 56.
\item[7119] Nimirum.
\item[7120] Animalis.
\item[7121] Carnalis.
\item[7122] Dispositione.
\end{footnotes}
Chapter XIII.—Christ’s Human Nature. The Flesh and the Soul Both Fully and Unconfusedly Contained in It.
The soul became flesh that the soul might become visible.\textsuperscript{7123} Well, then, did the flesh likewise become soul that the flesh might be manifested\textsuperscript{7124} If the soul is flesh, it is no longer soul, but flesh. If the flesh is soul, it is no longer flesh, but soul. Where, then, there is flesh, and where there is soul, it has become both one and the other.\textsuperscript{7125} Now, if they are neither in particular, although they become both one and the other, it is, to say the least, very absurd, that we should understand the soul when we name the flesh, and when we indicate the soul, explain ourselves as meaning the flesh. All things will be in danger of being taken in a sense different from their own proper sense, and, whilst taken in that different sense, of losing their proper one, if they are called by a name which differs from their natural designation. Fidelity in names secures the safe appreciation of properties. When these properties undergo a change, they are considered to possess such qualities as their names indicate. Baked clay, for instance, receives the name of brick.\textsuperscript{7126} It retains not the name which designated its former state,\textsuperscript{7127} because it has no longer a share in that state. Therefore, also, the soul of Christ having become flesh,\textsuperscript{7128} cannot be anything else than that which it has become nor can it be any longer that which it once was, having become indeed\textsuperscript{7129} something else. And since we have just had recourse to an illustration, we will put it to further use. Our pitcher, then, which was formed of the clay, is one body, and has one name indicative, of course, of that one body; nor can the pitcher be also called clay, because what it once was, it is no longer. Now that which is no longer (what it was) is also not an inseparable property.\textsuperscript{7130} And the soul is not an inseparable property. Since, therefore, it has become flesh, the soul is a uniform solid body; it is also a wholly incomplex being,\textsuperscript{7131} and an indivisible substance. But in Christ we find the soul and the flesh expressed in simple unfigurative\textsuperscript{7132} terms; that is to say, the soul is called soul, and the flesh, flesh; nowhere is the soul termed flesh, or the flesh, soul; and yet they ought to have been thus (confusedly) named if
\textsuperscript{7123} Ostenderetur: or, "that it might prove itself soul."
\textsuperscript{7124} Or, "that it might show itself flesh."
\textsuperscript{7125} Alterutrum: "no matter which."
\textsuperscript{7126} Testae: a pitcher, perhaps.
\textsuperscript{7127} Generis.
\textsuperscript{7128} Tertullian quotes his opponent’s opinion here.
\textsuperscript{7129} Silicet: in reference to the \textit{alleged} doctrine.
\textsuperscript{7130} Non adhaeret.
\textsuperscript{7131} Singularitas tota.
\textsuperscript{7132} Nudis.
such had been their condition. *The fact, however, is* that even by *Christ* Himself each substance has been separately mentioned by itself, conformably of course, to the distinction which exists between the properties of both, the soul by itself, and the flesh by itself. “*My soul,*” says He, “is exceeding sorrowful, even unto death;”\textsuperscript{7133} and “the bread that I will give is *my flesh*, (which I will give) for the life\textsuperscript{7134} of the world.”\textsuperscript{7135} Now, if the soul had been flesh, there would have only been in Christ the soul composed of flesh, or else the flesh composed of soul.\textsuperscript{7136} Since, however, He keeps the species distinct, the flesh and the soul, He shows them to be two. If two, then they are no longer one; if not one, then the soul is not composed of flesh, nor the flesh of soul. For the soul-flesh, or the flesh-soul, is but one; unless indeed He even had some other soul apart from that which was flesh, and bare about another flesh besides that which was soul. But since He had but one flesh and one soul,—that “soul which was sorrowful, even unto death,” and that *flesh which was the* “bread given for the life of the world,”—the number is unimpaired\textsuperscript{7137} of two substances distinct in kind, thus excluding the unique species of the flesh-comprised soul.
\begin{footnotes}
\item[7133] Matt. xxvi. 38. Tertullian’s quotation is put interrogatively.
\item[7134] “The salvation” (salute) is Tertullian’s word.
\item[7135] John vi. 51.
\item[7136] Above, beginning of chap. x.
\item[7137] Salvus.
\end{footnotes}
Chapter XIV.—Christ Took Not on Him an Angelic Nature, But the Human. It Was Men, Not Angels, Whom He Came to Save.
But Christ, they say, bare\textsuperscript{7138} (the nature of) an angel. For what reason? The same which induced Him to become man? Christ, then, was actuated by the motive which led Him to take human nature. Man’s salvation was the motive, the restoration of that which had perished. Man had perished; his recovery had become necessary. No such cause, however, existed for Christ’s taking on Him the nature of angels. For although there is assigned to angels also perdition in “the fire prepared for the devil and his angels,”\textsuperscript{7139} yet a restoration is never promised to them. No charge about the salvation of angels did Christ ever receive from the Father; and that which the Father neither promised nor commanded, Christ could not have undertaken. For what object, therefore, did He bear the angelic nature, if it were not (that He might have it) as a powerful helper\textsuperscript{7140} wherewithal to execute the salvation of man? The Son of God, in sooth, was not competent alone to deliver man, whom a solitary and single serpent had overthrown! There is, then, no longer but one God, but one Saviour, if there be two to contrive salvation, and one of them in need of the other. But was it His object indeed to deliver man by an angel? Why, then, come down to do that which He was about to expedite with an angel’s help? If by an angel’s aid, why \textit{come} Himself also? If He meant to do all by Himself, why have an angel too? He has been, it is true, called “the Angel of great counsel,” that is, a messenger, by a term expressive of official function, not of nature. For He had to announce to the world the mighty purpose of the Father, even that which ordained the restoration of man. But He is not on this account to be regarded as an angel, as a Gabriel or a Michael. For the Lord of the Vineyard sends even His Son to the labourers to require fruit, as well as His servants. Yet the Son will not therefore be counted as one of the servants because He undertook the office of a servant. I may, then, more easily say, if such an expression is to be hazarded,\textsuperscript{7141} that the Son is actually an angel, that is, a messenger, from the Father, than that there is an angel in the Son. Forasmuch, however, as it has been declared concerning the Son Himself, “Thou hast made Him a little lower than the angels”\textsuperscript{7142} how will it appear that He put on the nature of angels if He was made lower than the angels, having become man, with flesh and soul as the Son of man? As “the Spirit\textsuperscript{7143} of God,” however, and “the Power of the Highest,”\textsuperscript{7144} can He be regarded as lower than the an-
\begin{itemize}
\item \textsuperscript{7138} Gestavit.
\item \textsuperscript{7139} Matt. xxv. 41.
\item \textsuperscript{7140} Satellitem.
\item \textsuperscript{7141} Si forte.
\item \textsuperscript{7142} Ps. viii. 5.
\item \textsuperscript{7143} For this designation of the \textit{divine} nature in Christ, see our \textit{Anti-Marcion}, p. 247, note 7, Edin.
\item \textsuperscript{7144} Luke i. 35.
gels,—He who is verily God, and the Son of God? Well, but as bearing human nature, He is so far made inferior to the angels; but as bearing angelic nature, He to the same degree loses that inferiority. This opinion will be very suitable for Ebion,\textsuperscript{7145} who holds Jesus to be a mere man, and nothing more than a descendant of David, and not also the Son of God; although He is, to be sure,\textsuperscript{7146} in one respect more glorious than the prophets, inasmuch as he declares that there was an angel in Him, just as there was in Zechariah. Only it was never said by Christ, “And the angel, which spake within me, said unto me.”\textsuperscript{7147} Neither, indeed, was ever used by Christ that familiar phrase of all the prophets, “Thus saith the Lord.” For He was Himself the Lord, who openly spake by His own authority, prefaceing His words with the formula, “Verily, verily, I say unto you.” What need is there of further argument? Hear what Isaiah says in emphatic words, “It was no angel, nor deputy, but the Lord Himself who saved them.”\textsuperscript{7148}
\begin{footnotes}
\item[7145] Hebioni.
\item[7146] Plane.
\item[7147] Zech. i. 14.
\item[7148] Isa. lxiii. 9.
\end{footnotes}
Chapter XV.—The Valentinian Figment of Christ’s Flesh Being of a Spiritual Nature, Examined and Refuted Out of Scripture.
Valentinus, indeed, on the strength of his heretical system, might consistently devise a spiritual flesh for Christ. Any one who refused to believe that that flesh was human might pretend it to be anything he liked, forasmuch as (and this remark is applicable to all *heretics*), if it was not human, and was not born of man, I do not see of what substance Christ Himself spoke when He called Himself man and the Son of man, *saying*: “But now ye seek to kill me, a man that hath told you the truth;”\(^{7149}\) and “The Son of man is Lord of the Sabbath-day.”\(^{7150}\) For it is of Him that Isaiah writes: “A man of suffering, and acquainted with the bearing of weakness;”\(^{7151}\) and Jeremiah: “He is a man, and who hath known Him?”\(^{7152}\) and Daniel: “Upon the clouds (He came) as the Son of man.”\(^{7153}\) The Apostle Paul likewise says: “The man Christ Jesus is the one Mediator between God and man.”\(^{7154}\) Also Peter, in the Acts of the Apostles, speaks of Him as verily human (when he says), “Jesus Christ was a man approved of God among you.”\(^{7155}\) These passages alone ought to suffice as a prescriptive\(^{7156}\) testimony in proof that Christ had human flesh derived from man, and not spiritual, and that His flesh was not composed of soul,\(^{7157}\) nor of stellar substance, and that it was not an imaginary flesh; (and no doubt they would be sufficient) if heretics could only divest themselves of all their contentious warmth and artifice. For, as I have read in some writer of Valentinus’ wretched faction,\(^{7158}\) they refuse at the outset to believe that a human and earthly substance was created\(^{7159}\) for Christ, lest the Lord should be regarded as inferior to the angels, who are not formed of earthly flesh; whence, too, it would be necessary that, if His flesh were like ours, it should be similarly born, not of the Spirit, nor of God, but of the will of man. Why, moreover, should it be born, not of corruptible [seed], but of incorruptible? Why, again, since His flesh has both risen and returned to heaven, is not ours, being like His, also taken up at once? Or else, why does not His flesh, since it is like ours, return in like
---
\(^{7149}\) John viii. 40.
\(^{7150}\) Matt. xii. 8.
\(^{7151}\) Isa. liii. 3, Sept.
\(^{7152}\) Jer. xvii. 9, Sept.
\(^{7153}\) Dan. vii. 13.
\(^{7154}\) 1 Tim. ii. 5.
\(^{7155}\) Acts ii. 22.
\(^{7156}\) Vice praescriptionis.
\(^{7157}\) Animalis.
\(^{7158}\) Factuincula.
\(^{7159}\) Informatam.
manner to the ground, and suffer dissolution? Such objections even the heathen used constantly to bandy about.\textsuperscript{7160} Was the Son of God reduced to such a depth of degradation? Again, if He rose again as a precedent for our hope, how is it that nothing like it has been thought desirable (to happen) to ourselves?\textsuperscript{7161} Such views are not improper for heathens and they are fit and natural for the heretics too. For, indeed, what difference is there between them, except it be that the heathen, in not believing, do believe; while the heretics, in believing, do not believe? Then, again, they read: “Thou madest Him a little less than angels,”\textsuperscript{7162} and they deny the lower nature of that Christ who declares Himself to be, “not a man, but a worm;”\textsuperscript{7163} who also had “no form nor comeliness, but His form was ignoble, despised more than all men, a man in suffering, and acquainted with the bearing of weakness.”\textsuperscript{7164} Here they discover a human being mingled with a divine one and so they deny the manhood. They believe that He died, and maintain that a being which has died was born of an incorruptible substance;\textsuperscript{7165} as if, forsooth, corruptibility\textsuperscript{7166} were something else than death! But our flesh, too, ought immediately to have risen again. Wait a while. Christ has not yet subdued His enemies, so as to be able to triumph over them in company with His friends.
\begin{footnotes}
\item[7160] Volutabant: see Lactantius, iv. 22.
\item[7161] De nobis probatum est: or, perhaps, “has been proved to have happened in our own case.”
\item[7162] Ps. viii. 6, Sept.
\item[7163] Ps. xxii. 6.
\item[7164] Isa. liii. 3, Sept.
\item[7165] Ex incorruptela.
\item[7166] Corruptela.
\end{footnotes}
Chapter XVI.—Christ’s Flesh in Nature, the Same as Ours, Only Sinless. The Difference Between Carnem Peccati and Peccatum Carnis: It is the Latter Which Christ Abolished. The Flesh of the First Adam, No Less Than that of the Second Adam, Not Received from Human Seed, Although as Entirely Human as Our Own, Which is Derived from It.
The famous Alexander,\textsuperscript{7167} too, instigated by his love of disputation in the true fashion of heretical temper, has made himself conspicuous against us; he will have us say that Christ put on flesh of an earthly origin,\textsuperscript{7168} in order that He might in His own person abolish sinful flesh.\textsuperscript{7169} Now, even if we did assert this as our opinion, we should be able to defend it in such a way as completely to avoid the extravagant folly which he ascribes to us in making us suppose that the very flesh of Christ was in Himself abolished as being sinful; because we mention our belief (in public),\textsuperscript{7170} that it is sitting at the right hand of the Father in heaven; and we further declare that it will come again from thence in all the pomp\textsuperscript{7171} of the Father’s glory: it is therefore just as impossible for us to say that it is abolished, as it is for us to maintain that it is sinful, and so made void, since in it there has been no fault. We maintain, moreover, that what has been abolished in Christ is not \textit{carnem peccati}, “sinful flesh,” but \textit{peccatum carnis}, “sin in the flesh,”—not the material thing, but its condition;\textsuperscript{7172} not the substance, but its flaw;\textsuperscript{7173} and (this we aver) on the authority of the apostle, who says, “He abolished sin in the flesh.”\textsuperscript{7174} Now in another sentence he says that Christ was “in the likeness of sinful flesh,”\textsuperscript{7175} not, however, as if He had taken on Him “the likeness
\textsuperscript{7167} Although Tertullian dignifies him with an \textit{ille}, we have no particulars of this man. [It may be that this is an \textit{epithet}, rather than a name, given to some enemy of truth like Alexander the “Coppersmith” (\textit{2 Tim. iv. 14}) or like that (\textit{1 Tim. i. 20}), blasphemer, whose character suits the case.]
\textsuperscript{7168} Census.
\textsuperscript{7169} So Bp. Kaye renders “\textit{carnem} peccati.” [See his valuable note, p. 253.]
\textsuperscript{7170} We take the \textit{meminerimus} to refer “to the Creed.”
\textsuperscript{7171} Suggestu.
\textsuperscript{7172} Naturam.
\textsuperscript{7173} Culpam.
\textsuperscript{7174} “Tertullian, referring to St. Paul, says of Christ: ‘Evacuavit peccatum in carne,’ alluding, as I suppose, to \textit{Romans viii. 3}. But the corresponding Greek in the printed editions is \textit{katékrievn tēn ἀμαρτίαν ἐν τῇ σοφίᾳ} (‘He condemned sin in the flesh’). Had Tertullian a different reading in his Greek mss., or did he confound \textit{Romans viii. 3} with \textit{Romans vi. 6}, ὅνα καταργήθη τὸ σῶμα τῆς ἀμαρτίας (‘that the body of sin might be destroyed’)? Jerome translates the Greek \textit{kataργήω} as ‘evacuo,’ c. xvi. See \textit{Adv. Marcionem}, ver. 14. Dr. Neander has pointed out two passages in which Tertullian has ‘damnavit or \textit{damnaverit} delinquentium in carne.’ \textit{See de Res. Carnis. 46; de Pudicitia. 17.”}—Bp. Kaye.
\textsuperscript{7175} Also in \textit{Rom. viii. 3}.
of the flesh,” in the sense of a semblance of body instead of its reality; but he means us to understand likeness to the flesh which sinned, because the flesh of Christ, which committed no sin itself, resembled that which had sinned,—resembled it in its nature, but not in the corruption it received from Adam; whence we also affirm that there was in Christ the same flesh as that whose nature in man is sinful. In the flesh, therefore, we say that sin has been abolished, because in Christ that same flesh is maintained without sin, which in man was not maintained without sin. Now, it would not contribute to the purpose of Christ’s abolishing sin in the flesh, if He did not abolish it in that flesh in which was the nature of sin, nor (would it conduce) to His glory. For surely it would have been no strange thing if He had removed the stain of sin in some better flesh, and one which should possess a different, even a sinless, nature! Then, you say, if He took our flesh, Christ’s was a sinful one. Do not, however, fetter with mystery a sense which is quite intelligible. For in putting on our flesh, He made it His own; in making it His own, He made it sinless. A word of caution, however, must be addressed to all who refuse to believe that our flesh was in Christ on the ground that it came not of the seed of a human father, let them remember that Adam himself received this flesh of ours without the seed of a human father. As earth was converted into this flesh of ours without the seed of a human father, so also was it quite possible for the Son of God to take to Himself the substance of the selfsame flesh, without a human father’s agency.
---
7176 Peccatricis carnis.
7177 Viri.
7178 Transire in: “to pass into.”
7179 Sine coagulo.
Chapter XVII.—The Similarity of Circumstances Between the First and the Second Adam, as to the Derivation of Their Flesh. An Analogy Also Pleasantly Traced Between Eve and the Virgin Mary.
But, leaving Alexander with his syllogisms, which he so perversely applies in his discussions, as well as with the hymns of Valentinus, which, with consummate assurance, he interpolates as the production of some respectable\textsuperscript{7180} author, let us confine our inquiry to a single point—Whether Christ received flesh from the virgin?—that we may thus arrive at a certain proof that His flesh was human, if He derived its substance from His mother’s womb, although we are at once furnished with clear evidences of the human character of His flesh, from its name and description as that of a man, and from the nature of its constitution, and from the system of its sensations, and from its suffering of death. Now, it will first be necessary to show what previous reason there was for the Son of God’s being born of a virgin. He who was going to consecrate a new order of birth, must Himself be born after a novel fashion, concerning which Isaiah foretold how that the Lord Himself would give the sign. What, then, is the sign? “Behold a virgin shall conceive and bear a son.”\textsuperscript{7181} Accordingly, a virgin did conceive and bear “Emmanuel, God with us.”\textsuperscript{7182} This is the new nativity; a man is born in God. And in this man God was born, taking the flesh of an ancient race, without the help, however, of the ancient seed, in order that He might reform it with a new seed, that is, in a spiritual manner, and cleanse it by the removal of all its ancient stains. But the whole of this new birth was prefigured, as was the case in all other instances, in ancient type, the Lord being born as man by a dispensation in which a virgin was the medium. The earth was still in a virgin state, reduced as yet by no human labour, with no seed as yet cast into its furrows, when, as we are told, God made man out of it into a living soul.\textsuperscript{7183} As, then, the first Adam is thus introduced to us, it is a just inference that the second Adam likewise, as the apostle has told us, was formed by God into a quickening spirit out of the ground,—in other words, out of a flesh which was unstained as yet by any human generation. But that I may lose no opportunity of supporting my argument from the name of Adam, why is Christ called Adam by the apostle, unless it be that, as man, He was of that earthly origin? And even reason here maintains the same conclusion, because it was by just the contrary\textsuperscript{7184} operation that God recovered His own image and likeness, of which He had been robbed by the devil. For it was while Eve was yet a virgin, that the ensnaring word had
\textsuperscript{7180} Idonei.
\textsuperscript{7181} Isa. vii. 14.
\textsuperscript{7182} Matt. i. 23.
\textsuperscript{7183} Gen. ii. 7.
\textsuperscript{7184} Æmula.
crept into her ear which was to build the edifice of death. Into a virgin’s soul, in like manner, must be introduced that Word of God which was to raise the fabric of life; so that what had been reduced to ruin by this sex, might by the selfsame sex be recovered to salvation. As Eve had believed the serpent, so Mary believed the angel.\footnote{7185}{Literally, “Gabriel.”} The delinquency which the one occasioned by believing, the other by believing effaced. But (it will be said) Eve did not at the devil’s word conceive in her womb. Well, she at all events conceived; for the devil’s word afterwards became as seed to her that she should conceive as an outcast, and bring forth in sorrow. Indeed she gave birth to a fratricidal devil; whilst Mary, on the contrary, bare one who was one day to secure salvation to Israel, His own brother after the flesh, and the murderer of Himself. God therefore sent down into the virgin’s womb His Word, as the good Brother, who should blot out the memory of the evil brother. Hence it was necessary that Christ should come forth for the salvation of man, in that condition of \textit{flesh} into which man had entered ever since his condemnation.
Chapter XVIII.—The Mystery of the Assumption of Our Perfect Human Nature by the Second Person of the Blessed Trinity. He is Here Called, as Often Elsewhere, the Spirit.
Now, that we may give a simpler answer, it was not fit that the Son of God should be born of a human father’s seed, lest, if He were wholly the Son of a man, He should fail to be also the Son of God, and have nothing more than “a Solomon” or “a Jonas,”—as Ebion thought we ought to believe concerning Him. In order, therefore, that He who was already the Son of God—of God the Father’s seed, that is to say, the Spirit—might also be the Son of man, He only wanted to assume flesh, of the flesh of man, without the seed of a man; for the seed of a man was unnecessary for One who had the seed of God. As, then, before His birth of the virgin, He was able to have God for His Father without a human mother, so likewise, after He was born of the virgin, He was able to have a woman for His mother without a human father. He is thus man with God, in short, since He is man’s flesh with God’s Spirit.—flesh (I say) without seed from man, Spirit with seed from God. For as much, then, as the dispensation of God’s purpose concerning His Son required that He should be born of a virgin, why should He not have received of the virgin the body which He bore from the virgin? Because, (forsooth) it is something else which He took from God, for “the Word” say they, “was made flesh.” Now this very statement plainly shows what it was that was made flesh; nor can it possibly be that anything else than the Word was made flesh. Now, whether it was of the flesh that the Word was made flesh, or whether it was so made of the (divine) seed itself, the Scripture must tell us. As, however, the Scripture is silent about everything except what it was that was made (flesh), and says nothing of that from which it was so made, it must be held to suggest that from something else, and not from itself, was the Word made flesh. And if not from itself, but from something else, from what can we more suitably suppose that the Word became flesh than from that flesh in
7186 Matt. xii. 41, 42.
7187 De Hebionis opinione.
7188 Hominis.
7189 Viri.
7190 Vacabat.
7191 As we have often observed, the term Spiritus is used by Tertullian to express the Divine Nature in Christ. Anti-Marcion, p. 375, note 13.
7192 Dispositio rationis.
7193 Proferendum.
7194 John i. 14.
7195 Nec periclitatus quasi.
which it submitted to the dispensation? And (we have a proof of the same conclusion in the fact) that the Lord Himself sententiously and distinctly pronounced, “that which is born of the flesh is flesh,” even because it is born of the flesh. But if He here spoke of a human being simply, and not of Himself, (as you maintain) then you must deny absolutely that Christ is man, and must maintain that *human nature* was not suitable to Him. And then He adds, “That which is born of the Spirit is spirit,” because God is a Spirit, and He was born of God. Now this description is certainly even more applicable to Him than it is to those who believe in Him. But if this passage indeed apply to Him, then why does not the preceding one also? For you cannot divide their relation, and adapt this to Him, and the previous clause to all other men, especially as you do not deny that Christ possesses the two substances, both of the flesh and of the Spirit. Besides, as He was in possession both of flesh and of Spirit, He cannot possibly, when speaking of the condition of the two substances which He Himself bears, be supposed to have determined that the Spirit indeed was His own, but that the flesh was not His own. Forasmuch, therefore, as He is of the Spirit He is God the Spirit, and is born of God; just as He is also born of the flesh of man, being generated in the flesh as man.
---
7196 Literally, “in which it became flesh.”
7197 *John iii.* 6.
7198 *John iii.* 6.
7199 [A very perspicuous statement of the Incarnation is set forth in this chapter.]
Chapter XIX.—Christ, as to His Divine Nature, as the Word of God, Became Flesh,
Not by Carnal Conception, Nor by the Will of the Flesh and of Man, But by the
Will of God. Christ’s Divine Nature, of Its Own Accord, Descended into the
Virgin’s Womb.
What, then, is the meaning of this passage. “Born\textsuperscript{7200} not of blood, nor of the will of
the flesh, nor of the will of man, but of God\textsuperscript{7201} I shall make more use of this passage after
I have confuted those who have tampered with it. They maintain that it was written thus
(in the plural)\textsuperscript{7202} “Who were born, not of blood, nor of the will of the flesh, nor of the will
of man, but of God,” as if designating those who were before mentioned as “believing in
His name,” in order to point out the existence of that mysterious seed of the elect and spiri-
tual which they appropriate to themselves.\textsuperscript{7203} But how can this be, when all who believe
in the name of the Lord are, by reason of the common principle of the human race, born of
blood, and of the will of the flesh, and of man, as indeed is Valentinus himself? The expression
is in the singular number, as referring to the Lord, “He was born of God.” And very properly,
because Christ is the Word of God, and with the Word the Spirit of God, and by the Spirit
the Power of God, and whatsoever else appertains to God. As flesh, however, He is not of
blood, nor of the will of the flesh, nor of man, because it was by the will of God that the
Word was made flesh. To the flesh, indeed, and not to the Word, accrues the denial of the
nativity which is natural to us all as men,\textsuperscript{7204} because it was as flesh that He had thus to be
born, and not as the Word. Now, whilst the passage actually denies that He was born of the
will of the flesh, how is it that it did not also deny (that He was born) of the substance of
the flesh? For it did not disavow the substance of the flesh when it denied His being “born
of blood” but only the matter of the seed, which, as all know, is the warm blood as convected
by ebullition\textsuperscript{7205} into the \textit{coagulum} of the woman’s blood. In the cheese, it is from the co-
agulation that the milky substance acquires that consistency,\textsuperscript{7206} which is condensed by
infusing the rennet.\textsuperscript{7207} We thus understand that what is denied is the Lord’s birth after
\begin{itemize}
\item \textsuperscript{7200} Tertullian reads this in the singular number, “natus est.”
\item \textsuperscript{7201} \textit{John i. 13.}
\item \textsuperscript{7202} We need not say that the mass of critical authority is against Tertullian, and with his opponents, in their
reading of this passage.
\item \textsuperscript{7203} He refers to the Valentinians. See our translation of this tract against them, chap. xxv., etc., p. 515, \textit{supra}.
\item \textsuperscript{7204} Formalis nostræ nativitatis.
\item \textsuperscript{7205} Despumatione.
\item \textsuperscript{7206} Vis.
\item \textsuperscript{7207} Medicando. [This is based on \textit{Job x. 10}, a favourite passage with the Fathers in expounding the generative
process.]
sexual intercourse (as is suggested by the phrase, “the will of man and of the flesh”), not His nativity from a woman’s womb. Why, too, is it insisted on with such an accumulation of emphasis that He was not born of blood, nor of the will of the flesh, nor (of the will) of man, if it were not that His flesh was such that no man could have any doubt on the point of its being born from sexual intercourse? Again, although denying His birth from such cohabitation, the passage did not deny that He was born of real flesh; it rather affirmed this, by the very fact that it did not deny His birth in the flesh in the same way that it denied His birth from sexual intercourse. Pray, tell me, why the Spirit of God\textsuperscript{7208} descended into a woman’s womb at all, if He did not do so for the purpose of partaking of flesh from the womb. For He could have become spiritual flesh\textsuperscript{7209} without such a process,—much more simply, indeed, without the womb than in it. He had no reason for enclosing Himself within one, if He was to bear forth nothing from it. Not without reason, however, did He descend into a womb. Therefore He received (flesh) therefrom; else, if He received nothing therefrom, His descent into it would have been without a reason, especially if He meant to become flesh of that sort which was not derived from a womb, that is to say, a spiritual one.\textsuperscript{7210}
\textsuperscript{7208} i.e., The Son of God.
\textsuperscript{7209} Which is all that the heretics assign to Him.
\textsuperscript{7210} Such as Valentinus ascribed to Him. See above, c. xv. p. 511.
Chapter XX.—Christ Born of a Virgin, of Her Substance. The Physiological Facts of His Real and Exact Birth of a Human Mother, as Suggested by Certain Passages of Scripture.
But to what shifts you resort, in your attempt to rob the syllable *ex* (*of*)\(^7211\) of its proper force as a preposition, and to substitute another for it in a sense not found throughout the Holy Scriptures! You say that He was born *through*\(^7212\) a virgin, not *of*\(^7213\) a virgin, and *in* a womb, not *of* a womb, because the angel in the dream said to Joseph, “That which is born in her” (not of her) “is of the Holy Ghost.”\(^7214\) But the fact is, if he had meant “of her,” he must have said “in her;” for that which was of her, was also in her. The angel’s expression, therefore, “in her,” has precisely the same meaning as the phrase “of her.” It is, however, a fortunate circumstance that Matthew also, when tracing down the Lord’s descent from Abraham to Mary, says, “Jacob begat Joseph the husband of Mary, *of whom* was born Christ.”\(^7215\) But Paul, too, silences these critics\(^7216\) when he says, “God sent forth His Son, made of a woman.”\(^7217\) Does he mean *through* a woman, or *in* a woman? Nay more, for the sake of greater emphasis, he uses the word “made” rather than *born*, although the use of the latter expression would have been simpler. But by saying “made,” he not only confirmed the statement, “The Word was made flesh,”\(^7218\) but he also asserted the reality of the flesh which was made of a virgin. We shall have also the support of the Psalms on this point, not the “Psalms” indeed of Valentinus the apostate, and heretic, and Platonist, but the Psalms of David, the most illustrious saint and well-known prophet. He sings to us of Christ, and through his voice Christ indeed also sang concerning Himself. Hear, then, Christ the Lord speaking to God the Father: “Thou art He that didst draw\(^7219\) me out of my mother’s womb.”\(^7220\) Here is the first point. “Thou art my hope from my mother’s breasts; upon Thee have I been cast from the womb.”\(^7221\) Here is another point. “Thou art my God from my mother’s belly.”\(^7222\) Here is a third point. Now let us carefully attend to the sense of these
---
\(^{7211}\) Indicating the material or ingredient, “out of.”
\(^{7212}\) Per.
\(^{7213}\) Ex.
\(^{7214}\) Matt. i. 20.
\(^{7215}\) Matt. i. 16.
\(^{7216}\) Grammaticis.
\(^{7217}\) Gal. iv. 4.
\(^{7218}\) John i. 14.
\(^{7219}\) Avulsisti.
\(^{7220}\) Ps. xxii. 9.
\(^{7221}\) Vers. 9, 10.
\(^{7222}\) Ver. 10.
passages. “Thou didst draw me,” He says, “out of the womb.” Now what is it which is drawn, if it be not that which adheres, that which is firmly fastened to anything from which it is drawn in order to be sundered? If He clove not to the womb, how could He have been drawn from it? If He who clove thereto was drawn from it, how could He have adhered to it, if it were not that, all the while He was in the womb, He was tied to it, as to His origin, by the umbilical cord, which communicated growth to Him from the matrix? Even when one strange matter amalgamates with another, it becomes so entirely incorporated with that with which it amalgamates, that when it is drawn off from it, it carries with it some part of the body from which it is torn, as if in consequence of the severance of the union and growth which the constituent pieces had communicated to each other. But what were His “mother’s breasts” which He mentions? No doubt they were those which He sucked. Midwives, and doctors, and naturalists, can tell us, from the nature of women’s breasts, whether they usually flow at any other time than when the womb is affected with pregnancy, when the veins convey therefrom the blood of the lower parts to the manilla, and in the act of transference convert the secretion into the nutritious substance of milk. Whence it comes to pass that during the period of lactation the monthly issues are suspended. But if the Word was made flesh of Himself without any communication with a womb, no mother’s womb operating upon Him with its usual function and support, how could the lacteal fountain have been conveyed (from the womb) to the breasts, since (the womb) can only effect the change by actual possession of the proper substance? But it could not possibly have had blood for transformation into milk, unless it possessed the causes of blood also, that is to say, the severance (by birth) of its own flesh from the mother’s womb. Now it is easy to see what was the novelty of Christ’s being born of a virgin. It was simply this, that (He was born) of a virgin in the real manner which we have indicated, in order that our regeneration might have virginal purity,—spiritually cleansed from all pollutions through Christ, who was Himself a virgin, even in the flesh, in that He was born of a virgin’s flesh.
7223 i.e. of His flesh.
7224 Concarnatus et convisceratus: “united in flesh and internal structure.”
7225 Sentinam illam inferni sanguinis.
7226 Lactiorem.
7227 Avulsionem.
Chapter XXI.—The Word of God Did Not Become Flesh Except in the Virgin’s Womb and of Her Substance. Through His Mother He is Descended from Her Great Ancestor David, He is Described Both in the Old and in the New Testament as “The Fruit of David’s Loins.”
Whereas, then, they contend that the novelty (of Christ’s birth) consisted in this, that as the Word of God became flesh without the seed of a human father, so there should be no flesh of the virgin mother (assisting in the transaction), why should not the novelty rather be confined to this, that His flesh, although not born of seed, should yet have proceeded from flesh? I should like to go more closely into this discussion. “Behold,” says he, “a virgin shall conceive in the womb.”\textsuperscript{7228} \textit{Conceive} what? I ask. The Word of God, of course, and not the seed of man, and in order, certainly, to bring forth a son. “For,” says he, “she shall bring forth a son.”\textsuperscript{7229} Therefore, as the act of conception was her own,\textsuperscript{7230} so also what she brought forth was her own, also, although the cause of conception\textsuperscript{7231} was not. If, on the other hand, the Word became flesh of Himself, then He both conceived and brought forth Himself, and the prophecy is stultified. For in that case a virgin did \textit{not} conceive, and did \textit{not} bring forth; since whatever she brought forth from the conception of the Word, is not her own flesh. But is this the only statement of prophecy which will be frustrated?\textsuperscript{7232} Will not the angel’s announcement also be subverted, that the virgin should “conceive in her womb and bring forth a son?”\textsuperscript{7233} And will not in fact every scripture which declares that Christ had a mother? For how could she have been His mother, unless He had been in her womb? But then He received nothing from her womb which could make her a mother in whose womb He had been.\textsuperscript{7234} Such a name as this\textsuperscript{7235} a strange flesh ought not \textit{to assume}. No flesh can speak of a mother’s womb but that which is itself the offspring of that womb; nor can any be the offspring of the said womb if it owe its birth solely to itself. Therefore even Elisabeth must be silent although she is carrying in her womb the prophetic babe, which was already conscious of his Lord, and is, moreover, filled with the Holy Ghost.\textsuperscript{7236} For without reason does she say, “and whence is this to me that the mother of my Lord
\begin{itemize}
\item \textsuperscript{7228} Isa. vii. 14; Matt. i. 23.
\item \textsuperscript{7229} See the same passages.
\item \textsuperscript{7230} Ipsius.
\item \textsuperscript{7231} Quod concepit: or, “what she conceived.”
\item \textsuperscript{7232} Evacuabitur.
\item \textsuperscript{7233} Luke i. 31.
\item \textsuperscript{7234} An objection.
\item \textsuperscript{7235} The rejoinder.
\item \textsuperscript{7236} Luke i. 41.
should come to me? If it was not as her son, but only as a stranger that Mary carried Jesus in her womb, how is it she says, “Blessed is the fruit of thy womb”? What is this fruit of the womb, which received not its germ from the womb, which had not its root in the womb, which belongs not to her whose is the womb, and which is no doubt the real fruit of the womb—even Christ? Now, since He is the blossom of the stem which sprouts from the root of Jesse; since, moreover, the root of Jesse is the family of David, and the stem of the root is Mary descended from David, and the blossom of the stem is Mary’s son, who is called Jesus Christ, will not He also be the fruit? For the blossom is the fruit, because through the blossom and from the blossom every product advances from its rudimental condition to perfect fruit. What then? They, deny to the fruit its blossom, and to the blossom its stem, and to the stem its root; so that the root fails to secure for itself, by means of the stem, that special product which comes from the stem, even the blossom and the fruit; for every step indeed in a genealogy is traced from the latest up to the first, so that it is now a well-known fact that the flesh of Christ is inseparable, not merely from Mary, but also from David through Mary, and from Jesse through David. “This fruit,” therefore, “of David’s loins,” that is to say, of his posterity in the flesh, God swears to him that “He will raise up to sit upon his throne.” If “of David’s loins,” how much rather is He of Mary’s loins, by virtue of whom He is in “the loins of David?”
7237 Ver. 43.
7238 Ver. 42.
7239 Eruditur.
7240 Quominus vindicet.
7241 Adhaerere.
7242 Ps. cxxxii. 11; also Acts ii. 30.
Chapter XXII.—Holy Scripture in the New Testament, Even in Its Very First Verse, Testifies to Christ’s True Flesh. In Virtue of Which He is Incorporated in the Human Stock of David, and Abraham, and Adam.
They may, then, obliterate the testimony of the devils which proclaimed Jesus the son of David; but whatever unworthiness there be in this testimony, that of the apostles they will never be able to efface. There is, first of all, Matthew, that most faithful chronicler\textsuperscript{7243} of the Gospel, because the companion of the Lord; for no other reason in the world than to show us clearly the fleshly original\textsuperscript{7244} of Christ, he thus begins \textit{his Gospel}: “The book of the generation of Jesus Christ, the son of David, the son of Abraham.”\textsuperscript{7245} With a nature issuing from such fountal sources, and an order gradually descending to the birth of Christ, what else have we here described than the very flesh of Abraham and of David conveying itself down, step after step, to the very virgin, and at last introducing Christ,—nay, producing Christ Himself of the virgin? Then, again, there is Paul, who was at once both a disciple, and a master, and a witness of the selfsame Gospel; as an apostle of the same Christ, also, he affirms that Christ “was made of the seed of David, according to the flesh,”\textsuperscript{7246}—which, therefore, was His own likewise. Christ’s flesh, then, is of David’s seed. Since He is of the seed of David in consequence of Mary’s flesh, He is therefore of Mary’s flesh because of the seed of David. In what way so ever you torture the statement, He is either of the flesh of Mary because of the seed of David, or He is of the seed of David because of the flesh of Mary. The whole discussion is terminated by the same apostle, when he declares Christ to be “the seed of Abraham.” And if of Abraham, how much more, to be sure, of David, as a more recent \textit{progenitor!} For, unfolding the promised blessing upon all nations in the person\textsuperscript{7247} of Abraham, “And in thy seed shall all nations of the earth be blessed,” he adds, “He saith not, And to seeds, as of many; but as of one, And to thy seed, which is Christ.”\textsuperscript{7248} When we read and believe these things, what sort of flesh ought we, and can we, acknowledge in Christ? Surely none other than Abraham’s, since Christ is “the seed of Abraham;” none other than Jesse’s, since Christ is the blossom of “the stem of Jesse;” none other than David’s, since Christ is “the fruit of David’s loins;” none other than Mary’s, since Christ came from Mary’s womb; and, higher still, none other than Adam’s, since Christ is “the second Adam.” The consequence, therefore, is that they must either maintain, that those (ancestors) had a
\begin{itemize}
\item \textsuperscript{7243} Commentator.
\item \textsuperscript{7244} Originis carnalis: i.e. "origin of the flesh of."
\item \textsuperscript{7245} Matt. i. 1.
\item \textsuperscript{7246} Rom. i. 3; 2 Tim. ii. 8.
\item \textsuperscript{7247} In nomine: or, "for the sake of."
\item \textsuperscript{7248} Gal. iii. 8, 16.
spiritual flesh, that so there might be derived to Christ the same condition of substance, or else allow that the flesh of Christ was not a spiritual one, since it is not traced from the origin\textsuperscript{7249} of a spiritual stock.
\textsuperscript{7249} Censetur.
Chapter XXIII.—Simeon’s “Sign that Should Be Contradicted,” Applied to the Heretical Gainsaying of the True Birth of Christ. One of the Heretics’ Paradoxes Turned in Support of Catholic Truth.
We acknowledge, however, that the prophetic declaration of Simeon is fulfilled, which he spoke over the recently-born Saviour.\textsuperscript{7250} “Behold, this \textit{child} is set for the fall and rising again of many in Israel, and for a sign that shall be spoken against.”\textsuperscript{7251} The sign (here meant) is that of the birth of Christ, according to Isaiah: “Therefore the Lord Himself shall give you \textit{a sign}: behold, a virgin shall conceive and bear a son.”\textsuperscript{7252} We discover, then, what the sign is which is to be spoken against—the conception and the parturition of the Virgin Mary, concerning which these sophists\textsuperscript{7253} say: “She a virgin and yet not a virgin bare, and yet did not bear;” just as if such language, if indeed it must be uttered, would not be more suitable even for ourselves to use! For “she bare,” because she produced offspring of her own flesh and “yet she did not bear,” since she produced Him not from a husband’s seed; she was “a virgin,” so far as (abstinence) from a husband went, and “yet not a virgin,” as regards her bearing a child. \textit{There is not, however, that parity of reasoning which the heretics affect: in other words} it does not follow that for the reason “she did not bear,”\textsuperscript{7254} she who was “not a virgin” was “yet a virgin,” even because she became a mother without any fruit of her own womb. But with us there is no equivocation, nothing twisted into a double sense.\textsuperscript{7255} Light is light; and darkness, darkness; yea is yea; and nay, nay; “whatsoever is more than these cometh of evil.”\textsuperscript{7256} She who bare (really) bare; and although she was a virgin when she conceived, she was a wife\textsuperscript{7257} when she brought forth \textit{her son}. Now, as a wife, she was under the very law of “opening the womb,”\textsuperscript{7258} wherein it was quite immaterial whether the birth of the male was by virtue of a husband’s co-operation or not;\textsuperscript{7259} it was the same sex\textsuperscript{7260} that opened her womb. Indeed, hers is the womb on account of which it is written of others also: “Every male that openeth the womb shall be called holy to the
\begin{itemize}
\item \textsuperscript{7250} Literally, “Lord.”
\item \textsuperscript{7251} Luke ii. 34.
\item \textsuperscript{7252} Isa. vii. 14.
\item \textsuperscript{7253} Academici isti: “this school of theirs.”
\item \textsuperscript{7254} i.e. “Because she produced not her son from her husband’s seed.”
\item \textsuperscript{7255} Defensionem.
\item \textsuperscript{7256} Matt. v. 37.
\item \textsuperscript{7257} Nupsit.
\item \textsuperscript{7258} Nupsit ipsa patefacti corporis lege.
\item \textsuperscript{7259} De vi masculi admissi an emissi.
\item \textsuperscript{7260} i.e. “The male.”
Lord.\textsuperscript{7261} For who is really holy but the Son of God? Who properly opened the womb but He who opened \textit{a closed one}?\textsuperscript{7262} But it is marriage which opens the womb in all cases. \textit{The virgin’s womb}, therefore, was especially\textsuperscript{7263} opened, because it was especially closed. Indeed\textsuperscript{7264} she ought rather to be called not a virgin than a virgin, becoming a mother at a leap, as it were, before she was a wife. And what must be said more on this point? Since it was in this sense that the apostle declared that the Son of God was born not of a virgin, but “of a woman,” he in that statement recognised the condition of the “opened womb” which ensues in marriage.\textsuperscript{7265} We read in Ezekiel of “a heifer,\textsuperscript{7266} which brought forth, and still did not bring forth.” Now, see whether it was not in view of your own future contentions about the womb of Mary, that even then the Holy Ghost set His mark upon you in this passage; otherwise\textsuperscript{7267} He would not, contrary to His usual simplicity of style (in this prophet), have uttered a sentence of such doubtful import, \textit{especially} when Isaiah says, “She shall conceive and bear a son.”\textsuperscript{7268}
\begin{footnotes}
\item Ex. xiii. 2; Luke ii. 23.
\item Clausam: i.e. a virgin’s.
\item Magis.
\item Utique.
\item Nuptialem passionem.
\item Epiphanius (\textit{Hær.} xxx. 30) quotes from the apocryphal Ezekiel this passage: Τέξεται ἡ δάμαλις, καὶ ἐροῦσαν—οὐ τέτοκεν. So Clem. Alex. \textit{Stromata}, vii. Oehler.
\item Ceterum.
\item Isa. vii. 14.
\end{footnotes}
Chapter XXIV.—Divine Strictures on Various Heretics Descried in Various Passages of Prophetical Scripture. Those Who Assail the True Doctrine of the One Lord Jesus Christ, Both God and Man, Thus Condemned.
For when Isaiah hurls denunciation against our very heretics, especially in his “Woe to them that call evil good, and put darkness for light,”\textsuperscript{7269} he of course sets his mark upon those amongst you\textsuperscript{7270} who preserve not in the words they employ the light of their true significance, (by taking care) that the \textit{soul} should mean only that which is so called, and the \textit{flesh} simply that which is confess to our view, and \textit{God} none other than the One who is preached.\textsuperscript{7271} Having thus Marcion in his prophetic view, he says, “I am God, and there is none else; there is no God beside me.”\textsuperscript{7272} And when in another passage he says, in like manner, “Before me there was no God,”\textsuperscript{7273} he strikes at those inexplicable genealogies of the Valentinian Æons. Again, there is an answer to Ebion in the Scripture: “Born,\textsuperscript{7274} not of blood, nor of the will of the flesh, nor of the will of man, but of God.” In like manner, in the passage, “If even an angel of heaven preach unto you any other gospel than \textit{that which we have} preached unto you, let him be anathema,”\textsuperscript{7275} he calls attention to the artful influence of Philumene,\textsuperscript{7276} the virgin friend of Apelles. Surely he is antichrist who denies that Christ has come in the flesh.\textsuperscript{7277} By declaring that His flesh is simply and absolutely true, and taken in the plain sense of its own nature, \textit{the Scripture} aims a blow at all who make distinctions in it.\textsuperscript{7278} In the same way, also, when it defines the very Christ to be but one, it shakes the fancies of those who exhibit a multiform Christ, who make Christ to be one being and Jesus another,—representing one as escaping out of the midst of the crowds, and the other as detained by them; one as appearing on a solitary mountain to three companions, clothed with glory in a cloud, the other as an ordinary man holding intercourse with all,\textsuperscript{7279} one as magnanimous, but the other as timid; lastly, one as suffering death, the other as risen again, by means of which event they maintain a resurrection of their own also, only in another
\begin{itemize}
\item \textsuperscript{7269} Isa. v. 20.
\item \textsuperscript{7270} Istos.
\item \textsuperscript{7271} Prædicatur.
\item \textsuperscript{7272} Isa. xlv. 5.
\item \textsuperscript{7273} Isa. xlvi. 9.
\item \textsuperscript{7274} John i. 13. Tertullian’s quotation is, as usual, in the singular, “natus.”
\item \textsuperscript{7275} Gal. i. 8.
\item \textsuperscript{7276} Comp. \textit{de Praescr. Hæret. c. xxx. p. 257, supra}.
\item \textsuperscript{7277} 1 John iv. 3.
\item \textsuperscript{7278} Disceptatores ejus.
\item \textsuperscript{7279} Ceteris passivum.
flesh. Happily, however, He who suffered “will come again from heaven,”\textsuperscript{7280} and by all shall He be seen, who rose again from the dead. They too who crucified Him shall see and acknowledge Him; that is to say, His very flesh, against which they spent their fury, and without which it would be impossible for Himself either to exist or to be seen; so that they must blush with shame who affirm that His flesh sits in heaven void of sensation, like a sheath only, Christ being withdrawn from it; as well as those who (maintain) that His flesh and soul are just the same thing,\textsuperscript{7281} or else that His soul is all that exists,\textsuperscript{7282} but that His flesh no longer lives.
\begin{footnotes}
\item[7280] Acts i. 11.
\item[7281] Tantundem.
\item[7282] Tantummodo.
\end{footnotes}
Chapter XXV.—Conclusion. This Treatise Forms a Preface to the Other Work, “On the Resurrection of the Flesh,” Proving the Reality of the Flesh Which Was Truly Born, and Died, and Rose Again.
But let this suffice on our present subject; for I think that by this time proof enough has been adduced of the flesh in Christ having both been born of the virgin, and being human in its nature. And this discussion alone might have been sufficient, without encountering the isolated opinions which have been raised from different quarters. We have, however, challenged these opinions to the test, both of the arguments which sustain them, and of the Scriptures which are appealed to, and this we have done ex abundanti; so that we have, by showing what the flesh of Christ was, and whence it was derived, also predetermined the question, against all objectors, of what that flesh was not. The resurrection, however, of our own flesh will have to be maintained in another little treatise, and so bring to a close this present one, which serves as a general preface, and which will pave the way for the approaching subject now that it is plain what kind of body that was which rose again in Christ.
The learned John Scott, in his invaluable work *The Christian Life*, identifies the glory shed upon the Saviour at his baptism, with that mentioned by Ezekiel (Cap. xliii. 2) and adds: "In this same glorious splendor was Christ arrayed first at his Baptism and afterward at his Transfiguration….By the Holy Ghost’s descending like a Dove, it is not necessary we should understand his descending in the shape or form of a Dove, but that in some glorious form, or appearance, he descended in the same manner as a Dove descends….Came down from above just as a dove with his wings spread forth is observed to do, and lighted upon our Saviour’s head." I quote this as the opinion of one of the most learned and orthodox of divines, but not as my own, for I cannot reconcile it, as he strives to do, with St. Luke iii. 22. Compare Justin Martyr, vol. i. p. 243, and note 6, this series. Grotius observes, says Dr. Scott, that in the apocryphal Gospel of the Nazarenes, it is said that at the Baptism of our Lord “a great light shone round about the place.”
II.
(His mother and His brethren, cap. vii. p. 527.)
It is not possible that the author of this chapter had ever conceived of the Blessed Virgin otherwise than as “Blessed among women,” indeed, but enjoying no especial prerogative as the mother of our Lord. He speaks of “denying her” and “putting her away” after He began His Ministry, as He requires His ministers to do, after His example. How extraordinary this language—"the repudiation of carnal relationship." According to our author, never charged with heresy on this point, the high rewards of the holy Mary, in the world to come will be those due to her faith, not to the blessing of “her breasts and of her womb.” Christ designates those as “more blessed,” who hear His word and keep it. This the Blessed Virgin did preeminently, and herein was her own greater blessedness; that is, (our author shews) her crown of glory depends chiefly, like that of other saints, on her faith and works, not on her mere Maternity.
---
7283 I quote the Ed. London, 1739, Vol. V., p. 249. |
DATES TO REMEMBER
BEK bill payments are due on the 20th of each month.
- December 7 Pearl Harbor Day
- December 24 Christmas Eve
- December 25 Christmas Day
- December 26 BEK Offices Closed
- January 1 New Year’s Day
- January 2 BEK Offices Closed
- January 15 Common Cents Grant Application Deadline
- January 16 Martin Luther King Jr. Day
BEK Christmas Open Houses
STEELE
DEC. 15 | 1PM to 4PM
200 East Broadway
VALLEY CITY
DEC. 15 | 1PM to 4PM
415 Winter Show Road
Join us for delicious treats and beverages and a great opportunity to meet and greet!
Is That a BEK Vehicle Parked There?
BEK Communications has a big territory and it’s growing every day, so it’s not unusual to see BEK’s vehicles in several locations. But what about those odd locations, the ones where you would never expect a BEK employee to be? Well, maybe it isn’t a BEK vehicle after all. Here’s how you know:
**BEK vehicles have a North Dakota license plate that begins with the letters BEK.** License plates have recently been issued with the BEK letters at the end. These are not BEK vehicles. Additionally, most BEK vehicles have a BEK logo on the side door.
We hope this clears up the mystery of BEK vehicle sightings!
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A Gift for You!
Great photos submitted for BEK’s calendar photo contest are key to this fabulous 2017 design. There’s one great photo after another in this spectacular 12 month calendar!
Look for the BEK 2017 Calendar in your mailbox this December. Each BEK customer household will receive a copy of this beautiful calendar as our gift. Congratulations to our local photographers; your stunning photo(s) will be shared with thousands of BEK customers.
The photos selected for the 2017 calendar have been personalized with the photographer’s name and each chosen photographer will receive a special thank you gift from BEK.
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BEK Directory Advertising Sales Team now in Area
The Missouri Slope Telephone Directory, LLP*, published by Northern Directory Publishing (NDP), is the only telephone directory sponsored by BEK Communications Cooperative for directory listings for BEK’s Cooperative and Rural Bismarck customers.
NDP is based out of Montana and has been in the directory publishing business for over 25 years. NDP has four sales executives working in the BEK Cooperative and Rural Bismarck service area and surrounding cities. This sales team acquires advertising for BEK’s telephone directory. Rob Culpepper is in the area now and Dave Chadduck and Mike Stevens will be joining him in the field after the holiday season. Additionally, Angie Brinkman and Angela Ritz will be doing telephone sales. The NDP sales team’s goal is to work with local businesses to find the best advertising options.
*Northern Directory Publishing (NDP) is the only company BEK has authorized to secure ads and print its directory for BEK customers in south central North Dakota. Directory Advertising sales began in October and NDP will continue to secure advertising contracts through February.
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BEK Common Cents Grant Program
The Board of Directors of BEK Communications Cooperative offers a “Common Cents Community Grant Program” as a means to provide financial support through a structured program. It is designed to meet the current and future needs of our communities.
The next application deadline for BEK’s Common Cents Community Grant Program is January 15, 2017.
Two categories are considered in awarding grants:
- Community Outreach grants - to support those services, activities, and events that contribute to the economic viability, health or safety, or general well-being of those residing in the community.
- Economic Development grants - to support communities in their efforts to create new jobs, retain businesses, and to provide incentives for prospective or newly developing industries. Tax-exempt, nonprofit, community organizations or groups in BEK Communications Cooperative’s serving area are eligible to apply for the Common Cents Community Grant Program. Funding is awarded twice each year.
To see if you qualify or to get an application, please visit our website at www.bektel.com/grants or call our office at 1-888-475-2361.
Get your BEK Scholarship applications!
BEK Communications Cooperative is proud to offer several scholarship opportunities for high school and college students*. Check it out!
Up to three $500 scholarships awarded in each of these three categories!
**BEK Academic Scholarship**
- Students must be enrolled in an accredited college or university working towards a bachelor’s degree.
- Applications will be judged on grades, appearance of application, school activities, volunteer work, work experience, home activities and creativity.
**BEK Vocational / Technical Scholarship**
- Students enrolled in an accredited vocational, technical or trade college working towards a program certificate, diploma or associate degree.
- Applications will be judged on grades, appearance of application, school activities, volunteer work, work experience, home activities and creativity.
**BEK Broadcasting Scholarship**
- Open to students who have completed training in BEK’s broadcasting program and participated in at least one live event.
- Students being considered must be enrolled in an accredited college or university, vocational, technical or trade college working towards a program certificate, diploma or associate degree.
- Applications will be judged on grades, appearance of application, school activities, volunteer work, work experience, home activities, creativity and BEK Broadcasting participation.
How to obtain one of these scholarship applications:
1. From your school counselor
2. Online at www.bektel.com/scholarships.
3. Stop in the BEK office in Steele at 200 East Broadway or the Valley City office at 415 Wintershow Road.
4. Request by phone: 475-2361 or toll free at 1-888-475-2361.
These BEK Scholarship applications must be postmarked by **March 8, 2017**.
**BEK Technology Scholarship (Valley City State University)**
- Specific to students currently attending or planning to attend Valley City State University, this BEK Technology Scholarship is awarded in the amount of $2,500 for an entire academic year. To be considered, students must demonstrate a financial need, student or student’s parent must be a BEK customer or member, and the student must be enrolled in a program of technology study leading to an Associate or Bachelor degree. Examples of these majors include Software Engineering, Technology Education, and Computer Information Systems to name a few. Recommendations will be made to the BEK Board of Directors by the Valley City State University nominating committee, Financial Aid office, and Enrollment Services staff.
*Please note:* the deadline for this scholarship is **February 15, 2017**.
**BEK Technology Scholarship (University of Mary)**
- Specific to students currently attending or planning to attend the University of Mary, this BEK Technology Scholarship is awarded to two recipients in the amount of $1200 each for an entire academic year. To be considered, student or student’s parent must be a BEK customer or member and student must be majoring in Mass Communications or Computer Information Systems. Recommendations will be made to the BEK Board of Directors by the University of Mary Selection Committee.
*Please note:* Applications accepted from **February 1 – March 1, 2017**.
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**Additional Scholarships Available**
**Foundation of Rural Services (FRS) and BEK Communications.**
The FRS was established in 1994, in cooperation with the NTCA, which is the Rural Broadband Association. In keeping with its mission to sustain and enhance the quality of life throughout Rural America by advancing an understanding of rural issues, the FRS is offering scholarships to further the education of rural youth.
**About the FRS 2017 Scholarships (from the FRS website):**
- FRS scholarships will be awarded per geographic region of the NTCA membership (of which BEK is a member) and one sponsored by an NTCA associate member. The awards will be distributed proportionate to the number of applications received per region. FRS will fund $2,000 of each scholarship, with the sponsoring organization (like BEK) of each winning student providing a $500 match.
- Four $5,000 Staurulakis Family Scholarships will be awarded, with a preference to students who are majoring in math, science, engineering or medicine.
- Two $1,500 TMS scholarships will be awarded to students.
- One $7,000 Everett Kneece Return to Rural America Scholarship will be awarded.
Applications are available from your guidance counselor or can be downloaded from the FRS web site at [http://www.frs.org](http://www.frs.org). Completed applications should be sent directly to FRS, **postmarked no later than March 1, 2017**. Applications postmarked after March 1st will not be accepted.
*BEK Communications Cooperative is proud to sponsor the future of its youth by offering college scholarships to current subscribers of BEK Communications services (over BEK Fiber or copper) and their dependents, excluding immediate families of BEK directors and BEK employees.*
BEKTV Channel Changes
Effective December 1, 2016, Bloomberg/HD (CH #196 / 1196) will be moving from the Expanded to the Variety Package.
MTV Hits (CH #172) rebranded to NickMusic on September 9, 2016. NickMusic airs music videos for kids and it is commercial free.
It’s Time to Replace Your BEKTV Remote Batteries
BEK Communications recommends that you change the batteries in your BEKTV remote twice a year for better performance: Make it a rule of thumb: Change your TV remote batteries when you set your clocks in the fall and spring for Daylight Savings Time.
Channel Additions
North Dakota 65th Legislative Assembly Channels available on BEKTV:
Digital TV:
- ND Senate CH #624
- ND House CH #625
Classic Cable:
- ND Senate CH #56
- ND House CH #57
Coming Soon – HBO/Cinemax Channel Additions
| Channel | CH # | Package |
|--------------------------|--------|---------|
| HBO East / HD | 400/1400 | HBO |
| HBO 2/HD | 402/1402 | HBO |
| HBO Signature East/HD | 404/1404 | HBO |
| HBO Comedy East/HD | 408/1408 | HBO |
| HBO Zone East/HD | 410/1410 | HBO |
| HBO Latino West | 413 | HBO |
| HBO Comedy West | 409 | HBO |
| HBO Zone West | 411 | HBO |
| Max East/HD | 420/1420 | Cinemax |
| MoreMax East/HD | 422/1422 | Cinemax |
| ActionMax East/HD | 428/1428 | Cinemax |
| ThrillerMax East/HD | 430/1430 | Cinemax |
| MovieMax/HD | 432/1432 | Cinemax |
| Max Latino East/HD | 434/1434 | Cinemax |
| 5-StarMax East/HD | 424/1424 | Cinemax |
| OuterMax East/HD | 426/1426 | Cinemax |
Visit www.bektel.com for more information.
Welcome to the BEK Communications Cooperative News Page. The information and notices provided here are directed to members of the cooperative – patrons receiving services in the telephone exchanges of Hazelton, Kintyre, Linton, Lehr, McKenzie, Napoleon, Pettibone, Regan, Robinson, Steele, Sterling, Strasburg, Tappen, Tuttle, Wilton, Wing, Wishek and Zeeland.
Are you Interested in Serving on the BEK Nominating Committee?
The 2016 Nominating Committee will be appointed at the December 21st Board of Directors meeting and your cooperative Board is seeking interested people to serve.
Please contact one of the directors from your district listed below by December 20th if you are interested in serving on the 2017 Nominating Committee.
**District I**
(Regan, Sterling, McKenzie, Wilton, Wing)
Shane Morris, Regan, N.D. – 286-6311
Sanford Williams, Wing, N.D. – 943-2474
**District II**
(Pettibone, Tappen, Robinson, Tuttle, Steele)
Doug Kalianoff, Steele, N.D. – 475-2839
Brett Stroh, Tappen, N.D. – 327-8201
**District III**
(Kintyre, Strasburg, Hazelton, Linton)
Kevin Bernhardt, Linton, N.D. – 782-4213
Vickie Martin, Linton, N.D. – 254-4577
Leo Meier, Hague, N.D. – 336-7258
**District IV**
(Lehr, Zeeland, Wishek, Napoleon)
There will be no election in District IV in 2017
The Nominating Committee’s duty is to submit names of eligible cooperative members who may be interested in being a candidate for election to serve on the BEK Communications Cooperative Board of Directors to represent their respective District.
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**It only take 3 things to automatically qualify for the BEK VIP Fiber Club!**
- BEK Internet Service
- BEK TV Service
- BEK Phone Service with Unlimited Long Distance
**BEK VIP Benefits include:**
- Increased Internet Speeds
- Reduced costs on your Internet and Unlimited Long Distance
- Member Perks (i.e. random drawings, gifts, etc.)
To become a BEK VIP Club Member, get Internet, TV & Phone service. Call 888-475-2361 today!
*Some restrictions may apply.*
It's not every year that BEK cable locates begin in April and go through November, but fortunately, that's how this year played out. What a gorgeous year for outdoor projects!
On average, BEK Communications confirms 11,000 to 12,000 locate tickets per year. Ideally, everyone who is doing an outdoor project (that involves digging), whether it's an individual or a contractor, is required to call N.D. One Call for a cable locate before they begin their project. If this procedure is not followed, cable damages may occur and not only the person doing the digging risks losing services, others do as well. BEK experienced 21 incidences where services were affected by cable damages in 2016. Chances are your services were affected by one of these unnecessary outages. Thank you to those who called N.D. One Call prior to digging projects, preventing the possibility of additional outages.
Construction activity throughout the BEK Cooperative service area remained steady with BEK providing services to new customers as requested. BEK crews removed and replaced sections of fiber optic cable in two highway projects: Highway 3 from Dawson to Napoleon and the "Kintyre Road" south of Steele.
In the BEK Rural Bismarck service area, there were no new development builds in 2016. The State's oil industry slowdown presumably has a trickle-down effect in many areas, including BEK's build out in new developments near Bismarck. BEK continues to provide new services as requested in its existing developments served.
In the BEK Barnes County/Valley City service area, BEK extended service to another 208 rural customers; these new customers comprise grant area as well as some non-grant area customers. Overall, BEK acquired 350 new customers in the Barnes County/Valley City service area.
Major milestones were accomplished with BEK's Rural Morton and Oliver County Fiber-to-the-Home project. BEK crews diligently worked on engineering and staking this past summer and the Missouri River was bored this fall. BEK is well prepared to move forward with this project to bring BEK services to approximately 420 new subscribers. To date, sales have been very successful and will continue throughout the fall / winter. In November and December, engineers will be designing the project and contractor bidding will open. If 2017 is a repeat of 2016, we'll have the opportunity for an early construction season in 2017 and plowing will begin.
**IMPORTANT BEK ANNOUNCEMENT**
Tell Your Morton and Oliver County Friends and Relatives...
BEK's Fiber-to-the-Home Project is underway for residents of northeastern Morton and southeastern Oliver Counties whose property is within the BEK Communications Community Connect Grant service area. Go to www.bektel.com/event to find the qualifying area for this project. Those who qualify and are interested in being included in BEK's Fiber-to-the-Home project must contact BEK Communications by December 12, 2016 at 888-475-2361.
*Some restrictions may apply. Service may not be available in all areas.*
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**BEK Customer Experience Program Announced**
Hi, I'm Beth Johnson and I would like to introduce you to an exciting new program at BEK Communications – our Customer Experience Program.
In today’s business world, it’s rare to find a company genuinely focused on their customer’s experience. By their nature, cooperative-based businesses like BEK Communications, are focused on “cooperative” processes and communication with members who share the profits or benefits. And this has been true since our inception as a telephone co-op in 1952.
Over time, though, telecommunication needs have changed which means we have too. We now deliver new generation, fiber optic-based services in and outside of our cooperative area. The melding of these two business functions means we have, and will continue to, encounter challenges never before experienced.
To that end, BEK is pleased to announce our “Customer Experience Program”, with a primary focus on maintaining a cooperative relationship between company and customer, no matter what the future brings.
As lead consultant of the Customer Experience Program, I’ll be your direct link to BEK Communication’s CEO Derrick Bulawa and other company decision makers in the company. Together with current, future and past BEK customers, we will define what BEK does well, what we do poorly and where we excel. Because I’m new to BEK, I have the advantage of a fresh perspective combined with the backup resources, skills and history provided by BEK’s knowledgeable team of employees.
Our amazing Customer Service team will remain in place to fulfill your service requests, billing inquiries and technical and support needs. Moving forward, I will handle questions or problems that go far beyond normal queries. Simply put, I will be empowered to:
- provide customers with assistance in all areas of BEK’s business
- seek resolution for both customer and company
- develop procedures to ensure problems do not re-occur
- maintain open and frequent lines of communication with customers regarding problem resolution
Feel free to call me directly at 475-1279. I look forward to serving each of you. We cooperatively strive for an unparalleled customer experience with BEK Communications, each and every time.
Many blessings to you and yours this holiday season.
**Do I Need to Dial “1-701” or Not?**
Let’s take a look at the map above to determine when it is necessary for BEK customers to dial “1-701” and when it is ok to just dial seven numbers.
- Anytime people within the BEK Communications Cooperative service area call each other from their BEK landline, they should just dial seven digits. Do not dial 1-701 before dialing your party’s number. For instance – if someone from Steele wants to call someone from Braddock, it’s now toll free for BEK customers so they only need to dial seven digits.
- Anytime people within the BEK service area call Bismarck numbers including Bismarck originated cell phone prefixes*, just dial direct, which means just dial seven digits. (See the cell phone prefix list to the right)
These towns (colored areas on map) should use 7-digit dialing when calling each other and **Bismarck prefixes listed in paragraph**
- Arena (Prefix 943)
- Braddock (Prefix 332)
- Crystal Springs (Prefix 327)
- Dawson (Prefix 327)
- Driscoll (Prefix 387)
- Hague (Prefix 336)
- Hazelton (Prefix 782)
- Hull (Prefix 336)
- Kintyre (Prefix 332)
- Lake Isabel (Prefix 327)
- Lake Williams (Prefix 273)
- Lehr (Prefix 378)
- Linton (Prefix 254)
- McKenzie (Prefix 673)
- Menoken (Prefix 673)
- Moffit (Prefix 387)
- Napoleon (Prefix 754)
- Pettibone (Prefix 273)
- Regan (Prefix 286)
- Robinson (Prefix 392)
- Steele (Prefix 475)
- Sterling (Prefix 387)
- Strasburg (Prefix 336)
- Tappen (Prefix 327)
- Temvik (Prefix 782)
- Tuttle (Prefix 867)
- Westfield (336)
- Wilton (734)
- Wing (Prefix 943)
- Wishek (Prefix 452)
- Zeeland (Prefix 423)
**Bismarck prefixes in BEK’s calling area:**
202, 204, 214, 220, 221, 222, 223, 224, 226, 250, 255, 258, 319, 323, 328, 333, 354, 355, 390, 391, 400, 425, 426, 471, 516, 527, 530, 557, 595, 712, 751, 801, 805, 934, 955, 989
**BEK Communications Cooperative Board of Directors**
The Board of Directors are the elected officials who meet monthly to guide the progress of the Cooperative and its subsidiaries. They provide strategic vision, keep abreast of changes in the industry and continue to influence national policy ensuring that rural North Dakota will always have access to emergent telecom services at affordable rates. The BEK Board is comprised of nine directors serving four districts as listed below:
- **Brett Stroh**, President........................................... Tappen ........................................... 327-8201
District II
- **Kevin Bernhardt**, Vice President.......................... Linton ........................................... 782-4213
District III
- **Billie Becker**, Secretary/Treasurer ..................... Wishek ........................................... 452-2928
District IV
- **Gerald Burlack**...................................................... Wishek ........................................... 452-4337
District IV
- **Doug Kalianoff**.................................................... Steele ........................................... 475-2839
District II
- **Vickie Martin**....................................................... Linton ........................................... 254-4577
District III
- **Leo Meier**............................................................. Hague ........................................... 336-7258
District III
- **Shane Morris**....................................................... Regan ........................................... 286-6311
District I
- **Sanford Williams**............................................... Wing ........................................... 943-2474
District I
- **Derrick Bulawa**, CEO/General Manager ................. 701-475-1234
Manager Feedback................................................ email@example.com
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**Beacon Trivia Questions**
1. If you see a vehicle license plate beginning with the letters BEK, it is likely that this vehicle belongs to BEK Communications. True or False? ________
2. It is a good idea to change the batteries in your BEKTV remote _______ a year.
3. BEK is hosting two Christmas Open Houses – one at the office in Valley City and one at the office in __________ on Thursday, December ______.
Entries must be received by January 10, 2017.
Name _______________________________________________________
Phone Number _______________________________________________
Clip and send to the BEK office at P.O. Box 230, Steele, ND 58482. You can also email answers to firstname.lastname@example.org. BEK will draw for five $5.00 credits to be applied to the winners’ bill. |
Improving Health through Nature
Friends of the Chicago River launched our Inside, Out & About initiative this year as a purposeful, in-person, and virtual engagement resource that illuminates the many benefits of spending time outdoors, building a relationship with nature, and improving individual health.
With easy-to-use online materials and a podcast (which can be accessed at chicagoriver.org), we take people on a journey along the Chicago River system, exploring the wonderful places and introducing the people who make the river system and surrounding communities special. The resources include in-depth looks at river system sites, their history, health, wildlife, family activities, community connections, and wellness. To ensure the programming reaches a broad audience, all online programs are available in Spanish and English.
“The goal of Inside, Out & About is to build relationships with the river and these extraordinary landscapes for everyone, especially people who live in communities where there is less green space and higher rates of flooding, basement backups, and air pollution, which are predominantly Black and Brown,” said Margaret Frisbie, Friends’ executive director.
By promoting the use of natural areas, Inside, Out & About encourages stewardship, and helps people understand that being outside in nature is good for physical and emotional health. Studies show that as little as 120 minutes a week in nature can improve physical health and mental well-being.
“Over the last 16 months there has been a surge of people outside along the river north and south,” said Frisbie. “By using a multidisciplinary approach, we hope to empower them and other newcomers to learn about and enjoy the wide variety of natural areas within the Chicago River system and to help them learn about the physical and emotional health benefits of being in nature. There’s lots of great information and fun outdoor activities for people of all ages.”
Frisbie hosts the monthly Inside, Out & About podcast that includes interviews with wildlife scientists, environmental journalists, authors, artists, musicians, and Chicago history experts.
Connect to Nature with Hands-on Learning
Students, families, individuals, and groups are deepening their connections with nature through hands-on learning as part of our Inside, Out & About initiative.
At the Forest Preserves’ Kids’ Fest at Wampum Lake in July, our ecology outreach manager Mark Hauser helped more than 100 kids and parents learn about chemistry testing and water quality. Kids also got to make a craft on insect metamorphosis to take home.
Kids’ Fest is one of the largest events of the Forest Preserves of Cook County.
Susana Guerrero and her daughters Yuliana and Eliana exploring water quality at Kids’ Fest this summer.
Story continued on page 5...
Swimming with Unicorns
Friends’ inaugural Summer Float Party, hosted with Metropolitan Water Reclamation District (MWRD) Commissioner Josina Morita in August, was a smash success. Over 70 people happily floated about and fell in the North Shore Channel including kids of all ages, Friends’ members and partners, and lots of elected and local officials including Cook County Board President Toni Preckwinkle. President Preckwinkle is a veteran river swimmer; she also joined us for the Big Jump three years in a row. Ever creative in their choices of craft, the floaters turned up with traditional rings, inflatable sofas, roosters and fried eggs, dragons, and, yes, even a unicorn.
The Summer Float Party is the next step in our effort to draw attention to the fact that 10 years after USEPA approved swimming as a protected use in many reaches of the Chicago River system after an 11-year campaign and a record number of hearings before the Illinois Pollution Control Board, regulators have still not enforced the rule. That is not to say that people don’t swim in the river because we know they do. Last summer I recorded a dozen children in the Upper North Branch at LaBagh Woods having a merry time splashing about—in an area of the river that is subject to combined sewer overflows (CSOs). This July I saw a little family wading in the river just above the River Park Riffle on a beautiful summer day—again in a reach where CSOs occur.
While the subjects of my anecdotal observations may not number in the thousands, the number of people who are recreating in and on the river and getting wet swimming, rowing, paddling, fishing, floating, and on jet skis certainly does. It is time that USEPA and Illinois EPA step up and enforce the rules.
The river is cleaner than it has been in over 100 years. Advocates including Friends have completed projects which improve water quality and secured significant legal victories that have resulted in essential changes to the rules and how we invest in the river. Today, according to MWRD, water quality stations are consistently recording levels well within the Illinois EPA safety targets for Primary Contact Recreation waters.
While there is more work to do to ensure equitable access and infrastructure and develop strategies that address complicating factors (e.g., sediments and boat traffic), it is clear that the Chicago and Calumet Rivers are clean enough for swimming most of the time. And now, it is time for our government agencies to make it safe for everyone everywhere all of the time.
And then we can all swim with unicorns.
Margaret Frisbie
Executive Director
Bridgehouse Museum News
Annual Summer Cruise Moves to Autumn
Support Friends’ McCormick Bridgehouse & Chicago River Museum by joining us for the eighth annual cruise on Thursday, October 14 from 6 to 8 p.m. This highly anticipated event unites river-front businesses and Chicagoland leaders in support of the museum’s education and public outreach programs.
A great opportunity to get to know less familiar reaches of the river system, the cruise will travel down the South Branch of the Chicago River. Tickets include an open bar, appetizers, and entertainment. This year’s cruise is presented by the Molson Coors Beverage Company, PepsiCo, and Wendella. Lead sponsors are d’Escoto, Inc., and Saul Ewing Arnstein & Lehr. Additional sponsors include City Cruises, The Fletcher Family, The Robert R. McCormick Foundation, and The Wrigley Building.
All guests will be required to show proof of vaccination against COVID-19. More information and tickets are available at chicagoriver.org.
Award-Winning Exhibit
In June the Bridgehouse Museum and our partners at the design firm Space Haus, received an award from the American Alliance of Museums (AAM) in its Excellence in Exhibition Label Writing Competition. The annual competition invites writers, editors, and museum visionaries to submit their best labels – the primary tool for sharing ideas, information, and stories with the public – for judging by a diverse selection of esteemed jurors from the museum and heritage sector.
The museum’s entry entitled “A River and Its City” is the large interpretive panel exhibit located directly opposite the museum entrance. As the first interpretive content encountered by visitors, the exhibit evokes curiosity and excitement as well as orients visitors geographically and temporally.
The award-winning exhibit is part of a major update of the museum’s exhibits last summer that showcases a river teeming with wildlife and the progress made since the museum first opened in 2006. The exhibits reflect the action and advocacy of Friends and our partners to improve the health of the river.
Mobile Cart Coming to the Museum
The museum is honored to receive an Institute of Museum and Library Services grant supporting a mobile cart with hands-on, immersive experiences and educational materials, which will allow the Bridgehouse Museum to reach a broader and more diverse audience along the Chicago Riverwalk plaza in front of the museum. The cart will be introduced for the 2022 museum season.
The Bridgehouse Museum is open Thursday through Monday from 10 a.m. to 5 p.m. through October 31. Private event rentals are available as well as guided tours on weekends. The museum is participating in the acclaimed Open House Chicago event on October 16 and 17. Bridge lift viewing reservations where guests get an up close look at the massive gears of the DuSable Bridge in motion are available at bridgehousemuseum.org. If you are interested in a private rental for a fall bridge lift or an event, please contact Josh Coles at email@example.com.
Community Action on Sewage and the River
Last spring Friends of the Chicago River began hosting community meetings to inform the outcome of Chicago’s next National Pollution Discharge Elimination System (NPDES) permit, which regulates polluted discharges into the Chicago and Calumet Rivers from Chicago’s combined sewer outfalls. There are more than 300 such sewer outfalls that discharge directly into the Chicago and Calumet rivers; the City is responsible for over 180 of them. An NPDES permit is required through the Clean Water Act which provides criteria and mechanisms for water quality attainment including the NPDES permit process.
At the meetings, City staff presented updates on their efforts to reduce sewer overflows and Friends’ partners and community stakeholders discussed hopes for future uses such as safe swimming and improved habitat, and their frustrations with litter, combined sewer overflows, and limited access to the river in too many communities. The discussions will be used as the foundation of a draft permit that will be developed this fall and presented to Illinois EPA.
“A community approach was vital to ensure that everyone had a voice in these permits which will influence the health of the river for decades to come,” said Margaret Frisbie, executive director of Friends of the Chicago River. “Our goal is to establish effective, enforceable permits that improve the river; protect public health; and reduce sewage, stormwater, and litter pollution.”
Organizations participating in the meetings included the Alliance for the Great Lakes, Illinois Environmental Council, Little Village Environmental Justice Organization, Pilsen Environmental Rights and Reform Organization, People for Community Recovery, River Park Advisory Council, South Branch PAC, Urban Rivers and staff from the City of Chicago including Chief Sustainability Officer Angela Tovar. The NPDES review process was developed by the Water Quality Task Force which currently includes Friends, the Abrams Law Clinic at the University of Chicago, Environmental Law & Policy Center, Openlands, and Sierra Club-Illinois Chapter.
Hundreds of sewer outfalls discharge to the river such as this one near Clark Park in Chicago.
New Staff at Friends
Friends is growing our capacity for watershed planning and for building partnerships across the watershed with new team members Aqsa Ali, project planner, and Joe Hinton, director of environment, equity, and engagement.
Ali brings several years of experience managing Geographic Information Systems (GIS) for data monitoring, data management, and training programs. She works on several watershed-scale data collection and analysis projects including the creation of a watershed-wide decision support mapping tool that will get underway this fall. Prior to joining Friends, Ali was a GIS analyst at Davey Resource Group, Inc., where she managed data maps to maintain trees along ComEd power lines as well as conduct GIS training for field staff.
Hinton has researched and utilized strategies to help a diverse array of audiences develop a commitment to the environment and discover their role in sustainability, conservation, and justice settings. As a researcher and learning resource specialist with the University of Wisconsin Population Health Institute, Hinton served on a team developing learning opportunities to help people deepen their understanding of health, health equity, and utilizing data to move to action. Hinton was also an assistant professor of geography at Harold Washington College, one of the City Colleges of Chicago.
How to Listen to the Landscape
Chicago sound artist, designer, and composer Norman W. Long helps people listen to the landscape to breakdown the barriers between ourselves and the natural world. He leads sound walks with the Chicago Park District’s Night Out in the Parks program to help people quietly contemplate nature so they can see it and hear it more deeply.
As a guest on Friends’ Inside, Out and About podcast about Big Marsh Park, Long discussed sound art production using field recording, electro-acoustic composition, and dub technique within the larger context of landscape. His work includes the Big Marsh Soundscape.
Long is also a board member of the Midwest Society of Acoustic Ecology (MSAE) which is dedicated to exploring the role of sound in natural habitats and human societies. Throughout the summer MSAE hosted the Sixth Annual Summer Soundwalks in the Parks which included a Singing Insect Soundwalk at Big Marsh Park in August. Follow Long and his work on Twitter @n_dub_L or listen to his work at soundcloud.com/normanlong and at normanlong.bandcamp.com. Visit chicagoriver.org to listen to our interview with Long.
Story continued from page 1
Most of the initial Inside, Out & About episodes feature significant sites of the Calumet region including Kickapoo Woods, Beaubien Woods, Big Marsh Park, and Wampum Lake. Other episodes include LaBagh Woods on Chicago’s Northwest Side, the Chicago Portage National Historic Site, and Bubbly Creek, the South Fork of the South Branch of the Chicago River.
In-person programming includes Canoe & Clean events led by Friends’ Volunteer and Events Coordinator Annette Anderson, and workshops and field trips led by Friends’ Ecology Outreach Manager Mark Hauser, who helps students and families learn about natural areas through hands-on water quality testing and habitat assessment.
With the generous support of the Walder Foundation, Inside, Out & About builds on Friends’ work to improve and protect natural areas by advocating for meaningful policies, planning, and programs such as the Chicago-Calumet River Watershed Council. All residents and elected officials of the watershed benefit from better understanding of our rich natural heritage and local natural resources and the need to protect, increase, and restore them.
The Watershed Council is a coalition of government, planning, and nonprofit partners working across traditional boundaries to develop policies and implement projects that increase the use of nature-based solutions to manage stormwater, create habitat, improve community health, combat climate change, and more.
Chicago River Day Success
Chicago River Day 2021 was a huge success. More than 2,000 individuals, families, community groups, and corporate teams participated in Chicago River Day. They volunteered in and along the river system on May 8 at 74 locations in the city and suburbs, making the Chicago River system healthier and more accessible for people, plants, and animals.
Volunteers fanned out as far north as Lincolnshire, Lake Forest, and North Chicago in Lake County and south and southwest including Dolton, Riverdale, Palos, and Summit. Following Chicago River Day was a summer-long litter removal effort under Friends’ Litter Free Chicago/Calumet River program including volunteer cleanups on the river’s banks and by canoe.
Collective, on-the-ground action like Chicago River Day is vital to raise awareness of the stubborn problem of litter. Since 1992, Chicago River Day volunteers have carted off over 986 tons of garbage and invasive plant material from the Chicago River system and restored banks along its 156 miles and its tributary streams.
Alaina Harkness, executive director of Current, hoisting litter at Beaubien Woods (above) and dedicated volunteers remove a discarded tire at Big Marsh Park (left).
Friends would like to thank our sponsors for making the 2021 Chicago River Day possible:
**Presented by**
**Stream Sponsors**
- Exelon
- Lincoln Yards
- McDermott Will & Emery
- Wolf Point
**Creek Sponsors**
- Stacee Hasenbalg and Bahram Forouhi
- Daniel Kilduff and Ellen Fryda
- Kirkland & Ellis
- Mars Wrigley Foundation
- My Block My Hood My City
- Site Landscape Architecture Urban Design
- Wateriders Chicago Kayak Tours and Rentals
**Marsh Sponsors**
- Green Thumb
- REI Co-op
- CWR
- Schulze & Burch Biscuit Co.
- Wight
**Spring Sponsors**
- Bridgeport Art Center
- S-Cagoriver
- LRS
- Lakeside Bank
- Rockwell on the River
- WealthPlanners
- Sally Fletcher
- Commissioner Mariyana Spyropoulos
- Oppenheimer
**Tributary Sponsors**
- American Rivers
- Athletico Physical Therapy
- Bubbly Dynamics
- Christopher B. Burke Engineering
- Essanay Studio and Lighting
- Healthcare Engineers Society of Northern Illinois
- Lake County Stormwater Management Commission
- Lawrence’s Fish & Shrimp
- Related Midwest
- Sims Metal Management
- SWCA Environmental Consultants
**Organizational Partners**
- Centennial Volunteers
- Chicago Park District
- City of Chicago
- Forest Preserves of Cook County
- Metropolitan Water Reclamation District of Greater Chicago
---
**Alongside the Little Cal - Science Comes to Life**
Students from various Chicago Public Schools (CPS) spent their summer working with Calumet is My Back Yard (CIMBY).
Their service this summer took them to Kickapoo Woods, nestled along the Little Calumet River. There they spent a day with Friends’ Ecology Outreach Manager Mark Hauser learning to conduct water quality tests, assessing the quality of natural areas, hiking along the river, and spending time out in nature.
CIMBY is a joint program of The Field Museum and CPS. It is an organization that works with high school students from the South Side of Chicago to improve natural sites and bring science lessons to life.
Students in the CIMBY program this summer doing a plant quality assessment at Kickapoo Woods.
Improving Habitat on The Little Cal
Friends and our partners at the Shedd Aquarium improved habitat in the Chicago River System this summer by installing native aquatic plants along the Little Calumet River. Through our Paddle and Plants program, volunteers canoed from Kickapoo Woods on the Little Calumet to plant lizard’s tail and water willow along the banks. Over time the plant species expand into lush colonies in the river’s emergent habitat providing many benefits including areas for fish to locate food and rest, bank erosion control, and water quality improvement. This initial planting in the Little Calumet is an extension of successful plant installations in the North Shore Channel.
Welcome to Michael Moran
Friends of the Chicago River is pleased to welcome Michael Moran, executive vice president of Aon, to Friends’ Board of Directors. Moran has been a supporter of Friends for over a decade and Aon served as a Lead Sponsor for this year’s Chicago River Day.
“The Chicago River is a tremendous natural asset that is vital to the public good, our health, and the health of wildlife,” said Moran, who regularly hikes, jogs, and bikes along the river from Horner Park through the North Branch trails. “The work of Friends to improve the quality and openness of the Chicago River system as a blue-green corridor is fantastic. I’m massively impressed by what Friends has been able to achieve. Yet at the same time it’s unfinished, there’s a ton more to do so I’m excited to be a part of helping guide the great work of Friends.”
Moran also serves on the board of Friends of Northside College Prep in the North Park neighborhood of Chicago.
RIFFLES & CURRENTS
CLIMATE NEWS
A report by the Great Lakes and St. Lawrence Cities Initiative released in July finds that communities along the Great Lakes and St. Lawrence River will spend “nearly $2 billion over next five years to combat coastal damages from climate change.” One piece of the climate solution is to make peace with nature and use it as a force for good. Landscape-scale restoration, such as Friends’ Crooked Creek project funded by the Chi-Cal Rivers Fund, and the utilization of nature-based green infrastructure to capture stormwater in urban areas can have an enormously beneficial approach. Nature-based solutions reduce sewage and litter pollution, flooding and basement backups, the urban heat island effect, and air pollution. They also improve wildlife habitat, physical health and mental well-being, and environmental justice opportunities. Read the full report at glslcities.org.
STUDENTS LEARN ABOUT WATER QUALITY
People across the watershed are deepening their connections with nature and increasing their awareness of our natural areas through hands-on learning as part of our Inside, Out & About initiative. Friends’ Ecology Outreach Manager Mark Hauser, who leads our Chicago River Schools Network, trained a group of high school students at Beaubien Woods this summer to conduct water quality testing as part of the Forest Preserve Experience, a five-week summer program for high school students to get a hands-on education in conservation, and summer employment. The program includes restoration work such as invasive plant removal, litter cleanups, and opportunities to learn about nature and explore green jobs and career opportunities.
Northern Watersnake
Throughout history, humans have had a complex relationship with snakes; wary at best, sometimes loving, but mostly fearful. Even those who work outdoors and encounter them frequently can be scared of snakes.
Yet despite some humans’ aversion, snakes are amazing animals. They are well-adapted to their habitat, important to the environment, and just want to be left alone. And snakes are beneficial. They rid our communities of pests, rarely, if ever, hurting humans always choosing flight over fight unless they aren’t given a choice.
Stephen Bell is not a huge fan of snakes, but does appreciate and respect them. Bell is the director of the brand new Ford Calumet Environmental Learning Center at Big Marsh Park, a 280-acre park in the South Deering Community of Chicago with off-road biking, nature areas for bird watching, and hiking trails.
Big Marsh is great habitat for snakes. As Bell says, “At first, I was somewhat relieved to only find garter snakes and McKay’s brown snakes, both of which are pretty cute and about as non-scary as a snake can get. In 2020 I started to see what I thought were common watersnakes at Big Marsh.” These were later identified as northern watersnakes.
According to Bell, “Many contemporary sightings of northern watersnakes have occurred on the southeast side of Chicago where marshland, rivers, and other aquatic habitats allow them to thrive. So far, 2021 has proven to be a banner year for sighting watersnakes at Big Marsh, some impressively large and inquisitive—not that I’ve gotten very close.”
By way of identification, the northern watersnake is light brown or gray color with darker bands of black or brown on its neck and body. The older the snake the darker the pattern generally becomes. Some appear almost entirely black. They can grow to over four feet in length, although they usually average under three. Females are slightly larger than males.
The northern watersnake is active during the day and at night. They are most often seen basking on rocks or trees at the water’s edge. They hunt for food in the shallow water and on the shoreline, preying on small fish, frogs, worms, leeches, crayfish, salamanders, small birds, and even mammals.
Muskrat houses and beaver lodges are good places to find northern watersnakes. These larger herbivores don’t eat the snake, and the snakes are sheltered from the heat and cold. Northern watersnakes live their entire lives in bodies of water where food is plentiful, and away from human development.
Unlike most other snakes, female watersnakes do not lay eggs, but rather, keeps them protected inside her body. The eggs hatch inside the mother and she gives birth to live young. The young snakes, each about seven inches long, are born in the late summer and must immediately fend for themselves. The mother snake can give birth to as many as 30 young, but the average is only eight.
Many larger animals prey on watersnakes including herons, raccoons, foxes, and snapping turtles. The northern watersnake, although nonvenomous, resembles the venomous cottonmouth. For this reason it is often killed by humans out of fear. Unlike the cottonmouth, watersnakes have a long slender body, a flattened head that is the same width as the neck, and rounded pupils. The venomous cottonmouth is not found in Chicago or Cook County at all.
Friends of the Chicago River gratefully acknowledges all the ways members, donors, and partners helped us achieve our mission to improve and protect the Chicago River system for people, plants, and animals from March 16, 2021, through August 11, 2021. Individuals, businesses, and organizations who have given or pledged $250 and above are listed below.
**The Otter Society**
The Otter Society is Friends’ giving society and recognizes individuals, businesses, and foundations that contribute $1,500 annually to the General Operating Fund or the Voice for the River Endowment. Chicago River Legacy members, who are thoughtfully providing for Friends in their estate plans, are also recognized as Otter Society members.
Anonymous (6)
Richard and Andrea Amend
Vince and Sally Anderson
Kenneth Arenberg and Susanne Swisher
Atrium Landscapes
Cinda Axley
G. Carl Ball Family Foundation
Judith Bassoul
Alvin H. Baum Family Fund
Kent Brown and Jane Jacobsen-Brown
Chuck* and Jodi Cerny
City Cruises
Craig and Kate Coit
Grant Crowley
Carolyn Eleanore Damon*
Family Foundation
Albert Ettinger and Susan Lannin
Sally Fletcher
Margaret Frisbie
Norm and Cynthia Goldring
Ryan C. Green
Cy H. Griffith and Maria Shay Griffith
Stacee A. Hasenbalg and Bahram Forouhi
Thomas and Barbara Honn
Hunter Family Foundation
Eugene and Sasha Jarvis Charitable Gift Fund
Zachary Huelsing
Pamela and Daniel Loewenstein
Jessica Merrick
Michael and Kim Moran
John and Sarah O’Connell
Odell Brewing Company, Inc.
William and Jean O’Neill
Ozinga Bros., Inc.
David Phillips/Phillips Family
David Reinisch and Julie Kiefer
David Reynolds and Stacy French Reynolds
Jack Ringer Family Foundation
Louis and Nellie Sieg Fund
Sloan Valve Company
SPACECO, Inc.
The Edward S. Sprague Foundation
Commissioner Mariyana Spypoulos
Tarko Foundation
Timothy and Shannon VanTassel Waste Management
Wendella Sightseeing Company, Inc.
David Wong
The Wrigley Building
Sean Wynne
Victor and Barbara Zaveduk
**Voice for the River Endowment**
Kenneth Arenberg and Susanne Swisher
Kent Brown and Jane Jacobsen-Brown
Laurene von Klan and Sarah Kilpatrick
David Wong
**Chicago River Legacy Society**
Kent Brown and Jane Jacobsen-Brown
Chuck* and Jodi Cerny
Carolyn Eleanore Damon*
Family Foundation
Sally Fletcher
Margaret Frisbie
David Wong
**Individuals**
**Recurring/Monthly Donors**
Anonymous (2)
Edward DeYoung
Margaret M. Goddard-Knop
Kathy and Jim Gysler
Doug Irmen
Jonathan Lehman and Zachary Huelsing
Elizabeth C. O’Brien
Camden Treadway
Richard Wilson
Virginia Witucke
**Tribute Gifts**
In Honor of Julie Peterson
Pete Leki
In Honor of Mac McFeeley
Sarah Eberhard
In Honor of Louise Barrett
Liz Davidson and Charley Custer
In Memory of Margery Frisbie
Adam Flickinger
Joseph Hinton
Daniel M. Loewenstein
Kim Olsen-Clark
**$5,000 and above**
Anonymous
Judith Bassoul
Kent Brown and Jane Jacobsen-Brown
Chuck* and Jodi Cerny
Craig and Kate Coit
Sally Fletcher
Albert Ettinger and Sue Lannin
Stacee Hasenbalg and Bahram Forouhi
Larry and Denise Kaplan
Daniel Kilduff and Ellen Fryda
Michael and Kim Moran
David Phillips/Phillips Family
**$2,500 to $4,999**
Anonymous
Kenneth Arenberg and Susanne Swisher
Grant Crowley
Lydia and Stephen Kelley
Harry and Meredith Lamberton
Victor and Barbara Zaveduk
**$1,000 to $2,499**
Anonymous (3)
Richard and Andrea Amend
Vince and Sally Anderson
Cinda Axley
Kathleen Carpenter
Janet Dawson
Norm and Cynthia Goldring
Ryan C. Green
Cy H. Griffith and Maria Shay Griffith
Thomas and Barbara Honn
Eugene and Sasha Jarvis Charitable Gift Fund
Johnathan Lehman and Zachary Huelsing
Pamela and Daniel Loewenstein
James Mark
Jessica Merrick
Jace Mouse
Elizabeth C. O’Brien
John and Sarah O’Connell
William and Jean O’Neill
David Reinisch and Julie Kiefer Fund
David Reynolds and Stacy French Reynolds
Commissioner Mariyana Spypoulos
Timothy and Shannon VanTassel
Sean Wynne
**$250 to $999**
Anonymous (6)
Louise Barrett
Liz Davidson and Charley Custer
Jymme Chauuki
Owen and Kristin Fayer
Susan and Paul Freehling
Debra Hass
Brent A. Hoffmann
Rebecca and Ashley Kerschen
Howard Learner
Jim Macdonald
**Foundations, Corporations, and Others**
**$10,000 and above**
Anonymous
Aon
G. Carl Ball Family Foundation
Bonneville Environmental Foundation
Crown Family Philanthropies
Carolyn Eleanore Damon*
Family Foundation
Gaylord and Dorothy Donnelley Foundation
The Richard H. Driehaus Foundation
Hunter Family Foundation
The Knowles Foundation
Lincoln Yards, a Sterling Bay Development
McDermott Will & Emery
Molson Coors Beverage Company
Ozinga Bros., Inc.
REI
**$3,500 to $9,999**
Chicago Botanic Garden
Chicago Waldorf School
Illinois Clean Energy Community Foundation
Kirkland & Ellis, LLP
Mars Wrigley Foundation
The Siragusa Family Foundation
site design group, ltd.
Sloan Valve Company
The Edward S. Sprague Foundation
Waste Management
Wendella Tours and Cruises
**$1,000 to $3,499**
Anonymous (2)
Atrium Landscapes
Alvin H. Baum Family Fund
Bridgeport Art Center
Christy Webber Landscapes
City Cruises
d’Escoito, Inc.
Euromonitor International, Inc.
Green Thumb Industries
The Harriet Fund at The Chicago Community Foundation
Hines
Levenfeld Pearlstein, LLC
Odell Brewing Company, Inc.
Oppenheimer & Co., Inc.
Jack Ringer Family Foundation
Rockwell on the River
Schulze & Burch Biscuit Co.
Louis and Nellie Sieg Fund
Sims Metal Management Midwest
SPACECO, Inc.
Tarko Foundation
Urban Works
WealthPlanners, LLC
The Wrigley Building
Continued on page 11...
YES! I want to support the Chicago River’s recovery and renaissance!
By becoming a member, you are making a strong statement that you want a healthier river for people, plants, and animals. Gift memberships are also available.
☐ $1,500+ The Otter Society
☐ $1,000 American Mink
☐ $500 Great Horned Owl
☐ $250 Yellow-headed Blackbird
☐ $156 Black-crowned Night Heron
☐ $156 Tributary Member (Emerging Leaders)
☐ $___________ I/we wish to only make a donation at this time.
Contact your employer’s Human Resources department today to find out if they have a matching gift program.
Name ________________________________________________________________
Company (if applicable) ________________________________________________
For recognition purposes, please list my name or company as _______________________
Address _____________________________________________________________
City, State, Zip _______________________________________________________
Preferred phone __________________________ Email _________________________
☐ My check made payable to Friends of the Chicago River is enclosed.
☐ Charge my credit card (circle one) American Express Discover MasterCard Visa
☐ Yes, please charge the 3.25% credit card transaction fee to my card so that 100% of my membership/donation goes to Friends.
Card # ________________________________________________________________
Exp. Date __________________________ Security code _______________________
Cardholder’s name and billing address (if different than above) _______________________
______________________________________________________________
☐ I/we wish to be anonymous. Please do not list my/our name.
☐ I am curious about: ☐ volunteering ☐ sponsorship ☐ planned giving
☐ Please DO NOT add me to your email communications list.
Your generous support directly impacts Friends’ efforts to improve the Chicago River’s health and vitality in three important areas: education and outreach; on-the-ground projects; and public policy and planning.
Members receive:
• Free general admission plus discounts on bridge lift, tour tickets, and merchandise at our McCormick Bridgehouse & Chicago River Museum,
• Discounts on our canoe trips,
• A subscription to The River Reporter newsletter,
• Volunteer bulletins, email alerts, and other opportunities for hands-on involvement, plus
• Invitations to special events such as Chicago River Day, Big Fish Ball, and Summer Cruise, and
• Listing in Friends’ Annual Report.
Otter Society members represent Friends’ most important philanthropic partnership. In appreciation of their generous support, they enjoy unique benefits at three levels of giving. To learn more about how you can participate as an individual, household, or business, please contact firstname.lastname@example.org or call (312) 939-0490, ext. 19.
Interested in joining our monthly giving club?
Support Friends year-round through automatic monthly contributions as small as $10 per month. Contact membership at email@example.com or call (312) 939-0490, ext. 10.
Friends of the Chicago River is a nonprofit 501(c)(3) organization. Please send this form and payment to: Friends of the Chicago River at 411 South Wells Street, Suite 800, Chicago, IL 60607, or join online at www.chicagoriver.org/get-involved/membership.
Friends’ Annual Meeting Postponed to February
Our Annual Meeting, which is typically an in-person event held in downtown Chicago in October, is postponed to February 2022 to safeguard against the rise of COVID-19 variants. Please check our website in the coming weeks (chicagoriver.org) for more Annual Meeting details to celebrate Friends, our members, our volunteers, and the Chicago River system that all work so hard to improve. If you have questions regarding the Annual Meeting, please contact Annette Anderson at firstname.lastname@example.org or (312) 939-0490, ext. 14.
Plan Ahead:
Contact Friends of the Chicago River to create custom experiences for your family, friends, or corporate team in 2022. A wide array of opportunities are available. Contact Joe Hinton for more information at email@example.com.
Membership opportunities on page eleven. |
Not Just the Luck of the Irish: a Contractual Solution to the Problems of Sovereign Debt Restructuring
Katherine Crispi*
*Fordham Law School
Copyright ©2014 by the authors. *Fordham International Law Journal* is produced by The Berkeley Electronic Press (bepress). http://ir.lawnet.fordham.edu/ilj
NOTE
NOT JUST THE LUCK OF THE IRISH: A CONTRACTUAL SOLUTION TO THE PROBLEMS OF SOVEREIGN DEBT RESTRUCTURING
Katherine Crispi*
INTRODUCTION ...........................................................................................................1860
I. THE CURRENT WORLD OF SOVEREIGN DEBT, DEFAULT, & RESTRUCTURING ..................................................1866
A. The Basics Of Sovereign Debt Default & Restructuring .................................................................1866
1. Sovereign Debt Agreements .....................................................................................................1866
2. Sovereign Debt Default & Restructuring ..............................................................................1868
B. The Nature Of Sovereign Debt Default & Restructuring .................................................................1870
1. The Complexity of Debt Restructuring Negotiations ...............................................................1871
2. The Systemic Costs to the Sovereign ....................................................................................1873
C. The IMF’s Current Role in Restructurings ....................................................................................1875
1. The IMF’s Mission and Political Pressure ............................................................................1876
2. The IMF & Moral Hazard ........................................................................................................1878
II. REFORMING SOVEREIGN DEBT RESTRUCTURING:
WHY IT IS NEEDED AND HOW TO DO IT ........................................................................1879
A. The Republic of Ireland: A Painful Illustration of the Current Landscape of Sovereign Debt ........1879
1. The Irish Economic Slowdown ..............................................................................................1879
2. Ireland’s Austerity Program .....................................................................................................1882
3. Ireland Today ............................................................................................................................1883
* J.D. Candidate, 2015, Fordham University School of Law; B.A., International Relations, 2012, Wellesley College. The Author would like to offer her most sincere gratitude to Professor Caroline Gentile for her invaluable guidance, expertise, and camaraderie throughout the formation of this Note and beyond. She would also like to thank her mother Dorothy for her support and Irish citizenship. ZD. Finally, the Author would like to thank the Volume XXXVII Fordham International Law Journal Board, especially Joanna Pagones.
B. Comparing Statutory and Contractual Reform Proposals ...........................................1885
1. An International Bankruptcy Regime .........................1885
2. Reforming Contractual Terms...............................1886
III. A PROCEDURAL SOLUTION: IMPROVING THE NEGOTIATION PROCESS USING CONTRACT TO MINIMIZE CRISIS TIME VARIABLES.............................................1888
A. The Plan: Adding a Trigger Term to Sovereign Debt Contracts..............................................1889
1. The Benefits of Contractual Reform .........................1889
2. Contracting Around Uncertainty:
The Trigger Term ..............................................1890
B. Why the Trigger Term is Better than Extant Proposals ....1892
CONCLUSION ..................................................................................1893
INTRODUCTION
The European sovereign debt crisis began in October 2009 when Greece announced that the previous administration had severely misreported the country’s 2009 fiscal statistics to the European Union.\(^1\) Following this revelation, investors panicked as they became increasingly concerned about their investments in Greece, as well as other countries in the Eurozone with large amounts of debt: Portugal, Spain, and the Republic of Ireland.\(^2\) Subsequently, the three major credit rating agencies (“CRAs”)—Standard & Poor’s, Moody’s, and Fitch—started to downgrade Greece, Portugal, Spain, and Ireland’s ratings, thus signaling the beginning of the European sovereign debt crisis.\(^3\)
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1. See Kevin Featherstone, *The Greek Sovereign Debt Crisis and EMU: The Failing State In a Skewed Regime*, 49 J. COMMON MIKT. STUD. 193, 199 (2011) (stating that George Papakonstantinou, the Greek finance minister, announced a tripling of the national debt from 3.7% of GDP to 12.5% of GDP); see also Christopher Alessi, *The Eurozone in Crisis*, Council on Foreign Relations, available at http://www.cfr.org/world/eurozone-crisis/p22055?cid=rss-fullfeed-the_eurozone_in_crisis-120211 (last visited Mar. 14, 2014) (explaining the origins of the crisis).
2. Alessi, *supra* note 1 (explaining that instabilities in those markets that existed at this time of heightened investor caution); Paul Taylor, *Anxiety Rises in Euro Zone Bond Market*, THE N.Y. TIMES (Nov. 30, 2009), http://www.nytimes.com/2009/12/01/business/global/01inside.html?ref=europeansovereigndebtcrisis (reporting on the panic spreading throughout bond markets).
3. See generally Martin Mayer, *Credit Rating Agencies in the Crosshairs*, Brookings Institute (2010), available at http://www.brookings.edu/research/articles/2010/08/31-ratingsThis crisis was pervasive enough to destroy the Irish economy, which had been booming for decades.\textsuperscript{4} Although Ireland experienced tremendous economic growth during the period from 1995 to 2000 known as \textit{The Celtic Tiger}, economic conditions had declined sharply when the Irish property bubble burst in 2009.\textsuperscript{5} Banks began scrambling for enough cash to stay afloat.\textsuperscript{6} Attempting to solve this problem domestically, the Irish government guaranteed the banks’ loans, converting their private bank debt into government debt.\textsuperscript{7}
This public sector debt became unsustainable for Ireland.\textsuperscript{8} Ireland therefore had to ask the official sector, the International Monetary Fund (“IMF”) and the European Union, for a bailout.\textsuperscript{9}
\textsuperscript{4} Michael Busby, \textit{Luck of the Irish: How Ireland Has Become the Technological Wonderland of the European Union}, 11 CURRENTS INT'L TRADE L.J. 55, 62-63 (2002) (explaining Ireland’s market competitiveness); Michael Lewis, \textit{When Irish Eyes Are Crying}, Vanity Fair, March 2011, available at http://www.vanityfair.com/business/features/2011/03/michael-lewis-ireland-201103.print (describing the post-collapse situation in Ireland attributing the bubble to a short-term demand for real estate).
\textsuperscript{5} Lewis, \textit{supra} note 4 (describing the post-collapse situation in Ireland). \textit{See generally} GEORGE MORDAUNT, SHEPHERD’S PIE, 191 (2011) (setting forth his experience as a middle class Irish citizen both during the Tiger and after the crisis).
\textsuperscript{6} \textit{See} MORDAUNT, \textit{supra} note 5 at 106 (chronicling his experience as a business owner in dealing with bank representatives); \textit{see also} Lewis \textit{supra} note 4 at 3 (contextualizing the exposure of Irish banks; for example, in 2007 they had lent 40% more to property developers in the failing construction industry than they had to the \textit{entire Irish population} in 2000).
\textsuperscript{7} \textit{See} Credit Institutions (Financial Support) Act 2008 (Act No. 18/2008) (Ir.), available at http://www.irishstatutebook.ie/2008/en/act/pub/0018/sec0006.html#sec6 (providing the Irish Government’s legislative power to take action for financial recovery); Credit Institutions (Eligible Liabilities Guarantee) Scheme 2009 (S.I. No. 490/2009) (Ir.), available at http://www.ntma.ie/business-areas/funding-and-debt-management/eligible-liabilities-guarantee-scheme/ [hereinafter ELG] (providing the text of the Eligible Liabilities Guarantee, Ireland’s legislative response).
\textsuperscript{8} John Murray-Brown & Neil Dennis, \textit{Ireland Guarantees Six Banks’ Deposits}, Fin. Times, Sept. 30, 2008, (describing the effect of the ELG on the Irish national debt); \textit{Irish deficit balloons after new bank bail-out}, BBC NEWS (Sept. 30, 2010), http://www.bbc.com/news/business-11441473 (reporting the Irish debt level as 32% of GDP); Michael Breen, \textit{The International Politics of Ireland’s EU/IMF Bailout}, Irish Studies In International Affairs 75, 8 (2012), available at http://doras.dcu.ie/17600/1/Breen_Ireland_EU-IMF_doras.pdf (behavior and deposits returned to Irish banks).
\textsuperscript{9} \textit{Q&A: Irish Republic bail-out}, BBC NEWS (Nov. 29, 2010), http://www.bbc.co.uk/news/business-11766346 [hereinafter Bail-out \textit{Q&A}] (announcing the general timeline and basic facts of the bail-out); \textit{see, e.g., Eurogroup ministers discuss Ireland
months of global speculation, Ireland signed a Memorandum of Understanding (“MoU”) with these official sector institutions on December 7, 2010; the MoU specified the monetary amount of the assistance package, as well as the economic policies Ireland was required to implement.\textsuperscript{10} The final rescue package amounted to EU€85 billion, with EU€22.5 billion coming from the IMF.\textsuperscript{11} In order to receive periodic installments from the sovereign debt restructuring agreement, Ireland needed to implement a strict austerity program, which included cuts in social programs. For example, the MoU required cutting Disability Allowance from EU€192 to EU€186 per week and reducing Supplementary Welfare Allowance by EU€10 per week.\textsuperscript{12} Such costs came alongside the negative publicity Ireland had endured surrounding the bailout request and negotiations.\textsuperscript{13}
\textsuperscript{10} \textit{Ireland timeline}, BBC News, http://news.bbc.co.uk/2/hi/europe/country_profiles/1038669.stm (last visited March 8, 2014) (outlining the chronology of the bailout); see also \textit{Budget Ireland 2011: Highlights from Brian Lenihan’s Budget Speech from 3:45pm}, FINFACTS IRELAND (Dec. 7, 2010), http://www.finfacts.ie/irishfinancenews/article_1021198.shtml [hereinafter \textit{Budget Ireland 2011}] (reporting on the Minister’s presentation of Budget 2011 as the first step to implement the fiscal consolidation disbursements of bailout funds were conditioned on).
\textsuperscript{11} \textit{The Economic Adjustment Programme for Ireland} (Directorate-General for Economic and Financial Affairs, Eur. Comm’n, Occasional Paper No. 76, 2011), available at http://ec.europa.eu/economy_finance/publications/occasional_paper/2011/op76_en.htm [hereinafter \textit{Memorandum of Understanding}] (providing Ireland’s responsibilities in order to receive the bailout); \textit{Bail-out Q&A}, supra note 9 (announcing the general timeline and basic facts of the bail-out).
\textsuperscript{12} \textit{Budget Ireland 2011}, supra note 10 (reporting on the Minister’ presentation of Budget 2011); \textit{Irish Finance Bill 2011}, FINFACTS IRELAND, (Jan. 21, 2011) http://www.finfacts.ie/irishfinancenews/article_1021463.shtml (reporting on the measures contained in the bill); see also \textit{Ireland timeline}, BBC News, http://news.bbc.co.uk/2/hi/europe/country_profiles/1038669.stm (last visited Mar. 8, 2014).
\textsuperscript{13} See, e.g., \textit{Ireland sets out record austerity budget}, EURACTIV.COM, (Dec. 12, 2010), http://www.euractiv.com/euro-finance/ireland-sets-record-austerity-bu-news-500390 (assessing the Irish newly announced budget as “the toughest budget on record” and referring to the Irish government as a “puppet government” in light of the IMF’s control); Charles Forelle & David Enrich, \textit{Ireland’s Fate Tied to Doomed Banks}, Wall Street Journal (Nov. 10, 2010), http://online.wsj.com/news/articles/SB100014240527487045064045755592360334457040 (reporting on the expanse of the Irish financial crisis); Bruno Waterfield, \textit{Ireland bail-out: ‘gloves off’ as Irish battered into submission over debt crisis}, THE TELEGRAPH, (Nov. 22, 2010), available at http://www.telegraph.co.uk/news/worldnews/europe/ireland/8150233/Ireland-bail-out-gloves-off-as-Irish-battered-into-submission-over-debt-crisis.html (painting a negative picture of Ireland); Ciarian Hancock, \textit{Moody view of
On November 14, 2013, Ireland announced that it would conclude the austerity program in December 2013 by fulfilling its commitments, and it would not extend the program by seeking precautionary credit.\textsuperscript{14} After the IMF and European Union conducted its twelfth review of Ireland’s progress, they approved the disbursement of their final payments, ending the program.\textsuperscript{15} The final review found that Ireland had consistently met deficit targets, successfully consolidated its debt, and implemented expenditure-based fiscal adjustment, or austerity measures.\textsuperscript{16}
The IMF, the European Union, and the CRAs consider Ireland’s progress to be a “success.”\textsuperscript{17} In January 2014, Moody’s became the last credit rating agency to upgrade Ireland’s credit rating back to investment grade, as the country was preparing to satisfy its bailout requirements.\textsuperscript{18} The European Union’s review reported that, “Ireland
\textit{Ireland shared by Central Bank}, THE IRISH TIMES (Dec. 11, 2013), http://www.irishtimes.com/business/sectors/financial-services/moody-view-of-ireland-shared-by-central-bank-1.1623507 (last visited Dec. 13, 2013) (explaining that at the time, credit rating agency’s negative outlook on Ireland continued to deter potential investment).
\textsuperscript{14} European Commission, \textit{Economic Adjustment Programme for Ireland Autumn 2013 Review}, Occasional Papers 167 (Dec. 2013), available at http://ec.europa.eu/economy\_finance/publications/occasional\_paper/2013/op167\_en.htm [hereinafter 2013 Review]; Suzanne Lynch & Harry McGee, \textit{Decision to exit bailout without precautionary credit ‘fully supported’ by EU-IMF}, THE IRISH TIMES (Nov. 14, 2013) http://www.irishtimes.com/news/politics/decision-to-exit-bailout-without-precautionary-credit-fully-supported-by-eu-imf-1.1594695 (reporting Minster for Finance Michael Noonan’s statement that it was in the best interest of Ireland and on the IMF and EU’s support of Ireland’s decision).
\textsuperscript{15} See 2013 Review, supra note 14 (reporting their findings); European Commission, \textit{Commission publishes final review of programme for Ireland – gives green light for final disbursement}, EUROPA.COM (Dec. 13, 2013), http://europa.eu/rapid/press-release\_MEX-13-1213\_en.htm (reporting on the decisions of the EU and the IMF).
\textsuperscript{16} See 2013 Review, supra note 14 (reporting Ireland’s fulfillment of its policy requirements and targets); European Commission, \textit{supra} note 15 (reporting the resulting disbursement of funds).
\textsuperscript{17} European Commission, \textit{European Economic Forecast: Winter 2014}, EUR. ECON. 2 (2014), available at http://ec.europa.eu/economy\_finance/publications/european\_economy/2014/pdf/ee2\_en.pdf [hereinafter 2014 Forecast] (“Ireland has successfully completed its financial assistance programme in December 2013”); see \textit{Ireland: Fourth Review Under the Extended Arrangement and Request for Rephasing of the Arrangement}, IMF Country Report No. 11/356, 49 (Dec. 2011), available at http://www.imf.org/external/pubs/ft/scr/2011/cr11356.pdf [hereinafter IMF Fourth Review] (characterizing the accompanying data as “concrete signs of recovery”).
\textsuperscript{18} Arthur Beesley & John McManus, \textit{Ireland regains investment grade rating from Moody’s}, THE IRISH TIMES (Jan. 17, 2014), http://www.irishtimes.com/business/economy/ireland-regains-investment-grade-rating-from-moody-s-1.1659667 (describing the increase as a “notch” and noting that Moody’s is the last of the three main credit rating agencies to give Ireland an investment level grade); \textit{Rating Action: Moody’s upgrades
has performed very well under this EU/IMF programme, paving the way for successful completion of the arrangement.”\textsuperscript{19}
Many investors, economists, and citizens, however, question the appropriateness of any sort of praise due to the fact that the Irish economy continues to suffer.\textsuperscript{20} The European Union forecasted that Irish GDP will only grow by 1.8% in 2014, while unemployment is expected to remain at 11.9% and youth unemployment is at 26%.\textsuperscript{21} Germany, on the other hand, has an unemployment rate of 5%, and the European Union projected significant increases in German investment, pensions, and wages.\textsuperscript{22} The severity of Ireland’s economic conditions has forced over 397,500 people to leave Ireland since 2008, the highest number since the 1980s, in order to find jobs abroad.\textsuperscript{23} Additionally, the Republic is dotted with half-completed
\textit{Ireland's sovereign ratings to Baa3/P-3: outlook changed to positive}, MOODYS.COM (Jan. 17, 2014), https://www.moodys.com/research/Moodys-upgrades-Irelands-sovereign-ratings-to-Baa3P-3-outlook-changed--PR_290559 [hereinafter Moody’s Rating] (announcing the ratings increase). “Investment grade” indicates that an asset has a relatively low risk of default, thus it refers to the level of ratings at which an investor would purchase an asset. \textit{See Moody’s Rating Symbols and Definitions} (June 2009), available at https://www.moodys.com/sites/products/AboutMoodysRatingsAttachments/MoodysRatingsSymbolsand%20Definitions.pdf (explaining that while Moody’s does not officially rate sovereign debts “investment grade” or not, they do give them ratings parallel to other assets officially rated investment grade).
\textsuperscript{19} 2013 Review, \textit{supra} note 14, at 5; see also European Commission, \textit{supra} note 15, (reporting on the decisions of the EU and the IMF).
\textsuperscript{20} See, e.g., Stephen Castle, \textit{Setting Pace, Ireland Predicts December Exit from Bailout}, THE N.Y. TIMES (Oct. 14, 2013), available at http://www.nytimes.com/2013/10/14/world/europe/setting-pace-ireland-predicts-december-exit-from-bailout.html (discussing Ireland’s future obstacles); Fintan O’Toole, \textit{Ireland’s Rebound Is European Blarney}, THE N.Y. TIMES, Jan. 12, 2014, available at http://www.nytimes.com/2014/01/11/opinion/irelands-rebound-is-european-blarney.html?src=me&ref=general&_r=0 (pointing out that such improvement is found in Ireland’s global economy while its domestic economy remains weak).
\textsuperscript{21} 2014 Forecast, \textit{supra} note 17, at 61 (reporting the European Union’s forecasts for Irish GDP growth and unemployment); Joana Taborda, \textit{Ireland Unemployment Rate}, TRADING ECONOMICS, http://www.tradingeconomics.com/ireland/unemployment-rate (last visited April 3, 2014) (providing youth unemployment statistics and projections); Suzanne Lynch, \textit{Europe forecasts lower growth rate for Ireland in 2014}, THE IRISH TIMES (Feb. 24, 2014), http://www.irishtimes.com/business/economy/europe-forecasts-lower-growth-rate-for-ireland-in-2014-1.1704058 (contextualizing Ireland’s high 122.3% debt to GDP ratio for 2013).
\textsuperscript{22} 2014 Forecast, \textit{supra} note 17, at 57 (reporting the European Union’s projection for German GDP and expansionary fiscal stance); European Commission, \textit{German government projects 2015 GDP growth of 2%; European Commission report}, THE ECON. TIMES (Apr. 8, 2014), http://articles.economictimes.indiatimes.com/2014-04-08/news/48971275_1_gdp-economic-growth-new-report (explaining the European Union’s positive outlook on Germany for 2014).
\textsuperscript{23} Aiden Sheehan, \textit{Emigration still hitting hard as 250 leave daily}, INDEPENDENT.IE (Dec. 27, 2013), http://www.independent.ie/irish-news/emigration-still-hitting-hard-as-250-
building projects that were in progress when the crisis began.\textsuperscript{24} It is in the face of these dismal projections, that the IMF congratulates Ireland and the CRAs upgrade its credit ratings.\textsuperscript{25}
The disconnect between Ireland’s economic reality and the IMF’s understanding of Ireland’s economy is a product of the competing objectives of participating parties.\textsuperscript{26} The IMF bails out countries to stabilize the global economy; the measures it requires sovereigns to implement are focused on facilitating \textit{global} recovery.\textsuperscript{27} Consequently, it can go against the best interest of a nation to implement an IMF-led program.\textsuperscript{28} These measures are not designed to accomplish the domestic restoration that sovereigns with uncontrollable debt levels need.\textsuperscript{29} Sovereign debt lending needs a restructuring process that aligns the economic health of the debtor country with investor repayment.\textsuperscript{30}
This Note analyzes the cost of negotiating a sovereign debt restructuring when economic conditions have reached the point of near catastrophe. Using Ireland as a case study, this Note addresses the complexity of debt restructuring and proposes a contractual solution. Part I of this Note explains the general concepts of sovereign debt default and restructurings, as well as characteristics of the current restructuring process. Part II chronicles Ireland’s recent financial crisis and bailout program to demonstrate the costs of the current process and then compares statutory and contractual approaches to reforming the program. Finally, Part III advocates for
\textsuperscript{24} James Croke, \textit{Chuaigh ‘ar l’a - Debt of A Gaelsman: Ireland’s Sovereign Debt Crisis, National and International Responses}, 32 NW. J. INT’L L. & BUS. 365, 378 (2012) (describing these partially completed residences as “ghost estates”); Lewis, \textit{supra} note 4 (remarking on the site of these projects).
\textsuperscript{25} Paul Krugman, \textit{The IMF on Ireland, The Conscience of a Liberal}, THE N.Y. TIMES (Dec. 21, 2011), http://krugman.blogs.nytimes.com/2011/12/21/the-imf-on-ireland/?_php=true&type=blogs&_r=0 (analyzing the IMF’s review of Ireland and noting that most of the economic growth is in the pharmaceutical industry which does not help most Irish citizens); \textit{IMF Fourth Review}, \textit{supra} note 17 (reviewing Ireland’s progress so far).
\textsuperscript{26} See infra notes 32-45 and accompanying text (categorizing different forms of sovereign debt arrangements and the party interests they reflect).
\textsuperscript{27} See infra notes 92-101 and accompanying text (explaining the IMF and its goals).
\textsuperscript{28} Infra notes 92-101 and accompanying text (outlining the IMF’s interests which are separate from a sovereign’s).
\textsuperscript{29} Infra notes 92-101 (showing that the two parties have different goals).
\textsuperscript{30} See infra notes 62-69 and accompanying text (showing the lack of aligned interests).
contractual reform by advocating for the adoption of a new term to “trigger” or designate the point at which a sovereign must begin to restructure.
I. THE CURRENT WORLD OF SOVEREIGN DEBT, DEFAULT, & RESTRUCTURING
This Part explains how sovereign debt defaults and restructurings are completed. Part A provides an overview of sovereign debt agreements, as well as default and restructuring mechanisms. Part I.B outlines characteristics of the current process and analyzes systemic costs. Part I.C contextualizes the official sector institutions’ involvement in the restructuring process.
A. The Basics Of Sovereign Debt Default & Restructuring
Sovereign debt is a fundraising mechanism by which countries gain access to necessary capital for domestic needs and projects.\(^{31}\) This Section provides background information on the process of restructuring sovereign debt arrangements. Section A.1 discusses the different forms of debt agreements. Section A.2 explains the different courses of action available to a creditor when a sovereign is unable to make payments pursuant to these legal contracts.
1. Sovereign Debt Agreements
The sovereign that sells its debt is commonly referred to as the debtor country, or the borrower, while the purchasers are termed the lenders or the creditors.\(^{32}\) A country’s debt arrangements largely occur in four common forms.\(^{33}\) Bilateral loans are only between two parties; in sovereign debt, they are usually between two governments. These arrangements tend to be more akin to political accommodations
\(^{31}\) See Alina Arora & Rodrigo Olivares Caminal, Rethinking the Sovereign Debt Restructuring Approach, 9 L. & BUS. REV. AM. 629, 629 (2003) (explaining that debt is the largest source of capital to developing countries in the past fifty years); Adam Brenneman, Gone Broke: Sovereign Debt, Personal Bankruptcy, and A Comprehensive Contractual Solution, 154 U. PA. L. REV. 649, 650 (2006) (providing background for the mechanism).
\(^{32}\) See, e.g., Brenneman, supra note 31 (using the phrase “lender”); see William W. Bratton & G. Mitu Gulati, Sovereign Debt Reform and the Best Interest of Creditors, 57 Vand. L. Rev. 1, 12 (2004) (using the phrase “creditor”).
\(^{33}\) See Caroline Gentile, The Market for Odious Debt, 73 LAW & CONTEMP. PROBS. 151, 163 (Fall 2010); John D. Finnerty & Douglas R. Emery, Debt Management: A Practitioner’s Guide, 31–32 (2001) (categorizing the forms debt agreements can take).
whereby the lender’s goal is to affect the borrower’s behavior.\textsuperscript{34} Thus, these agreements between governmental lenders and sovereign debtors are a way for the lender to secure influence rather than maximize economic profit.\textsuperscript{35}
Countries can also enter into private loans; which can be in the form of either commercial loans or sovereign bonds.\textsuperscript{36} Commercial loans are arranged between a sovereign and multiple commercial banks.\textsuperscript{37} They are subject to market forces, and the lending party is usually focused on operating at a profit.\textsuperscript{38}
Sovereign bonds are sold in various capital markets, including the domestic market in the United States and the international Eurobond market.\textsuperscript{39} Institutional lenders, such as commercial banks, investment banks, insurance companies, pension funds, or mutual funds, purchase these bonds for profit maximization.\textsuperscript{40} Bondholders usually are the most diverse group of creditors.\textsuperscript{41}
\begin{footnotesize}
\begin{enumerate}
\item Gentile, \textit{supra} note 33 (explaining bilateral loans); A. Mechele Dickerson, \textit{A Politically Viable Approach to Sovereign Debt Restructuring}, 53 EMORY L.J. 997, 1008-09 (2004) (explaining the importance of political considerations as compared to in other arrangements).
\item See Gentile, \textit{supra} note 33, at 163; see also Albert H. Choi & Eric A. Posner, \textit{A Critique of the Odious Debt Doctrine}, 70 LAW & CONTEMP. PROBS. 33-52 (Summer 2007), available at http://scholarship.law.duke.edu/lcp/vol70/iss3/4 (explaining that these types of loans are frequently made to dictators).
\item See Gentile, \textit{supra} note 33, at 163 (explaining private loan agreements); James M. Hays II, \textit{The Sovereign Debt Dilemma}, 75 Brook. L. Rev. 905, 906 (2010) (explaining the increase in sovereign bonds since the 1980s).
\item See Gentile, \textit{supra} note 33, at 165 (explaining how multiple commercial banks coordinate to form a “lending syndicate” which is managed by a large international bank).
\item Id. at 167-68 (establishing the profit-seeking motives of these loans); Ronald J. Silverman & Mark W. Deveno, \textit{Distressed Sovereign Debt: A Creditor’s Perspective}, 11 AM. BANKR. INST. L. REV. 179 (2003) (arguing that previously the majority of private debt owed by sovereign governments came in this form and these creditors had similar concerns and interests).
\item Gentile, \textit{supra} note 33, at 167; Michael G. Kollo, \textit{Underwriter Competition and Gross Spreads in the Eurobond Market}, EUR. CENT. BANK, Working Paper Series No. 550, 9-12 (Nov. 2005), available at https://www.ecb.europa.eu/pub/pdf/scpwps/ecbwp550.pdf (providing an example by analyzing competition in the Eurobond market).
\item See Hays II, \textit{supra} note 36, at 906 (2010) (explaining that the global debt crisis of the 1980s also spurred the emergence of a secondary market for bonds); Gentile, \textit{supra} note 33, at 163 (providing further background information).
\item See Steven L. Schwarz, \textit{"Idiot's Guide" to Sovereign Debt Restructuring}, 53 EMORY L.J. 1189, 1190-91 (2004) (discussing issues of sovereign debt focusing on state-issued bonds); see Arora & Caminal, \textit{supra} note 31, at 629 (pointing out sovereign bond restructuring has gained in importance due to the increase in bonds and restructuring complications they present).
\end{enumerate}
\end{footnotesize}
Finally, a country may receive a multi-lateral loan, where certain multinational organizations lend to the country in order to attempt to minimize disruption to the global economy and prevent default after an economic crisis.\textsuperscript{42} Such organizations make up the official sector, which includes global organizations such as the World Bank and the IMF, as well as regional ones, such as the European Union and the European Central Bank in the case of Ireland. As public, non-party institutions, they have inherently different interests that motivate their participation in the process.\textsuperscript{43} These institutions do not make financial decisions; they generally are advocating global political economic policies.\textsuperscript{44} For example, the IMF’s overarching priority is to further economic global development and stability.\textsuperscript{45}
\section*{2. Sovereign Debt Default \& Restructuring}
A sovereign debt crisis occurs when the debtor country cannot make payments to its lenders because its debt burden is unsustainable.\textsuperscript{46} When a debtor is unable to meet its legal repayment obligation, it defaults.\textsuperscript{47} When a default occurs or appears imminent, a sovereign will usually attempt to restructure its debt.\textsuperscript{48} The options
\begin{itemize}
\item \textsuperscript{42} See Gentile, \textit{supra} note 33, at 165 (explaining how multiple commercial banks coordinate to form a “lending syndicate” which is managed by a large international bank); see, e.g., \textit{supra} note 10 and accompanying text (demonstrating when in the process the multi-lateral loans are typically given).
\item \textsuperscript{43} See infra notes 92-101 and accompanying text (explaining the IMF’s priorities and motivations); see also Hays II, \textit{supra} note 36, at 919 (2010) (highlighting the IMF’s inability to properly solve financial crises as well).
\item \textsuperscript{44} See \textit{supra} note 43 and accompanying text (establishing that due to the IMF’s interest in the overall global economy and lack of individual financial interest, its decisions are not financial).
\item \textsuperscript{45} Id.; see Jonathan Sedlak, \textit{Sovereign Debt Restructuring: Statutory Reform or Contractual Solution?}, 152 U. Pa. L. Rev. 1483, 1490-91 (2004) (the IMF intervenes so as to prevent contagion by bailing out the sovereigns).
\item \textsuperscript{46} Arora \& Caminal, \textit{supra} note 31, at 630 (explaining how amassing large amounts of debt can cause a country to default). Scholars often draw a parallel to domestic corporate bankruptcy which occurs when a private company fails to make payments on its commercial debt or when its liabilities exceed its assets. See, e.g., Gentile, \textit{supra} note 33 (drawing a parallel between sovereign debt and commercial bankruptcy.) However, unlike in commercial debt there are no warning signs such as the amount of overdrafts on account, financial statements showing deteriorating conditions, and changing in purchasing habits. See Pamela S. Gotcher, \textit{Guide to Commercial Banking Law}, Sheshunoff Information Services Vol. I, 4/11 (1989) (suggesting potential indicators of an oncoming crisis).
\item \textsuperscript{47} Supra note 46 and accompanying text (outlining the causes of defaults).
\item \textsuperscript{48} Udaibir S. Das, Michael G. Papaioannou \& Christoph Trebesch, \textit{Sovereign Debt Restructurings 1950–2010: Literature Survey, Data, and Stylized Facts}, IMF Paper No. 12/203, 8 (Aug. 2012), available at http://www.imf.org/external/pubs/ft/wp/2012/wp12203.pdf
\end{itemize}
for a restructuring generally include some combination of: (1) rescheduling payments to lenders; (2) receiving external relief or debt reduction; and/or (3) obtaining a fresh infusion of money into its economy, such as a bailout.\textsuperscript{49} Both debt reschedulings and debt reductions involve a “haircut,” which is a decrease in the amount of repayment owed to creditors as a result of restructuring.\textsuperscript{50}
Debt rescheduling lengthens the maturities of the old debt.\textsuperscript{51} This usually entails a decrease in interest rates, which lessens the overall value of repayment.\textsuperscript{52} Reschedulings offer relief to the sovereign because they shift payments into the future.\textsuperscript{53} Debt reduction, on the other hand, is a decrease in the actual face value of the agreements.\textsuperscript{54} Any form of external relief requires both parties to agree to alter to the debt agreement.\textsuperscript{55}
If a country is unable to re-negotiate its agreement in this way, it will either default or ask for a \textit{bailout}. A bailout is money offered in loans, bonds, stocks, or cash to prevent serious economic consequences that accompany a default.\textsuperscript{56} While they often contain
\textsuperscript{49} See William W. Bratton & G. Mitu Gulati, \textit{Sovereign Debt Reform and the Best Interest of Creditors}, 57 Vand. L. Rev. 1, 12 (2004) (explaining that sovereigns generally to the reschedule of obligations or reduce them rather than repudiating their agreements completely); Das et al., \textit{supra} note 48 (explaining different technical components of restructuring).
\textsuperscript{50} Bratton & Gulati, \textit{supra} note 49, at 18 (defining “haircut” as a reduction in the interest rate or the principal amount); Patrick Bolton & David A. Skeel, Jr., \textit{Redesigning the International Lender of Last Resort}, 6 Chi. J. Int’l L. 177, 185 (2005) (defining “haircut” as debt reduction).
\textsuperscript{51} See Arora & Caminal, \textit{supra} note 31, at 657; Das et al., \textit{supra} note 48, at 7 (explaining rescheduling).
\textsuperscript{52} See \textit{supra} note 51 and accompanying text (providing explanation of the effects of rescheduling on overall repayment).
\textsuperscript{53} See Das et al., \textit{supra} note 48 (providing an explanation of debt rescheduling).
\textsuperscript{54} See \textit{id.} (providing an explanation of debt reduction).
\textsuperscript{55} See \textit{id.} (explaining the process by which these techniques are implemented). \textit{See generally} Lee C. Buchheit & G. Mitu Gulati, \textit{The Gathering Storm: Contingent Liabilities in a Sovereign Debt Restructuring} (Aug. 21, 2013), available at http://dx.doi.org/10.2139/ssrn.2292669 (pointing out that there is no procedure in place which necessitates these discussions).
\textsuperscript{56} \textit{Bailout}, INVESTOPEDIA.COM, available at http://www.investopedia.com/terms/b/bailout.asp (last visited Feb. 27, 2014) (defining “bailout” [a] situation in which a business, individual or government offers money to a failing business in order to prevent the consequences that arise from a business’s downfall taking the form of loans, bonds, stocks or cash; they may or may not require reimbursement); see also Sedlak, \textit{supra} note 45, at 1487 (contrasting sovereign default with domestic bankruptcy).
some debt reduction, bailouts differ from external relief measures because they provide the sovereign with additional funds to avoid default, while external relief reduces the amount the sovereign already owes.\textsuperscript{57} Since debt agreements do not typically contain procedures for restructuring, any combination of rescheduling, external relief, or bailout requires negotiations.\textsuperscript{58}
\textbf{B. The Nature Of Sovereign Debt Default \& Restructuring}
Economic and political crises usually impede a sovereign’s ability to make debt payments, forcing it to negotiate with its creditors.\textsuperscript{59} Restructuring negotiations between the borrower and lender typically have the dual purpose of modifying the terms of the loan and the borrower’s behavior.\textsuperscript{60} The negotiating period is usually public, expensive, and as in the Irish case, can leave the country vulnerable to further economic harms by making it harder for a country to re-enter capital markets as a result of the damage to its economic reputation.\textsuperscript{61} Section B.1 identifies the competing interests inherent to debt restructuring that can prolong and complicate the process. Section B.2 explains how the timing of a restructuring affects the severity of an economic crisis in both quantifiable expenses and the effect on a sovereign’s reputation.
\textsuperscript{57} See supra note 56 and accompanying text (defining a "bailout"); supra notes 51-54 and accompanying text (explaining external relief measures).
\textsuperscript{58} Buchheit \& Gulati, supra note 55 (providing an example of missing procedural details); see also Sebastian Dellepiane Avellaneda \& Niamh Hardiman, \textit{The European Context of Ireland’s Economic Crisis}, UCD Dublin European Institute Working Paper 10-3, 17 (Aug. 2010) (attributing a lot of Ireland’s poor policy choices to the fact that it did not have any planned policy of what to do in terms of crisis).
\textsuperscript{59} Government statement on request for support, RTE NEWS (Nov. 21, 2010), http://www.rte.ie/news/2010/1121/294654-economy3/ (reporting the beginning of negotiations in the Irish case in 2010). See generally Buchheit \& Gulati, supra note 55 (explaining the need for negotiation).
\textsuperscript{60} Daniel K. Tarullo, \textit{The Role of the IMF in Sovereign Debt Restructuring}, 6 CHI. J. INT’L L. 287, 298 (2005) (explaining that the IMF frequently require austerity measures on the part of the sovereign); supra notes 130-135 and accompanying text (detailing Ireland’s terms with the IMF).
\textsuperscript{61} Bratton \& Gulati, supra note 49, at 13 (explaining that in spite of these stigmatizing effects, there is concern that a sovereign may strategically default and stop the accruing of interest when it is unnecessary but beneficial to default); Jill E. Fisch \& Caroline M. Gentile, \textit{Vultures or Vanguards?: The Role of Litigation in Sovereign Debt Restructuring}, 53 EMORY L.J. 1043, 1045 (2004) (arguing that that current check against strategic defaults is the prohibitively long and expensive process of negotiating a restructuring with the debt holders often caused by holdout creditors).
1. The Complexity of Debt Restructuring Negotiations
Debt restructuring negotiations are complicated, as creditors’ interests are often not aligned with the sovereign’s or each other’s.\textsuperscript{62} Many sovereign debt contracts currently contain \textit{unanimous action clauses} (“UACs”), which require that every creditor, regardless of its holdings, be in complete agreement about any changes, such as debt reductions or reschedulings.\textsuperscript{63} Since a debtor usually only has the value to satisfy \textit{some} debts, this creates perverse interests among creditors who are competing for payment from the country’s limited funds.\textsuperscript{64}
Creditors’ non-aligned interests further complicate restructurings. The makeup of lenders has become increasingly diverse usually including a combination of national governments, the IMF, and private financial institutions, such as banks and mutual funds; these parties have competing interests and priorities in sovereign lending.\textsuperscript{65} National governments have a variety of interests depending on their relationship with the debtor. For example, the United Kingdom invested heavily in Irish assets and markets because Ireland is a major market for many British products.\textsuperscript{66} Meanwhile, the IMF’s priority is to quickly stabilize the global economy by ensuring a sovereign repays its lenders and a crisis does not become contagious.\textsuperscript{67} Banks and mutual funds are motivated strictly by
\textsuperscript{62} Bratton & Gulati, \textit{supra} note 49, at 4 (highlighting the difficulty for a sovereign to obtain unanimous intent in light of a dispersed creditor base); Mitu Gulati & George Triantis, \textit{Contracts Without Law: Sovereign Versus Corporate Debt}, 75 U. CIN. L. REV. 977, 981 (2007) (explaining how a borrower’s insolvency intensifies the competing interests of creditors because the sovereign doesn’t have enough funds to satisfy all debts).
\textsuperscript{63} Bratton & Gulati, \textit{supra} note 49, at 3 (stating that use of this boilerplate term is a significant barrier to the success of negotiations); Bolton & Skeel, \textit{supra} note 50, (stating that this was the case until Mexico’s 2003 bond issuance).
\textsuperscript{64} See Gulati & Triantis, \textit{supra} note 62, at 981 (explaining creditors’ perverse interests in light of a sovereign’s insolvency where it doesn’t have enough funds to satisfy all debts); id. (citing examples of creditors protecting their individual interests).
\textsuperscript{65} See \textit{supra} notes 73-78 and accompanying text (discussing the varying instruments).
\textsuperscript{66} MATT COOPER, HOW IRELAND REALLY WENT BUST 120-21 (2011) (providing context to the British exposure to Irish banks). See generally TIM PAT COOGAN, IRELAND IN THE TWENTIETH CENTURY (2003) (describing Ireland’s history as an open economy heavily based on trade).
\textsuperscript{67} Gulati & Triantis, \textit{supra} note 62, at 995 (“The IMF’s not-for-profit status and its commitment to the economic development of its members also assure creditors that the Fund is likely to assume the lead role in restructurings”); see also Bolton & Skeel, \textit{supra} note 50, at 195 (arguing that its current mission is not the one it was set up to pursue). See generally, \textit{Sovereign Debt Restructuring—Recent Developments and Implications for the Fund’s Legal}.
profits; therefore, they are interested in ensuring that these debts not only are repaid but that they generate maximum interest.\textsuperscript{68} Thus, these institutions are less likely to forgive debt for political or other non-financial reasons.\textsuperscript{69}
While amending a contract with potentially thousands of creditors around the world can be an uphill battle, one of the biggest disruptions to debt restructurings is \textit{holdout creditors}.\textsuperscript{70} The UAC motivates these creditors to refuse to cooperate in restructuring plans put forth by the sovereign.\textsuperscript{71} These holdouts are legally protected by the UAC, which effectively guarantees their repayment and ensures no restructuring can move forward without their agreement.\textsuperscript{72} In addition to withholding support in hopes of receiving better payment, some holdouts take sovereigns to court demanding full repayment.\textsuperscript{73} The UAC further complicates the restructuring process because creditors who refuse to make any concessions threaten the orderliness of, and often prolong negotiations.\textsuperscript{74}
\textsuperscript{68} Dickerson, \textit{supra} note 34, at 1009 (explaining the financial priorities of these creditors; see Silverman & Deveno, \textit{supra} note 38 (arguing that restructurings were less complicated when financial institutions were the majority of creditors due to their aligned financial interests).
\textsuperscript{69} See \textit{supra} note 68 and accompanying text (profiling these institutional lenders).
\textsuperscript{70} See Samuel E. Goldman, \textit{Mavericks in the Market: The Emerging Problem of Hold-Outs in Sovereign Debt Restructuring}, 5 UCLA J. Int'l L. & Foreign Aff. 159, 173-174 (2000) (discussing potential solutions to this problem); Fisch & Gentile, \textit{supra} note 61, at 1045 (2004) (discussing those holdout creditors known as “vulture funds”; see also, Anna Gelpern, \textit{Building A Better Seating Chart for Sovereign Restructurings}, 53 EMORY L.J. 1115, 1116-117 (2004) (explaining how as a sovereign funds start to run out, lenders unsure of their place in line or their “priority” in getting paid relative to one another can also stall negotiations).
\textsuperscript{71} See \textit{supra} note 70 and accompanying text (establishing the motivation of holdout creditors).
\textsuperscript{72} See Fisch & Gentile, \textit{supra} note 61, at 1047 (arguing that by holdout creditors enforcing their legal rights, they serve as an important check on opportunistic defaults); Anne Krueger, \textit{International Financial Architecture for 2002: A New Approach to Sovereign Debt Restructuring}, Address at the National Economists' Club Annual Members' Dinner American Enterprise Institute (Nov. 26, 2001), available at http://www.imf.org/external/np/speeches/2001/112601.htm (last visited Jan. 24, 2013) (arguing that a major problem with holdout creditors is created by the fact that individual bondholders have more legal leverage in restructuring than banks, and are subject to less regulation).
\textsuperscript{73} See, e.g., Elliott Associates, L.P. v. Republic of Peru, 12 F. Supp. 2d 328 (S.D.N.Y. 1998), \textit{rev'd sub nom}. Elliott Associates, L.P. v. Banco de la Nacion, 194 F.3d 363 (2d Cir. 1999); Allied Bank Int'l v. Banco Credito Agricola de Cartago, 757 F.2d 516, 522 (2d Cir. 1985) [hereinafter \textit{Allied II}].
\textsuperscript{74} See Anne Krueger, \textit{International Financial Architecture for 2002: A New Approach to Sovereign Debt Restructuring}, IMF (Nov. 26, 2001), available at http://www.imf.org/
2. The Systemic Costs to the Sovereign
The current restructuring process is convoluted. The associated economic and reputational costs often cause sovereigns to delay restructuring when it is in their interest to restructure early and increase their chances of avoiding a default.\textsuperscript{75} Negotiations are costly because of their direct expenses and the further external harms to which they expose the sovereign. For example, Greece endured an extremely protracted negotiation process from December 2009 to May 2010 as Germany and other countries strongly opposed any financial assistance from the European Union.\textsuperscript{76} Consequently, although it serves the debtor’s interest to restructure early, the costs of the current system often cause sovereigns to try to avoid restructuring debts when they are facing liquidity problems.\textsuperscript{77}
One of the biggest harms is the negative effect on a sovereign’s economic reputation; this makes future fundraising difficult when the sovereign eventually returns to international markets.\textsuperscript{78} The
\textsuperscript{75} Dickerson, \textit{supra} note 34, at 1007 (explaining that sovereigns also avoid debt restructurings because of their concern that default signals that the sovereign is not creditworthy and that such a signal diminishes a sovereign’s reputation in, and access to, international capital markets, of uncertainty whether the restructuring will be successful); Adam Feibelman, \textit{Contract, Priority, and Odious Debt}, 85 N.C. L. REV. 727, 732 (2007) (arguing that the lack of orderly workouts can cause creditors to reduce the amount of credit available in general); Kreuger, \textit{supra} note 74 (explaining the problems of delayed sovereign debt restructurings).
\textsuperscript{76} \textit{Greece Timeline}, BBC NEWS, http://news.bbc.co.uk/2/hi/europe/country_profiles/1014812.stm (last visited Apr. 7, 2014) (chronicling the Greek situation); ‘Detrimental to the Euro’: European Central Bank Blasts Merkel on Greece, SPIEGEL ONLINE (Mar. 24 2010), http://www.spiegel.de/international/europe/detrimental-to-the-euro-european-central-bank-blasts-merkel-on-greece-a-685519.html (explaining German chancellor Angela Merkel’s position that the IMF not the European Union should provide Greece with financial aid).
\textsuperscript{77} Bratton & Gulati, \textit{supra} note 61, at 19 (advocating for early restructurings as they protects a sovereign’s future access to capital); Dickerson, \textit{supra} note 34, at 998 (2004) (arguing that sovereigns delay both defaulting debts and restructuring those debts with their creditors because of the political and economic ramifications associated with default); see SDRM 2002, \textit{supra} note 74 (explaining the delay is mainly the result of government decisions and political factors); see infra notes 65-72 and accompanying text (detailing the structural complexities of negotiations).
\textsuperscript{78} Bratton & Gulati, \textit{supra} note 61, at 13 (“Access to funding is critical for the economic rehabilitation: a financially troubled State will need fresh working capital during restructuring, so that critical governmental functions don’t collapse.”); see Arora & Caminal,
negotiations themselves, as well as the reactions of other parties, such as CRAs, garner dramatic public attention.\textsuperscript{79} Severe drops in market confidence usually accompany such notice as investors frequently cash in their investments, further exacerbating the liquidity crisis.\textsuperscript{80} In such a situation, a country’s liquidity can plummet before it has a chance to restructure.\textsuperscript{81} Scholars argue that despite the austerity measures that the IMF requires sovereigns to impose, the effect on future access to borrowing is the biggest cost of a default because investors are reluctant to invest in countries that have defaulted for fear it will happen again.\textsuperscript{82}
Negotiations are also inherently expensive.\textsuperscript{83} First, during a restructuring trade flows generally shrink, as does foreign investment.\textsuperscript{84} Secondly, sovereigns have to pay their financial and
\textsuperscript{79} See, e.g., \textit{Moody's cuts Irish debt down to junk}, RTE NEWS, July 12, 2011 (announcing the drop Ireland’s debt ratings); Hancock, \textit{supra} note 13 (reporting the persuasive effects of the rating on Ireland’s credit outlook). \textit{See generally} Mayer, \textit{supra} note 3 (arguing that the CRAs exacerbated the financial crisis in 2008 both in their ratings before and after the bubble bursts).
\textsuperscript{80} Bratton & Gulati, \textit{supra} note 61, at 14 (explaining this concept as part of a reputation theory of sovereign debt); Joanna Pagones, Note, \textit{The European Union’s Response to the Sovereign Debt Crisis: Its Effect on Labor Relations in Greece}, 36 FORDHAM INT’L L.J. 1517, 1520-32 (2013) (describing the impact of falls in confidence in a sovereign).
\textsuperscript{81} \textit{Infra} notes 123-139 and accompanying text (illustrating this result in the Irish case).
\textsuperscript{82} \textit{See} Miguel Fuentes & Diego Saravia, “Sovereign Defaulters: Do International Capital Markets Punish Them?”, J. DEV. ECON., 336, 336–47 (2010), available at http://www.economia.puc.cl/docs/dt_314b.pdf (analyzing foreign investment data on default and concluding that non-investment does serve as form of punishment for defaulting countries); Bratton & Gulati, \textit{supra} note 61, at 14 (explaining this concept as part of a reputation theory of sovereign debt). \textit{See generally} Pagones, \textit{supra} note 80, at 1520-32 (describing the impact of falls in confidence in a sovereign).
\textsuperscript{83} Das et al., \textit{supra} note 48, at 65-66 (pointing out the administrative costs of a restructuring); \textit{see also} Dickerson, \textit{supra} note 34, at 998 (explaining that sovereign debt restructurings are costly and inefficient partly because sovereigns do not begin renegotiate debts earlier).
\textsuperscript{84} Das et al., \textit{supra} note 48, at 61-65 (concluding that recent studies of empirical data agree that debt crisis years are associated with a drop in GDP of between 2 and 5% per year and that this relationships is causal, rather than correlative); STURZENEGGER ET AL., \textit{DEBT DEFAULTS AND LESSONS FROM A DECADE OF CRISIS} 51-52 (2006) (conducting a statistical analysis of a sample of defaults to find that a defaulting country that is also experiencing a banking crisis will suffer output losses of 1.6% leading to an output level of 4.5% below five years after the crisis). \textit{See generally} Fuentes & Saravia, \textit{supra} note 82, at 336–347 (2010), available at http://www.economia.puc.cl/docs/dt_314b.pdf (establishing this relationship between crisis and investment).
legal advisors for negotiating and communicating with bondholders.\textsuperscript{85} In addition to these direct expenses, debtors are also usually required to pay a restructuring fee, which is a percentage of the total restructured amount.\textsuperscript{86} These costs further reduce a debtor’s liquidity.\textsuperscript{87} Thus, the longer it takes for the parties to come to an agreement, the more disruptive and severe the recession becomes.\textsuperscript{88}
Aside from the monetary costs, the public perception of a country in the midst of restructuring negotiations can exacerbate a crisis. CRAs begin to lower a country’s credit ratings during negotiations, which decreases its current and future access to capital markets.\textsuperscript{89} Consequently, the sovereign’s debt value is lower, exposing the sovereign to predatory holdouts, known as vulture funds, who purchase debt at this lowered price and demand payment at face value.\textsuperscript{90} These prohibitive costs of negotiation often cause a sovereign to delay restructuring.\textsuperscript{91}
\textbf{C. The IMF’s Current Role in Restructurings}
This Section examines the IMF’s participation in sovereign debt restructurings, as well as frequent criticisms of the organization and its operation. Section C.1 explains the argument that IMF lending is
\textsuperscript{85}. Das et al., \textit{supra} note 48, at 66 (detailing a sovereign’s substantial expenses from financial and legal advisors); Lex Rieffel, \textit{Restructuring Sovereign Debt: The Case for Ad Hoc Machinery}, 129 (2003) (surveying trends in restructuring fees).
\textsuperscript{86}. See Rieffel, \textit{supra} note 85 (reporting findings that this fee tends to be of between 0.25 \% and 2.25 \% of the amounts restructured).
\textsuperscript{87}. Das et al., \textit{supra} note 48, at 45-55 (concluding from various survey results that the decrease in a sovereign’s output and trade flows depends on the duration of arrears and negotiations); Fisch & Gentile, \textit{supra} note 70, at 1089 (explaining that disruptions lengthen time and thereby increase associated costs and continue to deplete the sovereign’s funds); Goldman, \textit{supra} note 70, at 164 (explaining that longer negotiations signal that the sovereign cannot pay and thus encourages increased holdout behavior).
\textsuperscript{88}. See infra note 113 (detailing the positive relationship between negotiation cost and length).
\textsuperscript{89}. Marilyn Blumberg Cane et. al., \textit{Below Investment Grade and Above the Law: A Past, Present and Future Look at the Accountability of Credit Rating Agencies}, 17 Fordham J. Corp. & Fin. L. 1063, 1066 (2012) (stating that “millions of investors across the world rely on rating agencies to help assess the creditworthiness of particular financial instruments”); see, e.g., Hancock, \textit{supra} note 13 (reporting the persuasive effects of the rating on Ireland’s credit outlook).
\textsuperscript{90}. See, e.g., Fisch & Gentile, \textit{supra} note 61, at 1071 (explaining the strategy of vulture funds); Goldman, \textit{supra} note 70 (describing the difficulties for sovereign debtors and other creditors created by holdout litigation).
\textsuperscript{91}. See \textit{supra} note 77 and accompanying text (identifying this tendency in sovereigns); \textit{supra} notes 82-88 and accompanying text (detailing these costs).
politically motivated due to its internal system of voting and governance. Section C.2 summarizes arguments that the IMF’s current level of involvement promotes *moral hazard*.
1. The IMF’s Mission and Political Pressure
The IMF was founded in December 1945 when the first members, the forty-five parties at the Bretton Woods conference, signed the Articles of Agreement; it began operations on March 1, 1947.\(^{92}\) Initially, the IMF was created to oversee the rules on international monetary relations agreed on at Bretton Woods.\(^{93}\) It was also created as a credit union where members would contribute an amount of money for the power to draw on the fund if they needed financial assistance.\(^{94}\)
The IMF states that its primary goal is to stabilize the international financial system.\(^{95}\) Like most official sector organizations, the IMF has an unequal structure of governance.\(^{96}\) Each member country is required to pay an assigned “quota,” which reflects the size of its economy.\(^{97}\) Members also vote on the IMF’s
\(^{92}\) *Cooperation and reconstruction*, IMF 1944–71, https://www.imf.org/external/about/histcoop.htm (last visited Apr. 9, 2014) (chronicling the foundation of the IMF); Tarullo, *supra* note 60, at 289-92 (explaining the changes in the role IMF over time).
\(^{93}\) *Cooperation and reconstruction*, IMF 1944–71, https://www.imf.org/external/about/histcoop.htm (last visited Apr. 9, 2014) (explaining the formation of the IMF and its founding purposes); Lee C. Buchheit, *The Role of the Official Sector in Sovereign Debt Workouts*, 6 Chi. J. Int’l L. 333, 334 (2005).
(asser ting that the creation of the IMF gave Creditor Governments new methods through which to influence the behavior of sovereign debtors).
\(^{94}\) Tarullo, *supra* note 60, at 289-92 (discussing how the IMF used primarily serve as an international credit union as opposed to the economic monitoring and policy roles it has seen taken on); *Cooperation and reconstruction*, IMF 1944–71, https://www.imf.org/external/about/histcoop.htm (last visited Apr. 9, 2014) (explaining early IMF operations and stating that France was the first member to borrower from the IMF).
\(^{95}\) Bratton & Gulati, *supra* note 49, at 3. (arguing that the IMF acts to satisfy political goals of stability, making it predictable for the creditors to anticipate and thus removing any incentive on their part to negotiate); Tarullo, *supra* note 60, at 309 (arguing that the impact of the political foundation of the Fund should not be overemphasized).
\(^{96}\) See Tarullo, *supra* note 60, at 292 (explaining that the discrepancy in voting power in the IMF); Bolton & Skeel, *supra* note 67, at 198 (pointing out the concern, that as politicized institution, the IMF could be too liberal in offering its assistance); see also IMF Executive Directors and Voting Power, IMF, http://www.imf.org/external/np/sec/memdir/eds.aspx (last visited Mar. 13, 2014) [hereinafter IMF Voting] (providing a breakdown of the amount of votes held per country).
\(^{97}\) FactSheet: IMF Quotas, IMF (Mar. 25, 2014), available at https://www.imf.org/external/np/exr/facts/quotas.htm [hereinafter IMF Quotas] (explaining generally how quotas are determined and how a member’s quota determines that country’s financial and
decisions and policies; a member’s voting power reflects its financial contribution.\textsuperscript{98} Thus, a small group of wealthy nations has a dominant voting position: twenty-two out of the 184 member countries hold sixty percent of the votes.\textsuperscript{99}
As a public institutional actor, the IMF usually is not party to the initial sovereign debt contract and does not automatically have a legal claim when a sovereign defaults.\textsuperscript{100} Consequently, it does not participate in restructurings to make strictly financial decisions. Instead, with powerful shareholders, it can serve as a catalyst for lenders to extend relief in the restructuring process and to stabilize markets.\textsuperscript{101} Critics argue that the IMF’s structure allows global politics to dictate restructurings by enabling powerful members to create IMF policies in light of their domestic interests.\textsuperscript{102} The Irish negotiations with the IMF provide an apt example of this. Germany, France, and the United Kingdom are all in the group of five countries with the highest number of votes in the IMF. They also are major Irish creditors.\textsuperscript{103} Thus, it is not surprising that the IMF’s assistance
\textsuperscript{98} See \textit{IMF Voting}, supra note 96 (explaining the voting power in the IMF); \textit{IMF Quotas}, supra note 97 (explaining the economic basis for power within the IMF).
\textsuperscript{99} Tarullo, \textit{supra} note 60, at 292 (contextualizing the votes by pointing out that the United States, with over seventeen percent of the total voting power has the single greatest number of votes). But see Paul R. Masson & Michael Mussa, \textit{The Role of the IMF: Financing and Its Interactions with Adjustment and Surveillance}, IMF Pamphlet Series No 50 (1995) (arguing the Fund has concentrated its surveillance on countries that are likely to need its help).
\textsuperscript{100} See Gulati & Triantis, \textit{supra} note 63, at 977-78 (positing that despite the security that official sector institutions enjoy, there is no legal basis for it). See generally, W. Mark C. Weidemaier, \textit{Disputing Boilerplate}, 82 TEMP. L. REV. 1, 2 (2009) (explaining the legal mechanisms of sovereign debt contracts).
\textsuperscript{101} Gulati & Triantis, \textit{supra} note 63, at 994 (explaining this power as a function of the IMF’s “international status and political clout”); Bolton & Skeel, \textit{supra} note 67, at 182-83 (arguing that the IMF is disproportionally sensitive to creditor disputes at the expense of other economic issues such as the sovereign’s domestic recovery).
\textsuperscript{102} See Tarullo, \textit{supra} note 60, at 288-89 (arguing that because everyone will try to avoid generalized financial distress, the IMF has a bias in favor of lending money to countries).
\textsuperscript{103} \textit{IMF Voting}, supra note 96 (providing a breakdown of the amount of votes held per country); see also Tarullo, \textit{supra} note 60, at 309 (arguing that such a structure gives the IMF a political foundation).
was conditional on Ireland implementing severe financial reforms to ensure creditor repayment.\textsuperscript{104}
2. The IMF & Moral Hazard
Critics also argue that the IMF’s consistent involvement in sovereign debt restructurings creates moral hazard.\textsuperscript{105} Moral hazard refers to the tendency of actors who are protected from the consequences of risky behavior to use less caution in their financial decisions.\textsuperscript{106} This inclination can be found on both the creditor and sovereign sides of debt lending; sovereigns who expect the official sector to bail them out have less incentive to adopt prudent, economic strategies.\textsuperscript{107} Similarly, creditors who anticipate being protected from a default may not lend as carefully.\textsuperscript{108}
Many scholars also argue that IMF bailouts and austerity programs further incentivize holdout creditors by making it rational for them to wait for a better deal.\textsuperscript{109} Experts argue that the IMF’s role as the lender of last resort increases the frequency of defaults because it reduces creditors’ incentives to make concessions that would result in a haircut.\textsuperscript{110} In other words, the reliability of an eventual IMF
\textsuperscript{104}. \textit{See infra} notes 126-128 and accompanying text (explaining how the influence of powerful IMF members, Germany, France and U.K. prevented the IMF from creating a bailout that left banks and other investors exposed).
\textsuperscript{105}. Schwarz, \textit{supra} note 41, at 1194 (defining moral hazard); Dickerson, \textit{supra} note 34, at 1010 (explaining the view that the prospect of an IMF support package arguably creates a moral hazard risk by encouraging countries both to maintain domestic economic policies that are not fiscally sound and to borrow recklessly from private capital markets).
\textsuperscript{106}. Schwarz, \textit{supra} note 41, at 1194 (acknowledging the varying definitions of moral hazard across different disciplines); \textit{see, e.g.}, Richard A. Epstein, \textit{Products Liability as an Insurance Market}, 14 J. LEGAL STUD. 645, 653 (1985) (defining moral hazard as “the deliberate efforts by the insured to bring about the insured event, as when the owner of life insurance commits suicide).
\textsuperscript{107}. Schwarz, \textit{supra} note 41, at 1194 (explaining that moral hazard on both lender and sovereign sides); Dickerson, \textit{supra} note 34, at 1010 (providing an example of such behavior on the sovereign’s side).
\textsuperscript{108}. \textit{See, e.g.}, Dickerson, \textit{supra} note 34 (arguing that the prospect of a support package from the IMF arguably encourages creditors to take excessive risks and lend recklessly); Tarullo, \textit{supra} note 60, at 288 (establishing the frequency of IMF bailouts).
\textsuperscript{109}. \textit{See supra} notes 71-77 and accompanying text (establishing the incentives for holdout creditors once they know repayment is legally inevitable); Bratton & Gulati, \textit{supra} note 49 (explaining that at the bottom line, the sovereign must cater to the creditors, since it pays them only for the purpose of the potential for future arrangements).
\textsuperscript{110}. \textit{See, e.g.}, Arora & Caminal, \textit{supra} note 31, at 651; Bratton & Gulati, \textit{supra} note 49, at 3 (both arguing that in the anticipation of an official sector bail out, creditors see no benefit in accepting a restructuring contract).
bailout incentivizes creditors to force the debtor into default in order to secure full repayment through the bailout.\textsuperscript{111}
II. REFORMING SOVEREIGN DEBT RESTRUCTURING: WHY IT IS NEEDED AND HOW TO DO IT
This Part examines the sovereign debt restructuring process and discusses proposed reforms. Part II.A uses Ireland as a case study of the current system of restructuring highlighting the immense costs Ireland has endured. Part II.B compares the two main types of sovereign debt reforms: statutory and contractual.
A. The Republic of Ireland: A Painful Illustration of the Current Landscape of Sovereign Debt
This Section examines Ireland’s economic crisis and its restructuring process. Section A.1 discusses the causes of the crisis, Ireland’s attempts to avoid restructuring through the Eligible Liabilities Guarantee (“ELG”), and the competing interests present in the negotiations with the European Union and the IMF. Section A.2 explains the austerity program through which the European Union and the IMF provided financial assistance. Section A.3 examines the current state of Ireland now that it has completed its restructuring through the austerity program.
1. The Irish Economic Slowdown
The Irish economy is inherently vulnerable to global economic disruptions because it is predominantly an export economy.\textsuperscript{112} During the increased wealth and prosperity of the \textit{Celtic Tiger}, new job opportunities in the growing information technology industry caused property values to rise exponentially.\textsuperscript{113} This created an Irish property
\textsuperscript{112} See generally Diarmaid Ferriter, \textit{The Transformation of Ireland} (2005); Coogan, \textit{supra} note 66 (accrediting this vulnerability to when Ireland wanted to join the European Economic Community (“EEC”) in the 1960s and opened its economy to trade in order to improve its chances of admission; however as the economy became more open it was also became more vulnerable to global economic fluctuations).
\textsuperscript{113} Lewis, \textit{supra} note 5 (attributing the bubble to the foreign residents who came to work in the growing technology industry and rented homes creating a short-term demand for real estate; thus when the economy slowed down and they left, property developers were left with many vacant and many partly completed residences); Busby, \textit{supra} note 4, at 62-63
bubble similar to the one experienced in the United States in 2007; when the Irish housing bubble burst in 2008, it sent the entire economy reeling.\textsuperscript{114} The banks began to see the value of their assets dwindle, and the six major Irish banks (Allied Irish Bank, Bank of Ireland, Anglo Irish Bank, Irish Life & Permanent, Irish Nationwide Building Society, and Educational Building Society) were on the brink of default.\textsuperscript{115} If these banks defaulted, Ireland’s entire economy was in jeopardy of a default.\textsuperscript{116}
First, Ireland attempted to resolve its economic crisis through legislation instead of trying to restructure.\textsuperscript{117} In December 2009, the Irish government guaranteed of all the banking sector’s loans with the Eligible Liabilities Guarantee.\textsuperscript{118} With the ELG, the government transformed private bank debt into sovereign debt to be borne by the Republic itself.\textsuperscript{119} This, unfortunately, was the decision that sealed Ireland’s fate.\textsuperscript{120} Transforming private sector debt into public sector
\textsuperscript{114} James Croke, \textit{Chuaigh Ár Lá - Debt of A Gaelsman: Ireland's Sovereign Debt Crisis, National and International Responses}, 32 NW. J. INT'L L. & BUS. 365, 378 (2012) (stating that Ireland’s GDP, which grew every year since 1993, declined by 3.5% in 2008 and is expected to contract by approximately 13.5% from 2008 through 2010); \textit{see also}, Busby, \textit{supra} note 4, at 63-64 (pointing out Ireland’s economic vulnerability as early as 2002); Pagones, \textit{supra} note 80, at 1531 (describing Ireland’s budget deficit as part of the broader Eurozone crisis).
\textsuperscript{115} John Murray-Brown & Neil Dennis, \textit{Ireland Guarantees Six Banks' Deposits}, FIN. TIMES, Sept. 30, 2008 (announcing the government’s decision); COOPER, \textit{supra} note 626, at 9 (explaining the economic outlook among Irish officials at the time).
\textsuperscript{116} \textit{See supra} note 115 and accompanying text (providing context for the widespread economic panic)
\textsuperscript{117} Credit Institutions (Financial Support) Act 2008, \textit{supra} note 7, § 6(4) (providing the Irish Government’s legislative power to take action for financial recovery); \textit{ELG, supra} note 7 (providing the text of the Eligible Liabilities Guarantee, Ireland’s legislative response).
\textsuperscript{118} Murray-Brown & Dennis, \textit{supra} note 66, at 91, 161 (explaining the economic outlook among Irish officials at the time).
\textsuperscript{119} Murray-Brown & Dennis, \textit{supra} note 115 (reporting on this transformation of debt); COOPER, \textit{supra} note 66, at 121 (explaining that the ELG came into effect on December 9, 2009 at midnight providing an unconditional and irrevocable state guarantee for “eligible liabilities,” which are all deposits except retail deposits of up to EU€100,000, and it will expire at midnight on September 29, 2015).
\textsuperscript{120} \textit{See} Anne Seith, \textit{EU Too Slow to Provide Answers in Financial Crisis}, SPIEGEL ONLINE (Oct. 6, 2008), \textit{available at} http://www.spiegel.de/international/europe/knee-jerk-reactions-eu-too-slow-to-provide-answers-in-financial-crisis-a-582526-druck.html (characterizing the ELG as a “knee-jerk response”); Avellaneda & Hardiman, \textit{supra} note 58, at 18 (characterizing the decision as an imperfect one made under the pressure of a deepening crisis). \textit{See generally} COOPER, \textit{supra} note 66 (adopting the view that the Irish government’s
debt required Ireland to cut its public spending significantly; many citizens lost their pensions.\textsuperscript{121} Although the ELG worked for a while, the national debt continued to rise at an alarming rate to 32% of Ireland’s GDP.\textsuperscript{122} As the national debt hit unsustainable levels, global speculation increased and persisted for weeks about when Ireland would request a bailout from the IMF.\textsuperscript{123} On November 21, 2010, the Irish government announced that it had requested financial assistance through a joint program between the European Union and the IMF.\textsuperscript{124} This announcement did not immediately resolve Ireland’s economic issues, and it triggered several weeks of contentious negotiations, as the other countries and institutions tried to limit their own exposure.\textsuperscript{125} For example, the European Central Bank (“ECB”) refused to offer Ireland a bank bailout because it did not want to set a
\textsuperscript{121} \textit{Bail-out Q&A}, \textit{supra} note 9 (explaining that the Irish government contributed EUR17.5 billion drawing from its reserves and the National Pension Reserve Fund. The IMF provided EUR22.5 billion, the European Financial Stability Facility (EFSF) contributed EUR17.5 billion, and the UK, Sweden, and Denmark provided bilateral loans); COOPER, \textit{supra} note 66, at 129 (explaining that the government reduced the cost of pension by implementing a pay freeze for state pensioners until 2015 and by determining pensions for new state employees based on career-average earnings instead of final salary and that age qualifications for pensions will continue to rise until 2028).
\textsuperscript{122} \textit{Budget Ireland 2011}, \textit{supra} note 10 (reporting recent findings from the Irish Department of Finance); Murray-Brown & Dennis, \textit{supra} note 115 (describing the effect of the ELG on the Irish national debt); \textit{Irish Deficit Balloons After new Bank Bail-out}, BBC News (Sept. 30, 2010), http://www.bbc.com/news/business-11441473 (reporting the Irish debt level as 32% of GDP); see also COOPER, \textit{supra} note 66, at 50-57 (describing the political pressures present in Ireland as the country tried to complete the ELG).
\textsuperscript{123} See, e.g., \textit{Eurogroup ministers discuss Ireland money crisis}, CNN (Nov. 16, 2010), http://edition.cnn.com/2010/BUSINESS/11/16/ireland.economy/ (reporting that Ireland has no immediate funding needs and speculating about the pressure it was under to request a bailout); Neil Hume, \textit{Statement by the Eurogroup on Ireland}, Fin. Times (Nov. 16, 2010), http://italphaville.ft.com/2010/11/16/406886/statement-by-the-eurogroup-on-ireland/ (characterizing the fact that Ireland had not yet requested a bailout as a “standoff”); see also Forelle & Enrich, \textit{supra} note 13 (giving an account of the Irish economic situation through early November 2010, before the EU announced a bailout of Irish banks).
\textsuperscript{124} See \textit{Government statement on request for support}, RTE News (Nov. 21, 2010), http://www.rte.ie/news/2010/1121/294654-economy3/ (reporting that European ministers began talks on how to resolve the financial troubles of Ireland, even as the Republic denied that it was facing default and had asked for help).
\textsuperscript{125} See Avelleneda & Hardiman, \textit{supra} note 58 (contextualizing Ireland’s capacity to devise a response to the crisis within the fragmentation of the larger European Union and its weak coordinating capacity); see also COOPER, \textit{supra} note 66, at 9 (analyzing Ireland’s experience trying to obtain relief); Breen, \textit{supra} note 8, at 5 (categorizing the relative power of IMF member nations according to their status as shareholders).
precedent for other members and their banks.\textsuperscript{126} France and Germany were also strongly opposed to an ECB bailout because it would cripple their bigger banks that were significantly exposed to multiple Eurozone economies through lending.\textsuperscript{127} The United Kingdom was also not willing or able to offer any meaningful external relief as many of its assets were tied up with Irish ones.\textsuperscript{128} Additionally, because Germany and France are the IMF’s largest European shareholders, no features of the austerity program could run contrary to their national interests.\textsuperscript{129}
\section*{2. Ireland’s Austerity Program}
Ireland signed the MoU with the IMF and the European Union on December 7, 2010.\textsuperscript{130} Through the MoU, the European Union and the IMF agreed to provide Ireland with financial assistance that was conditional on fulfilling the requirements of the austerity program.\textsuperscript{131} The MoU divided the rescue funds into quarterly installments and required Ireland to meet certain austerity goals in order to receive each installment of the loan.\textsuperscript{132} In January 2011, four months after debt levels had skyrocketed, Ireland received its first loan payment
\begin{footnotesize}
\begin{itemize}
\item \textsuperscript{126}. See COOPER, \textit{supra} note 66, at 120-26 (explaining the effect of the European countries’ exposure to Ireland in the negotiations); see also Breen, \textit{supra} note 8, at 7-9 (explaining that ECB, the EU, France, and Germany were “united” in their desire to avoid creditor losses through haircuts.)
\item \textsuperscript{127}. See COOPER, \textit{supra} note 66, at 120-21 (explaining the effect of the European countries’ exposure to Ireland in the negotiations); see also Breen, \textit{supra} note 8, at 8 (attributing France and Germany’s influence as “key shareholders” of the ECB to the institution’s refusal to offer Ireland meaningful relief).
\item \textsuperscript{128}. See COOPER, \textit{supra} note 66, at 123 (discussing the large amount of British assets tied up in Ireland; see also Breen, \textit{supra} note 8, at 10 (explaining the UK’s attitude towards Ireland in the context of the economic and historical ties between the nations).
\item \textsuperscript{129}. See Breen, \textit{supra} note 8, at 5 (categorizing the relative power of IMF member nations according to their status as shareholders); \textit{IMF Voting}, \textit{supra} note 96 (explaining the relative power of member nations through the voting process).
\item \textsuperscript{130}. See Memorandum of Understanding, \textit{supra} note 11 (detailing Ireland’s requirements to receive each payment); see also Bail-out Q&A, \textit{supra} note 9 (outlining the program).
\item \textsuperscript{131}. See Memorandum of Understanding, \textit{supra} note 11, at 59 (stating that the European Union and the IMF will provide financial assistance to Ireland if it complies with specific policies); see also Bail-out Q&A, \textit{supra} note 9 (reporting on the basic facts of the bail-out).
\item \textsuperscript{132}. See Memorandum of Understanding, \textit{supra} note 11, at 26 (characterizing such austerity measures as “ambitious but realistic fiscal consolidation” to restore financial stability); see also Bail-out Q&A, \textit{supra} note 9 (providing the general timeline for the austerity program).
\end{itemize}
\end{footnotesize}
after Dáil Éireann, the Irish legislature, published the 2011 Finance Bill imposing the required austerity measures.\textsuperscript{133}
The most significant requirement was the austerity measures Ireland was required to impose in the name of fiscal consolidation.\textsuperscript{134} The program required Ireland to cut public spending by decreasing food subsidies, wages, minimum wage, unemployment benefits, and pension benefits, in addition to imposing an unprecedented property tax.\textsuperscript{135} Due to the governing structure of the IMF, these policies were created with significant input from Ireland’s creditors whose interests prevented them from offering Ireland any other relief.\textsuperscript{136}
3. Ireland Today
The official sector, as well as the CRAs, supports the view that Ireland has recovered from its sovereign debt crisis.\textsuperscript{137} It has not.\textsuperscript{138} When the European Union and the IMF authorized the disbursement of their final payments to Ireland, European Union President José Manuel Barroso stated, “Ireland’s success sends an important message—that with determination and support from partner countries we can and will emerge stronger from this deep crisis.”\textsuperscript{139} Laudatory statements aside, such a “milestone” is not reflective of the health of
\textsuperscript{133}. See Budget Ireland 2011, \textit{supra} note 10 (reporting on the Minister’ presentation of Budget 2011); Irish Finance Bill 2011, \textit{supra} note 12 (reporting on the measures contained in the bill); Memorandum of Understanding, \textit{supra} note 11, at 59 (stating that the adoption of the budget will trigger release the first disbursement of payment).
\textsuperscript{134}. See Memorandum of Understanding, \textit{supra} note 11 (characterizing such austerity measures as “ambitious fiscal adjustment to restore fiscal sustainability”); see also Ireland sets out record austerity budget, \textit{supra} note 13 (reporting on the budget the Irish government designed to comply with the austerity program and deeming it “the toughest budget on record”).
\textsuperscript{135}. See Ireland sets out record austerity budget, \textit{supra} note 13 (detailing specific cuts in the budget); see also COOPER, \textit{supra} note 66, at 129 (showing that these austerity measures were imposed in addition to previous government spending cuts necessitated by the ELG).
\textsuperscript{136}. See IMF voting, \textit{supra} note 96 (demonstrating specific countries’ relative power through voting); COOPER, \textit{supra} note 66, at 120-126 (explaining countries’ behavior in negotiations as reflective of their financial exposure to Irish debt).
\textsuperscript{137}. See infra notes 139-41 and accompanying text (discussing the praise Ireland received from the IMF and the increase in its credit ratings).
\textsuperscript{138}. See infra notes 141-144 and accompanying text (highlighting Ireland’s dismal economic conditions such as its unemployment and emigration rate).
\textsuperscript{139}. See European Commission, President Barroso welcomes Ireland’s exit from its assistance programme, Press Releases Database MEMO/13/1149 http://europa.eu/rapid/press-release_MEMO-13-1149_en.htm. (providing the transcript of the statement); Barroso congratulates Ireland, BBC NEWS (Oct. 3, 2009), http://news.bbc.co.uk/2/hi/europe/8288586.stm (providing a video of President Barroso’s remarks).
the Republic; it merely indicates that Ireland has managed to meet the terms of the austerity program.\textsuperscript{140} In fact, Moody’s upgrade was based on: (1) the growth potential of the economy, which is expected to reduce government debt ratios with ongoing austerity; and (2) the government’s exit from the austerity program on schedule, with restored market access.\textsuperscript{141}
Ireland is still suffering despite completing its participation in the austerity program; property values, wages, and employment rates remain low.\textsuperscript{142} The IMF’s austerity measures continue to impact Irish citizens who are seriously affected by the elimination of unemployment assistance, minimum wage reduction, and pension cuts.\textsuperscript{143} Moreover, Ireland is still experiencing low levels of market confidence in its bonds and is faced with the prospect of a long period of economic hardship.\textsuperscript{144} Ireland continues to be plagued by the costs of the current system of sovereign debt restructuring: economic harm such as reputational damage and large deficits exacerbated by the costs of negotiations.\textsuperscript{145} These losses, combined with the harsh
\textsuperscript{140}. See 2013 Review, supra note 14 (referring to Ireland’s progress as a milestone); see also Ireland’s tough economic policies to continue, says finance minister, BBC News (Dec. 10, 2013), http://www.bbc.co.uk/news/business-25362493 (both announcing Ireland’s then imminent departure from the IMF bailout); see Castle, supra note 20 (analyzing future hardship Ireland will face).
\textsuperscript{141}. See Rating Action: Moody’s upgrades Ireland’s sovereign ratings to Baa3/P-3: outlook changed to positive, Moody’s Investor Services (Jan. 17, 2014), https://www.moodys.com/research/Moody's-upgrades-Ireland's-sovereign-ratings-to-Baa3P-3-outlook-changed--PR_290559 (explaining the dual bases for the ratings increase); \textit{supra} note 18 and accompanying text (contextualizing Ireland’s new rating of \textit{Baa3} on the rating scale that goes up to the highest possible AAA rating which Ireland held prior to the crisis).
\textsuperscript{142}. See O’Toole, \textit{supra} note 20 (differentiating between Ireland’s global economy which has remained “robust” and its domestic economy which still remains weak); Ireland’s tough economic policies to continue, says finance minister, \textit{supra} note 140 (reporting that Ireland’s economy is not strong enough for the government to relax austerity measures).
\textsuperscript{143}. See \textit{supra} note 12 and accompanying text (citing to a detailed list of cuts); 2013 Review, \textit{supra} note 14 (discussing the policies Ireland will continue despite the end of the bailout); see \textit{supra} note 143 and accompanying text (explaining that tight budgetary constraints will persist).
\textsuperscript{144}. See Castle, \textit{supra} note 20, at 1-2 (reporting that the Irish economy is still very vulnerable as the euro remains fragile, and pointing out that Ireland is not due to pay off its international loans until the year 2042); O’Toole, \textit{supra} note 20, at 3-4 (citing the fact that many young Irish professionals are leaving the country as evidence of poor economic prospects, and noting that the economy has only grown by half of the IMF’s projected 5.25%). See generally Pagones, \textit{supra} note 80 (arguing that IMF-imposed austerity measures in Greece similarly had harmful effects on the Greek domestic economy).
\textsuperscript{145}. See Seith, \textit{supra} note 12 (noting that stalled negotiations weaken confidence in markets, further frustrating economic conditions); see also Avellaneda & Hardiman, \textit{supra} note 58, at 14 (noting that larger countries with more stable economies, i.e. Germany can
austerity measures that the European Union and the IMF required, will affect Irish citizens for decades.\textsuperscript{146} Ireland’s experience illustrates the current systemic issues in both the process of restructuring and its solution of IMF rescue programs.
\textbf{B. Comparing Statutory and Contractual Reform Proposals}
This Section examines the two main types of sovereign debt reforms. Section B.1 gives an overview of the breadth of proposals advocating for statutory reform by implementing an international bankruptcy regime. Section B.2 elucidates opportunities for reform within the language of sovereign debt contracts, referred to as contractual reform.
1. An International Bankruptcy Regime
The main statutory reform proposal in the sovereign debt context is to create an international bankruptcy regime.\textsuperscript{147} Many scholars and practitioners favor the Sovereign Debt Restructuring Mechanism (“SDRM”) approach, which would serve as a bankruptcy mechanism allowing the IMF to oversee sovereign debt transactions outside the context of a bailout or restructuring.\textsuperscript{148} To oversee the SDRM, the IMF would create an international bankruptcy court where a disinterested party would adjudicate lenders’ claims of repayment.\textsuperscript{149} Such a court would be similar to the World Trade Organization arbitration process for trade disputes.\textsuperscript{150}
\textsuperscript{146} \textit{See supra} note 135 and accompanying text (explaining the IMF’s requirements).
\textsuperscript{147} \textit{See, e.g., infra} note 150 and accompanying text (citing the wealth of bankruptcy regime proposals).
\textsuperscript{148} \textit{See} Brenneman, \textit{supra} note 31, at 692-93 (comparing different proposals); \textit{see} Tarullo, \textit{supra} note 60, at 303 (discussing different features in these proposals); \textit{see} SDRM 2002, \textit{supra} note 74, at 6-9 (articulating a recent SDRM proposal by IMF leadership).
\textsuperscript{149} Sedlak, \textit{supra} note 45, at 1494 (discussing the IMF’s goal of creating a more orderly process). \textit{See generally} SDRM 2002, \textit{supra} note 74 (discussing the limitation of enforcement of sovereign debt by existing courts).
\textsuperscript{150} \textit{Understanding on Rules and Procedures Governing the Settlements of Disputes}, WTO, \textit{available at} http://www.wto.org/english/docs_e/legal_e/28-dsu.pdf/WTO (last visited Mar. 18, 2014) (setting forth the process for WTO dispute settlement); \textit{see also} Tarullo, \textit{supra} note 60, at 291 (explaining how the WTO administers its rules through an independent, quasi-judicial proceeding).
The IMF proposed creating an independent framework to handle future sovereign debt problems through an international version of a domestic bankruptcy code.\textsuperscript{151} The IMF’s proposals have been structured with an eye towards a defined set of issues: (1) preventing creditors from obtaining relief through national courts; (2) providing a guarantee that the debtor country would act responsibly during the course of a stall in the restructuring; (3) encouraging private lenders to provide fresh money; and (4) restructuring agreements should bind all of the parties not only the majority that has agreed.\textsuperscript{152}
In addition to modeling the SDRM on domestic bankruptcy proceedings, drafters have proposed several other procedures. For example, some drafts have required that the IMF officially certify that a country’s debts are unsustainable before allowing a restructuring to occur.\textsuperscript{153} Other versions borrow from bankruptcy law and suggest giving the IMF access to tools such as standstills, adjudication, cram-down authority, and priority financing.\textsuperscript{154} Thus, the SDRM approach and other statutory proposals enhance the IMF’s involvement in sovereign debt lending and restructuring.\textsuperscript{155}
2. Reforming Contractual Terms
Contract reform proposals focus on amending the restructuring process through the language in debt agreements. For example, an
\textsuperscript{151}. Lee Buchheit, \textit{Use of Creditor Committees in Sovereign Debt Workouts}, 10 Bus. L. Int’l 205, 342 (2009) (seeing this as modernizing change is needed since “gunboat captains” can no longer enforce sovereign debt arrangements); \textit{see also} Bolton & Skeel, \textit{supra} note 50, at 178-79 (pointing out that in addition to solving the problem of sovereign debt restructuring, such a reform could also result in an even larger role for the IMF in restructurings). \textit{See generally} SDRM 2002, \textit{supra} note 74 (laying out the IMF’s proposal).
\textsuperscript{152}. Arora & Caminal, \textit{supra} note 31, at 633-34 (analyzing the four key issues to be addressed by the IMF’s proposal); \textit{id.} (confirming the IMF’s prioritization of issue (1)).
\textsuperscript{153}. Tarullo, \textit{supra} note 60, at 301 (explaining that such a requirement is an effort to maintain the practice of good macro-economic policies on the part of the IMF); Brenneman, \textit{supra} note 31, at 692-93 (describing proposals’ efforts to prevent debtors from opportunistically invoking restructuring clauses).
\textsuperscript{154}. Tarullo, \textit{supra} note 60, at 303 (explaining how these mechanisms would be re-configured to the case of sovereign debt). Standstills would suspend the legal obligation to repay debts during some period of workout efforts. Adjudication includes decisions such as how to group creditors into classes for scheduling purposes. Cram-down authority would force creditors to accept a rescheduling or reduction of the debt they hold. With priority financing, lenders could make new funds available to the sovereign and be entitled to repayment of the entire amount before any debt assumed prior to the sovereign “bankruptcy” can be repaid. \textit{See} 11 U.S.C.A. § 1101 (West 1978) (providing the text of Chapter 11).
\textsuperscript{155}. \textit{See supra} note 149 and accompanying text (explaining how these proposals would give the IMF power to oversee the court).
increasing number of debt contracts have started to use *collective action clauses* ("CACs").\textsuperscript{156} Such clauses replace the UAC and permit creditors to amend debt agreements with super majority support, usually 75%, instead of the unanimous support required in UACs.\textsuperscript{157} Designed to prevent holdouts by enabling a super majority to approve changes in payment, CACs can facilitate restructurings more easily than UACs.\textsuperscript{158}
The US Treasury has offered its own variation of contract reform.\textsuperscript{159} Its approach to CACs is that only the creditors could initiate a restructuring after a super-majority vote.\textsuperscript{160} Other examples of contractual reforms include clauses that specify the jurisdiction where claims will be adjudicated or a clause that would give sovereigns the legal right to begin restructuring when certain conditions are met.\textsuperscript{161}
\textsuperscript{156}. Bolton & Skeel, \textit{supra} note 50, at 181 (detailing the growing acceptance and use of these terms). \textit{See generally} Stephen J. Choi & G. Mitu Gulati, \textit{Innovation in Boilerplate Contracts: An Empirical Examination of Sovereign Bonds}, 53 EMORY L.J. 929 (2004) (finding that since the end of 2003, nearly every new issuance of sovereign bonds has featured a CAC).
\textsuperscript{157}. Bolton & Skeel, \textit{supra} note 50, at 181 (detailing the growing acceptance and use of these terms); \textit{see} Arora & Caminal, \textit{supra} note 31, at 650 (comparing different proposals based on the CAC template); \textit{see also} Choi & Gulati, \textit{supra} note 156 (finding that since the end of 2003, nearly every new issuance of sovereign bonds has featured a CAC).
\textsuperscript{158}. Sergio J. Galvis & Angel L. Saad, \textit{Collective Action Clauses: Recent Progress and Challenges Ahead}, 35 GEO. J. INT’L L. 713, 714-15 (2004) (stating that the inclusion of CACs into bond contracts represents substantial progress in the effort to facilitate orderly restructurings); Bratton & Gulati, \textit{supra} note 49, at 4 (analyzing the difference in the odds of a UAC and CAC in allowing a sovereign to obtain the necessary support in a growing, global financial market).
\textsuperscript{159}. John B. Taylor, \textit{Sovereign Debt Restructuring: A U.S. Perspective}, Remarks at the Conference, \textit{Sovereign Debt Workouts: Hopes and Hazards?}, Institute for International Economics (Apr. 2, 2002), \textit{available at} http://www.treas.gov/press/releases/po2056.htm (discussing further details to be decided on at the time of the agreement). \textit{See generally} Sedlak, \textit{supra} note 45 (analyzing various U.S. Treasury reform proposals both contractual and statutory).
\textsuperscript{160}. Sedlak, \textit{supra} note 45, at 1501 (discussing the specifics of one of the Treasury’s variations); \textit{see} Michelle J. White, \textit{Sovereigns in Distress: Do They Need Bankruptcy?}, 2002 Brookings Papers on Econ. Activity 287, 308 (criticizing CAC proposals because they were extremely similar to already proposed and unworkable plans).
\textsuperscript{161}. Compare Brenneman, \textit{supra} note 31, at 688-92 (providing an example of another contractual reform targeting certainty in the restructuring process), \textit{with} Arora & Caminal, \textit{supra} note 31, at 644-45 (analyzing other proposals, such as variation of the market-based SDRM).
The language in sovereign debt contracts is a target for reform because these contractual provisions usually become boilerplate.\textsuperscript{162} Further, the lack of detail in current agreements often necessitates further \textit{ex post} coordination, such as determining whether a restructuring is necessary and when the debtor will repay the lenders.\textsuperscript{163} Thus, contractual reforms seek to reduce such procedural gridlock by amending the language that parties negotiate and sign \textit{ex ante}, before any sign or pressure of an economic crisis.\textsuperscript{164} International legal precedent makes it likely that contracts will continue to be important tools in sovereign debt relations.\textsuperscript{165}
\textbf{III. A PROCEDURAL SOLUTION: IMPROVING THE NEGOTIATION PROCESS USING CONTRACT TO MINIMIZE CRISIS TIME VARIABLES}
This Part argues that the best reform method involves contract reform. More specifically, a provision should be added to contracts that identifies an economic indicator to automatically trigger restructuring negotiations. This contractual mechanism would be inserted into bond contracts \textit{ex ante} to create a well-organized process that aligns interests of both creditors and debtors.\textsuperscript{166} Part III.A explains why contractual reform is a better option for reform and
\textsuperscript{162} Weidemaier, \textit{supra} note 100 (explaining the prominence of boilerplate language in debt agreements); see Choi & Gulati, \textit{supra} note 156 (finding that since the end of 2003, nearly every new issuance of sovereign bonds has featured a CAC).
\textsuperscript{163} See Bratton & Gulati, \textit{supra} note 49, at 3 (stating that use of this boilerplate term is a significant barrier to the success of negotiations); Bolton & Skeel, \textit{supra} note 50 (stating that this was the case until Mexico’s 2003 bond issuance).
\textsuperscript{164} See Arora & Caminal, \textit{supra} note 31, at 630 (stressing the need for a rethinking of the existing sovereign debt restructuring procedures and mechanisms, and analyzing others that are being considered); Brenneman, \textit{supra} note 31, at 19 (stating the importance of \textit{ex ante} action for its own insolvency and restructuring procedures).
\textsuperscript{165} See, e.g., \textit{Allied II}, \textit{supra} note 73 (holding the Central Bank of Costa Rica’s refusal to authorize payment of promissory notes to the United States would be inconsistent with orderly resolution of debt issues); James Thuo Gathii, \textit{The Sanctity of Sovereign Loan Contracts and Its Origins in Enforcement Litigation}, 38 Geo. Wash. Int’l L. Rev. 251, 252 (2006) (“Since \textit{Allied II}, equitable, statutory, and affirmative defenses to sovereign default were virtually extinguished as every sovereign debt default became susceptible to being construed as a unilateral restructuring of sovereign debt contracts, a repudiation, or a taking that violated the sanctity of the underlying contractual obligation to repay under the loan contract.”).
\textsuperscript{166} See Arora & Caminal, \textit{supra} note 31, at 631 (advocating this as a priority in light of increasingly diverse creditors); see also SDRM 2002, \textit{supra} note 74 (advocating a similar focus).
details the proposed term. Part III.B explains why this term is preferable and necessary in light of other reform proposals.
A. The Plan: Adding a Trigger Term to Sovereign Debt Contracts
Debt agreements should contain a contractual provision to dictate when a sovereign will begin restructuring.\textsuperscript{167} Parties would negotiate \textit{ex ante} and agree on an economic trigger that would make restructuring negotiations automatic.\textsuperscript{168} The provisions would also include a time limit within which the restructuring would have to occur otherwise creditors lose their right to repayment.\textsuperscript{169} For example, in the case of Ireland, when the property bubble sent shocks through the economy, Ireland could have been contractually obligated to restructure instead of trying to avoid it with the ELG.\textsuperscript{170} Section A.1 argues that contractual reform is a better method of reform because it can have far-reaching effects on the entire process by aligning parties’ interests. Section A.2 discusses how agreeing upon a time to restructure \textit{ex ante} would result in more efficient negotiations and consequently will help sovereigns regain access to capital markets more easily.
1. The Benefits of Contractual Reform
Contractual reform provides the opportunity for parties to disclose and agree upon the \textit{process} of default or restructuring, not just their ultimate demands.\textsuperscript{171} A contractual solution would give creditors a key role in drafting the agreement with an economic trigger, thus reducing fears of moral hazard.\textsuperscript{172} The provision would also specify a number of days after discussions open within which the
\textsuperscript{167} See \textit{supra} notes 77-78 and accompanying text (establishing that early restructurings are in the sovereigns’ best interests).
\textsuperscript{168} Brenneman, \textit{supra} note 31, at 19 (stating the importance of \textit{ex ante} action); Buchheit & Gulati, \textit{supra} note 55 (highlighting details contracts currently lack).
\textsuperscript{169} See \textit{supra} notes 70-71 and accompanying text (establishing the importance of timeliness in light of the disruption legally protected holdout creditors cause).
\textsuperscript{170} See \textit{supra} notes 114-119 and accompanying text (explaining the economic factors that preceded the ELG).
\textsuperscript{171} See Brenneman, \textit{supra} note 31, at 703 (advocating that such a solution would likely alleviate high interest rates currently caused by uncertainty); \textit{supra} notes 75-91 and accompanying text (explaining and citing to identifying features of current process that result in unnecessary costs to the sovereign).
\textsuperscript{172} See Brenneman, \textit{supra} note 31, at 687 (arguing that this change will reduce moral hazard as opposed to an SDRM proposal where the IMF is setting the term); Bratton & Gulati, \textit{supra} note 49, at 30 (stating that IMF also supports a contractual mechanism for this reason).
parties must agree upon a restructuring plan, enabling orderly *ex post* cooperation by aligning their interests.\textsuperscript{173} Any holdout behavior would forfeit a lender's legal right to repayment, thus incentivizing them to cooperate.\textsuperscript{174}
Under this plan, a sovereign would clear its biggest obstacle before the crisis occurs: getting creditors to agree on restructuring terms.\textsuperscript{175} An *ex ante* restructuring strategy is preferable because parties are more likely to make well-informed decisions before a crisis happens rather than afterwards.\textsuperscript{176} This would give parties the opportunity to make informed policy and economic choices without the pressure of a continuing panic.\textsuperscript{177} Further, contractual reform is easy to implement, as the language can simply be inserted into future contracts, keeping the cost of reform low and increasing the likelihood of use.\textsuperscript{178}
2. Contracting Around Uncertainty: The Trigger Term
Economic indicators are attractive triggers because they are objective.\textsuperscript{179} Parties could choose a specific indicator based on the relevant concerns and characteristics of that agreement.\textsuperscript{180} They could use indicators such as GDP, debt-to-GDP ratio, export-to-import ratio, and debt-to-equity ratio for triggers.\textsuperscript{181} There is already a
\textsuperscript{173}. See Bratton & Gulati, \textit{supra} note 49, at 30 (discussing the desirability of this transfer of the burden); see Brenneman, \textit{supra} note 31, at 687 (explaining how this would align sovereign and creditor interests through drafting).
\textsuperscript{174}. SDRM 2002, \textit{supra} note 74, at 2 (specifying a lack incentives for countries to resolve unsustainable debt burdens “promptly and in an orderly way” as one of the main problems in the current system); \textit{see supra} note 77 and accompanying text (identifying the common delays in restructurings as a major impediment to a sovereign’s recovery).
\textsuperscript{175}. \textit{See supra} notes 159-161 and accompanying text (citing examples of other proposals with this focus).
\textsuperscript{176}. Brenneman, \textit{supra} note 31, at 685 (arguing that decisions made before a crisis can be more efficient as analogized to domestic bankruptcy); \textit{see Feibelman, supra} note 75, at 732 (demonstrating the need for a contractual term to make *ex post* relief easier by eliminating disorderly workouts which drain a sovereign’s funds).
\textsuperscript{177}. \textit{See supra} note 176 and accompanying text (citing proposals with similar priorities); \textit{see also} Avellaneda & Hardiman, \textit{supra} note 58, at 17 (discussing the pressure of crisis time decisions as seen in the European Union context).
\textsuperscript{178}. \textit{See supra} notes 156-158 and accompanying text (discussing the example of CACs).
\textsuperscript{179}. \textit{See supra} notes 100-104 and accompanying text (illustrating the need for this in light of the IMF’s political character).
\textsuperscript{180}. \textit{See supra} notes 100-104 and accompanying text; Gulati & Triantis, \textit{supra} note 62, at 985 (proposing the use of such indicators).
\textsuperscript{181}. \textit{See supra} note 180 and accompanying text (showing how much indicators will solve a current problem in the restructuring process).
significant amount of research and analysis on which economic factors can be used to determine the likelihood of a default.\textsuperscript{182} Parties could choose to condition a restructuring on the occurrence of a single event, such as a certain debt-to-GDP level, or they could use an average over time, allowing more flexibility for unexpected factors while still keeping the process objective.\textsuperscript{183}
By reducing the costs of negotiation, the trigger term preserves the sovereign’s future access to capital.\textsuperscript{184} Agreement on a predetermined trigger would eliminate drawn out negotiations, minimizing direct expenses.\textsuperscript{185} A more orderly restructuring process would also protect the sovereign from reputational damage caused by external actors such as CRAs.\textsuperscript{186} By reducing the overall cost of the restructuring, the trigger term would alleviate sovereigns’ hesitance to restructure.\textsuperscript{187}
Trigger terms could also curb the damaging influences of CRAs.\textsuperscript{188} If the likelihood of a default was clear and identifiable through a specified trigger, creditors would be better able to anticipate their risks without CRAs.\textsuperscript{189} The market would likely give priority to bonds issued by sovereigns with more reliable economic reputations.
\textsuperscript{182}. Compare Brenneman, \textit{supra} note 31, at 693, and Sedlak, \textit{supra} note 45, at 1489 (both discussing suggested factors to clearly determine when a “credit event” or “unsustainable debt” is present), \textit{with IMF Policy}, \textit{supra} note 67 (evidencing that the IMF has actually suggested using triggers within the current system however, it would make use of rating triggers for credit ratings agencies, however, still reflecting a preference for economic triggers of a country’s economic viability and for these triggers to be objective).
\textsuperscript{183}. \textit{See infra} notes 190-93 and accompanying text (illustrating the need for and research conducted on the use of indicators); Tarullo, \textit{supra} note 60 (discussing the preference for flexibility in reforms).
\textsuperscript{184}. \textit{See supra} notes 86-100 and accompanying text (evidencing the effect of debt defaults on a sovereign’s access to capital); \textit{supra} notes 79-82 and accompanying text (describing how this happened in Ireland).
\textsuperscript{185}. Dickerson, \textit{supra} note 34, at 1011-12; \textit{see also}, Brenneman, \textit{supra} note 31, at 693 (discussing the values of quick, orderly workouts).
\textsuperscript{186}. \textit{See supra} notes 78-82 and accompanying text (explaining the usual peripheral involvement of CRAs and the major impact it can have); \textit{see also supra} note 5 and accompanying text (illustrating the impact on Ireland).
\textsuperscript{187}. \textit{See supra} notes 77-78 and accompanying text (attributing delayed restructurings to current systemic costs that this term would be alleviating); \textit{see also}, Sedlak, \textit{supra} note 45, at 1497 (arguing within the context of the SDRM, quick and predictable workouts reduce overall restructuring costs).
\textsuperscript{188}. \textit{See supra} note 89 and accompanying text (explaining these damaging influences).
\textsuperscript{189}. Feibelman, \textit{supra} note 75, at 731 (explaining the desirability of an identifiable standard for sovereign debt with respect to odious debt); \textit{see supra} note 183 and accompanying text (citing the advantages of economic indicators).
based on publicly available indicators, reducing the importance of ratings.\textsuperscript{190}
The trigger also would allow sovereigns to construct restructuring solutions aside from IMF-led austerity programs. IMF programs and participation may still be necessary as sovereigns will still default, and the IMF remains a powerful institution financially capable of providing large funds.\textsuperscript{191} The trigger term, however, would change the IMF’s involvement by eliminating its current referee role by contractually obligating sovereigns and creditors to negotiate directly.\textsuperscript{192}
\textbf{B. Why the Trigger Term is Better than Extant Proposals}
The trigger term is preferable to existing reform proposals, such as the SDRM. The SDRM \textit{increases} the role of the IMF in sovereign debt restructurings.\textsuperscript{193} By implementing a more rule-based system the SDRM could make the process \textit{appear} more neutral and predictable; however, such a change could prove to be only cosmetic because the IMF would maintain its political structure.\textsuperscript{194} Further, without decreasing IMF involvement in a restructuring it is not clear that there would be any effect on the timing of restructurings or the possibility of moral hazard.\textsuperscript{195}
While contractual terms are effective in amending the restructuring process, CACs alone are insufficient because they do not
\textsuperscript{190}. Feibelman, \textit{supra} note 75, at 731 (explaining that in making an debt standard predictable, the market will segment itself between different calibers of investment); \textit{see also} Bratton & Gulati, \textit{supra} note 49, at 25 (explaining that despite the type of proposal, the best interest of creditors results from their assent, thus a goal should be to facilitate creditor choices).
\textsuperscript{191}. \textit{See, e.g., supra} notes 1-4, 118-22 and accompanying text (providing an example of a far-reaching regional economic crisis); \textit{see also} Sedlak, \textit{supra} note 45, at 1485 (providing a brief history of sovereign debt and its incentives on both sides).
\textsuperscript{192}. \textit{See supra} notes 100-111 and accompanying text (explaining the IMF’s role in the current system and the conflicts it creates).
\textsuperscript{193}. \textit{See supra} notes 152-156 (explaining the SDRM and the enhanced role it would give the IMF).
\textsuperscript{194}. \textit{See} Bolton & Skeel, \textit{supra} note 50, at 201 (explaining that even those who favor the IMF’s current role feel that the IMF’s SDRM proposal is incomplete in that it does not address the following issues with such a plan, if desired: the absence of a coherent priority scheme; the need for an interim financing strategy that refines and alters the role of the IMF; and the need for an independent decision maker to oversee the sovereign bankruptcy framework); \textit{see also id.} (elucidating the desirability of addressing these fundamental issues).
\textsuperscript{195}. \textit{See generally supra} notes 79-82 and accompanying text (explaining the occurrence of downgrades in the current system and their effects).
set out any parameters for restructuring *before* a default occurs.\textsuperscript{196} CAC proposals generally only address how creditors will amend the payment terms *after* a default or crisis.\textsuperscript{197} The trigger term on the other hand, has the potential to bring about system-wide reform.
**CONCLUSION**
The practice of sovereign debt fundraising is not going to diminish in the foreseeable future, as nations need access to capital. Currently, sovereign debt restructurings impose prohibitive costs on the sovereign, making it harder and harder for sovereigns to regain access to capital markets. Consistent IMF bailouts exacerbate the problem as they remove any incentive for the parties to negotiate, as happened in Ireland. The Irish case provides a tangible example of the current conflicts inherent to debt restructurings and their mammoth costs to the sovereign.
This Note proposed a contractual term to be inserted into bond contracts to determine when a sovereign should begin restructuring. The parties would negotiate *ex ante* and agree on an economic trigger at which restructuring would automatically begin. There would be a time limit within which the restructuring would have to occur, deterring holdout creditors. A more efficient agreement between parties would appropriately minimize the role of the IMF and other actors. This would alleviate current costs of restructuring by reducing uncertainty and prolonged negotiations, making it easier for countries to recover from economic crises. Go nÉirí an tÁdh Libh.\textsuperscript{198}
\textsuperscript{196} Brenneman, \textit{supra} note 31, at 689 (arguing that the CAC is too flexible to constitute reform on its own); see also Bolton & Skeel, \textit{supra} note 50, at 182 (arguing that CACs still do not address the procedural issue of standstill during restructuring negotiations).
\textsuperscript{197} See \textit{supra} note 196 and accompanying text (highlighting CACs’ lack of reforms to the restructuring process).
\textsuperscript{198} May your luck rise, Ireland. |
WEST AUSTRALIAN
GOLD FOCUSED
EXPLORATION AND DEVELOPMENT
9th June 2022
Resources Roadhouse Investment Afternoon
Disclaimer
The information contained in this presentation has been prepared by Aurumin Limited ("Aurumin" or "the Company"). This presentation is not an offer, invitation, solicitation or other recommendation with respect to the subscription for, purchase or sale of any securities in the Company. This presentation has been made available for information purposes only and does not constitute a prospectus, short form prospectus, profile statement or offer information statement. This presentation is not subject to the disclosure requirements affecting disclosure documents under Chapter 6D of the Corporations Act.
This presentation may contain forward looking statements. Such forward looking statements are estimates for discussion purposes only and should not be relied upon. They are not guarantees of future performance and involve known and unknown risks, uncertainties and other factors many of which are beyond the control of Aurumin. The forward-looking statements are inherently uncertain and may therefore differ materially from results ultimately achieved.
Aurumin does not make any representations and provides no warranties concerning the accuracy of the information and disclaims any obligation to upgrade or revise any forward-looking statements based on new information, future events or otherwise except to the extent required by applicable laws. While the information contained in this report has been prepared in good faith, neither Aurumin or any of its directors, officers, agents, employees or advisors give any representation or warranty, express or implied, as to the fairness, accuracy, completeness or correctness of the information, opinions and conclusions contained in this presentation. Accordingly, to the maximum extent permitted by law, none of Aurumin, its directors, employees or agents, advisers, nor any person accepts any liability whether direct or indirect, express or limited, contractual, tortious, statutory or otherwise, in respect of the accuracy or completeness of the information or for any of the opinions contained in this presentation or for errors, omissions or misstatements or for any loss, howsoever arising, from the use of this presentation.
A recipient of this presentation must make their own assessment of the matters contained herein and rely on their own investigations and judgment in making an investment in the Company. This presentation does not purport to contain all of the information a recipient of this presentation requires to make an informed decision whether to invest in the Company. Specifically, this presentation does not purport to contain all the information that investors and their professional advisers would reasonably require to make an informed assessment of the Company's assets and liabilities, financial position and performance, profits, losses and prospects.
The information in this presentation is not a recommendation to subscribe for securities in the Company and does not constitute financial advice. Any person who intends to subscribe for securities must conduct their own investigations, assessment and analysis of the Company and its operations and prospects and must base their investment decision solely on those investigations and that assessment and analysis. Prospective investors should consult their own legal, accounting and financial advisers about an investment in the Company.
The information in this presentation is an overview and does not contain all information necessary for investment decisions. In making investment decisions in connection with any acquisition of securities, investors should rely on their own examination of the assets and consult their own legal, business and/or financial advisers. The mineral tenements of the Company as described in this presentation are at various stages of exploration and development, or in care and maintenance, and potential investors should understand that mineral exploration and development are high-risk undertakings. There can be no assurance that exploration and development of the tenements, or any other tenements that may be acquired in the future, will result in the discovery of an economic ore deposit. Even if an apparently viable deposit is identified, there is no guarantee that it can be economically exploited.
Building a Mining Company
Quality board and management
- Extensive Development and Operational Expertise
- History of adding and creating value
Delivering on growth ambitions
- Sandstone acquisition completed and drilling now
- Actively looking to leverage skill sets into projects
Two advanced, regional gold projects in WA
- Southern Cross (Mt Dimer) and Sandstone
- Historical production profiles and significant upside at both
Ongoing exploration, moving to development
- Sandstone exploration active, including deep drilling
- Southern Cross exploration active:
- Gold and iron ore targets at Mt Dimer
- Lithium targets at Mt Palmer
## Corporate Snapshot
### Capital Structure
| Description | Value |
|------------------------------------|-------------|
| Shares on Issue | 139.2M |
| Share Price (28 April 2022) | $0.16 |
| Market Capitalisation | $22.3M |
| Unlisted Options (30c) | 25.2M |
| Unlisted Options (40c) | 4.3M |
### Financial Position
| Description | Value |
|------------------------------------|-------------|
| Cash (31 March 2022) | $3.7M |
| Debt (31 March 2022) | ($6.4M) |
| Enterprise Value | $25.0M |
### Pie Chart Breakdown
- Board & Management: 49%
- MDI: 25%
- Escrowed (9 Dec 2022): 17%
- Retail and Funds: 8%
---
**Piers Lewis**
Non-Executive Chairman – BCom, CA, FGIA
Finance professional with 25 years of corporate advisory experience with various ASX and AIM companies. Currently non-executive director and company Secretary for a number of ASX Listed companies, including Grange Resources Limited and Noronex Limited. Founder and operator of SmallCap Corporate. Previous senior management roles with Credit Suisse (London), Mizuho International, ABN Amro and NAB Capital.
**Brad Valiukas**
Managing Director – BEng (Mining), GradCert (Econ), Member AusIMM
Mining Engineer with over 20 years operational, management and executive experience, covering underground and open pit operations across multiple commodities around Australia and internationally. Most recently Manager – Technical Services for Northern Star Resources, previously COO at Focus Minerals, COO at ABM Resources and multiple senior roles at Mincor Resources.
**Darren Holden**
Non-Executive Director – BSc (Hons) (Geology), PhD (History)
Geologist and experienced director with over 25 years of industry experience in Australia and internationally including projects in Canada, USA and Mexico. Currently non-executive director of Odessa Minerals Limited, owner of exploration advisory business GeoSpy Pty Ltd, and is a founder and director of project generators Marlee Minerals Pty Ltd and Odette Geoscience Pty Ltd. Additionally holds positions with Silver Mines (NSW), and Lion One Ltd (Fiji). Previously MD at ABM Resources and Executive VP Exploration at Geoinformatics.
**Shaun Day**
Non-Executive Director – BCom, Fellow CA ANZ, Fellow FINSA
Finance professional with 20 years executive, financial and commercial roles across mining and infrastructure, investment banking and advisory firms. Currently CEO of London listed Greatland Gold PLC. Previously CFO of ASX100 Northern Star Resources, SGX50 Sakari Resources and ASX 200 Straits Resources. Previously non-executive director of ASX Attila Resources, TSX Superior Gold and TSX Goldminco Corporation.
**Mark Rowbottam**
Executive Manager – Corporate Development – BAppSc, MBA, F FIN, MAICD
Corporate finance professional with over 25 years executive, corporate advisory and board experience. Previously Non-Executive Director of ASX Latin Resources, Aleator Energy, GRP Corporation and co-founder of Allegra Capital Pty Ltd; a wholesale corporate advisory firm providing ASX listing and M&A advice in the minerals, energy, technology and biotechnology sectors.
**Shane Tomlinson**
Manager – Exploration – BSc (Expl. & Min Geology), MSc (Ore Deposits), Member AIG
Geologist with over 20 years of experience in exploration and mining geology, covering underground and open pit operations across multiple commodities throughout Western Australia and West Africa. Recent positions include; Principal Geologist for Mineral Resources, Geology Manager for Hexagon Resources and Exploration Manager for West Peak Iron and prior positions with companies including Barrick Gold and Sons of Gwalia.
ESG and Sustainability
Aurumin’s priority is to add value to the society and business in which we operate.
Aurumin believes that environmental stewardship and social responsibility is integral to the success of its businesses. We strive to adhere to the best industry standards and governance in order to create additional value for our shareholders and stakeholders.
**Rehabilitation**
Aurumin is committed to ensuring all exploration activities are rehabilitated, including historical activities.
**Support Local**
Wherever practicable, Aurumin utilises local contractors and purchases good and services in the local community.
**Mutual Benefit**
Aurumin is committed to developing enduring and mutually beneficial outcomes for all stakeholders.
**Low Carbon**
Aurumin is committed to minimising the carbon footprint and environmental impact of planned developments.
Our ESG commitment aligns to our Core Values - **Integrity, Respect, Responsibility** and **Achievement**.
Sandstone Operations
Combined Resource of 849koz Au
Further upside with continued exploration
Footprint expansion has commenced
Value from Johnson Range Project
Existing 64,700oz @2.5g/t Au JORC-2012 Mineral Resource
Now part of our Sandstone Operations
Existing, permitted infrastructure
500ktpa processing plant, upgradeable to 750ktpa
Camps, offices, airstrip access, bore fields
Regional Ambitions
Significant past producing region with no current producers
Central Sandstone Project a key foothold in region
Central Sandstone Project
Significant Resource base
22Mt @ 1.1g/t for 784.3koz Au
Open pit and underground
11 existing deposits
Plus numerous additional targets
Granted mining leases
Historical production centre
Last operated by Troy Resources 2010
>1Moz Au produced regionally
Ongoing resource development
First auger programme complete
Two Mile Hill drilling now
Central Sandstone Exploration Underway
First Auger programme complete
Gold assays returned
Multi element still in progress
11 geochemical targets
All within a few km of historical infrastructure footprint
Further upside
Portion of the mining tenements still to be done
Building critical mass
Assists progression to production
Two Mile Hill UG
Largest Resource at Central Sandstone
14.2Mt @ 1.1g/t for 500koz Au UG Mineral Resource
UG Resource from 140m to 500m below surface > 1300oz/vm
Potential long-life underground
Targeting a >2g/t mining inventory
Bulk, low-cost mining potential
Drilling now
Controls on mineralisation to be tested and understood to better define areas of grade and mining potential
Key driver for Sandstone acquisition
Potential to underpin a standalone operation at Sandstone
Open pits as additional mill feed
Two Mile Hill UG
Select core pictures from SN_TM_RD_2022_02
Shillington / Two Mile Complex
157koz Au Open Pit Mineral Resources
Key future open pit production location
Currently largest open pit resource at Central Sandstone
Opens up access to Two Mile Hill UG
Resource upside
Upside where structures interact between Shillington and Two Mile Hill
Drilling recently completed
Assays at laboratory
Photo of Two Mile Hill Open Pit
Existing Infrastructure
500,000tpa process plant and infrastructure
- Permitted @ 500ktpa
- Known upgrade path to 750ktpa
Camp and office infrastructure
- Offices and other supporting infrastructure on-site
- Camp and exploration office located in Sandstone
Common user infrastructure
- Telecommunications and FIFO-suitable airport already established in Sandstone
Targeting >1.2Mtpa plant capacity
- Set up as a low cost regional hub
- Expected recoveries >90% from Central Sandstone
Photo of Sandstone Processing Plant
Southern Cross Overview
1. Highly endowed Southern Cross Region
- Multi-million ounce production history
- Open pit and underground gold mines
2. Projects with high-grade mining history
- Mt Dimer – 600kt @ 6.4g/t Au
- Mt Palmer – 300kt @ 15.9g/t Au
3. Ongoing Exploration
- Existing deposits to build on
- Areas with no systematic modern exploration
4. Gold plus other Commodities
- Lithium at Mt Palmer
- Iron Ore at Mt Dimer
Mt Dimer Project
Historical Production
- Open pit and underground
- Over 600,000t @ 6.4g/t Au for 125koz of gold produced
No production since late 90’s
- Discovered by WMC in 1987-89
- Mined by Tectonic Resources from 1994-1997
High-grade, unmined, deposits
- Lightning
- Golden Slipper
Ongoing Exploration
- Pipeline of prospects being tested and existing deposits to extend
- CY 2022 more regional gold exploration, plus iron ore targets
High-grade at Lightning
Aurumin’s best results
- LTRC2106 10m @ 22.2g/t Au
- including 1m @ 153.5g/t Au
- MDLTRC210009 8m @ 15.0g/t Au
- including 1m @ 90.70g/t Au
Only shallow assessment to date
UG potential below 120m remains
Near to Golden Slipper
Can be mined concurrently
Open pit and UG
High-grade at Golden Slipper
Aurumin’s best result
GSRC2103 7m @ 7.55g/t Au
- including 1m @ 30.25g/t Au
Excellent potential down plunge
- Open at depth
- High-grade southern shoots
Limited testing below pit
- Future deeper drilling required
T12 – A New Discovery
Broad, shallow intersections from near surface
- TMDRC2102 8m @ 2.58g/t Au
- TMDRC2101 4m @ 2.76g/t Au
- MDXPRC210066 7m @ 2.50g/t Au
Identified from geophysics and first pass drilling
Systematic exploration
Mt Dimer Project
T12 Long Section
Looking 250°
Mt Dimer Project
T12 Plan View
LEGEND
Collars by Max Assay and Drill Method
(0.2m minimum core length)
Max Au (gpm)
- 0.0 to 1.0
- 1.0 to 2.0
- 2.0 to 4.0
- 4.0 to 8.0
- 8.0 to 16.0
- 16 to 31.103
- > 31.103
Drill Method
- RC
- Diamond
Selected Previous Intercepts
Aurumin November 2021 Drilling
Coordinates System: UTM/AU_MGA zone 50
LO3 – Open in All Directions
Aurumin’s best results
LO3RC106 6m @ 16.19g/t Au
➢ including 3m @ 30.31g/t Au
LO3RC104 3m @ 9.83g/t Au
Limited UG mining
Mined on one level only
Access from LO1, LO2 UG
Open along strike and at depth
Grade on parallel structure
MDL3RC210014 4m @ 2.58g/t Au
➢ including 1m @ 8.98g/t Au
Potential open pit cutback
UG Potential
Previous UG Development
LO1 and LO2 deposits
High-grade mining ≈9g/t
Demonstrates continuity
Similar mineralisation at Lightning and Golden Slipper
Increases resource potential
Deposits may be followed down plunge
Mt Dimer Project
LO1 - LO3
Looking 340°
LO3
LO2
LO1 & UG Portal
Open
See LO3 long section
LO1 UG
Historical Production Figures
112.7kt @ 8.15g/t for 29,524oz Au
LO2 UG
Historical Production Figures
114.5kt @ 9.32g/t for 34,298oz Au
Open
Development only depicted; stoping not shown
Multiple Iron Ore Targets
Mt Dimer Project prospective for Iron Ore
- Carina DSO mine along strike
- Other deposits: Chameleon, Hunt Range
Multiple Banded Iron Formation (BIF) units
- Historical data: >58% Fe rock chips with limited follow up
- Undercover targets indicated by aeromagnetic imagery
Iron Ore being targeted in 2022 exploration activity
Mt Palmer Project
Historical Production
Open pit and underground
300,000t @ 15.9g/t Au for 158koz Au
No commercial production since 1940’s
Discovered in 1934, mined until 1944
Limited modern exploration
Well located
Directly north of significant past producers
Yilgarn Star > 1Moz, Nevoria > 400koz
High potential
High-grade, high potential project
Multiple commodities and prospective lithologies
Lithium Potential
Soil Sampling defined Lithium potential
Orientation drilling at VFSB target completed
Low level lithium results and follow up work required
VFSA target to be drilled
Currently being permitted
Reasons to invest
Quality board and management
- Extensive Development and Operational Expertise
- History of adding and creating value
Delivering on growth ambitions
- Sandstone acquisition completed and drilling now
- Actively looking to leverage skill sets into projects
Two advanced, regional gold projects in WA
- Southern Cross (Mt Dimer) and Sandstone
- Historical production profiles and significant upside at both
News flow
- Sandstone exploration active, including deep drilling, with assays due
- Southern Cross exploration active on multiple fronts
Contact Us
Brad Valiukas
Managing Director
Phone: +61 8 6555 2950
Email: email@example.com
Subscribe to our mailing list:
https://aurumin.com.au/contact/
**JORC Code**
It is a requirement of the ASX Listing Rules that the reporting of ore reserves and mineral resources in Australia comply with the Joint Ore Reserves Committee’s Australasian Code for Reporting of Mineral Resources and Ore Reserves (“JORC Code”). Investors outside Australia should note that while ore reserve and mineral resource estimates of the Company in this document comply with the JORC Code (such JORC Code compliant ore reserves and mineral resources being “Ore Reserves” and “Mineral Resources” respectively), they may not comply with the relevant guidelines in other countries and, in particular, do not comply with (i) National Instrument 43 101 (Standards of Disclosure for Mineral Projects) of the Canadian Securities Administrators (the “Canadian NI 43 101 Standards”); or (ii) Industry Guide 7, which governs disclosures of mineral reserves in SEC filings. Information contained in this document describing mineral deposits may not be comparable to similar information made public by companies subject to the reporting and disclosure requirements of Canadian or US securities laws. You should not assume that quantities reported as “resources” will be converted to reserves under the JORC Code or any other reporting regime or that Aurumin Limited will be able to legally and economically extract them.
**Competent Person Statements**
The information in this presentation that relates to exploration results, data quality, geological interpretations and mineral resources for the Mt Dimer Project were first released in the Company’s announcements dated 1 September 2021, 3 November 2021, 17 December 2021 and 11 February 2022. The Company confirms that it is not aware of any new information or data that materially affects the information included in the announcement and confirms that all material assumptions and technical parameters underpinning the estimates in the relevant market announcement continue to apply and have not materially changed.
The information in this presentation that relates to exploration results, data quality, geological interpretations and mineral resources for the Mt Palmer Project were first released in the Company’s announcements dated 20 October 2021, 24 March 2022, 21 April 2022, 10 May 2022 and 3 June 2022. The Company confirms that it is not aware of any new information or data that materially affects the information included in the announcement and confirms that all material assumptions and technical parameters underpinning the estimates in the relevant market announcement continue to apply and have not materially changed.
The information in this presentation that relates to exploration results, data quality, geological interpretations and mineral resources for the Central Sandstone Project were first released in the Company’s announcements 16 December 2021, 25 March 2022, 28 April 2022, 2 May 2022 and 9 June 2022. The Company confirms that it is not aware of any new information or data that materially affects the information included in the announcement and confirms that all material assumptions and technical parameters underpinning the estimates in the relevant market announcement continue to apply and have not materially changed.
The information in this presentation that relates to exploration results, data quality, geological interpretations and mineral resources for the Johnson Range Project were first released in the Company’s announcement dated 25 August 2021. The Company confirms that it is not aware of any new information or data that materially affects the information included in the announcement and confirms that all material assumptions and technical parameters underpinning the estimates in the relevant market announcement continue to apply and have not materially changed. |
Montana Territory Peacemakers (good) Times
Montana Territory Peacemakers Announce 2018 Schedule
The Montana Territory Peacemakers 2018 schedule promises an exciting year of Cowboy and Wild Bunch Action Shooting. It doesn’t matter where you’re from, Montana, Wyoming, North or South Dakota, or somewhere else, you are welcome to come and join the fun.
April through October will again feature Cowboy Action Matches on the 4th Saturday of April through October with 2 day matches in June and September and the Big Sky State Games Match in July.
The traditional .22 caliber match will be held on March 24. New this year are combined Cowboy Action Shooting/Wild Bunch Action Shooting matches which will take place on the second Sundays of April through July.
As usual, the club will man a table at the April gun show to solicit new shooters and hold an Intro to Cowboy Action Shooting Class for new shooters on May 5. Practice will continue on the second Thursdays of May through September, the October match will be the annual Zombie Match, and the annual Christmas Party will round out the schedule in December.
February Meeting Notes—by Latigo
.22 Match pushed back to March 24. Shooting Scenario Assignments - need someone to take on August - If you’ve never done it but are concerned - several of us will be glad to help you through the process.
- April - Grizzly Bill
- May - Bugler
- June - Eastwood (FKA Colorado Coolade)
- July - Homestake
- Aug - ____________
- Sept - Bugler
- Oct - Latigo
Presented outlines for a large Buffalo Target and Wolf Target. Outlines were approved for purchase pending cost estimates. Backstrap offered a standing $50 warrant for the first woman shooter to shoot the Buffalo dingus when the target is used. April 15 was chosen as the date we’ll attend “Who Shot Liberty Valence” at the Billings Studio Theatre. Everyone should download the new combined shooting manuals from the SASS website.
This Issue:
- Cowboy/Cowgirl Profile
- Cowboy Recipe
- Cowboy Poem
- Meeting Notes—February
- Event Schedule—March thru May
- Newsletter Contest—Hats
- Who Shot Liberty Valance
- Wild Bunch Action Shooting
- MTP 2018 Schedule
Cowboy Poetry
“A WORKING RANCH”
By Gwen Petersen
“We envy you,” said my city friends,
“Your life in the great outdoors.
We’re thinking of buying a ranch somewhere
And living a life like yours.”
“We’ll have a garden – our very own,
And keep lots of animals there;
A working ranch,” they said – and smiled,
And their eyes held a faraway stare.
In my ears I can hear their words ring plain
As I start on my morning chore;
With two heavy buckets of water and grain
I head for the chicken house door.
As I enter the scabby, unpainted shed
To a roomful of clucking hens;
I see the gazebo with white wicker chairs
On the lawn of my city friends.
I picture them tossing sunflower seeds
To a twittering songbird band;
Then a setting hen ends my reverie
By pecking a hole in my hand.
I leave with my bucket of fresh-laid eggs
And step in a fresh cowpie;
My feet do the splits – I crash in the dirt
And the eggs fly off for the sky.
As I lie supine, I spy from the ground
That the garden gate is awry;
And there six heifers are munching around
In my summer food supply.
My two frantic collies and I commence
To bark and scream and yell;
The heifers depart by way of the fence
Trampling it all to — well.
I fix the fence and enter the house
As a neighbor phones to say
That my horses have wandered into his field
And are eating his prime cut hay.
And do I want my registered saddlemare bred
To his workhorse stud asks he
“No, no!” I screech, and filled with dread,
I move with alacrity.
My city friends wear designer jeans
My city friends eat quiche;
They have a courtyard full of flowers
And poodles trained to the leash.
But they yearn for a working ranch they claim
To experience its joys and its fun;
Another day like this has been
And hell – I’ll give ‘em this one.
Gwen Petersen, a renowned Montana cowboy poet, ranches near Big Timber. She’s performed her poetry on the biggest of cowboy poetry venues—Elko, Nevada—and has been instrumental in establishing continuing Montana cowboy poetry events. She started The Montana Cowboy Poetry Gathering in Big Timber and, when it got too big for Big Timber, it moved to Lewistown where it is in its 33rd year—second oldest in the country.
Gwen says, “ANOTHER NEWS TIDBIT: THE HIGH COUNTRY COWBOYS OF RED LODGE ARE COMING TO BIG TIMBER, SATURDAY MARCH 24. THERE WILL BE COWBOY/GIRL POETS OPENING THE SHOW. HEADLINERS: HIGH COUNTRY COWBOYS. IF YOU’RE NOT FAMILIAR WITH THEIR TALENTS, GO TO THEIR WEBSITE. GREAT GUYS, GREAT MUSICIANS/SINGERS.” More information about the event and the High Country Cowboys can be found on their web site High Country Cowboys.
Cowboy/Cowgirl Profile
MTP Times: Thanks, Doc Money, for providing this issue’s “Shooter Profile.” Tell us, how did and/or why did you choose your Alias?
Doc Money: In real life, I am a university professor, and I have a PhD in accounting. “Doc Money” just seemed like a good fit.
MTP Times: How long have you been shooting Cowboy Action?
Doc Money: I did a bit of cowboy shooting back in 2001 but it didn’t really stick. I started again when I moved to Billings in 2014, so I’ve shot cowboy for about three years.
MTP Times: Why did you start shooting Cowboy Action?
Doc Money: When I moved to Billings back in 2014, one of the first people I met was Bugler. I was in a local gun shop, asking the owner about USPSA and IDPA shooting in Billings, but the storeowner wasn’t into competition, and he really didn’t know much. However, Bugler was in the shop and introduced himself, and we started chatting. Turns out, we knew some of the same people, trained with the same instructor, and had a lot of similar experiences with guns, shooting, and competition. Forty-five minutes later, I had a new friend, and Bugler’s been dragging me to cowboy matches ever since.
MTP Times: What do you like about Cowboy Action Shooting?
Doc Money: All of it! The people, the guns, the competition, the camaraderie. One of the really great things about cowboy shooting is that it has so much to offer, and people are into it for a lot of different reasons. Some like the old west history; some are into playing cowboy dress-up; some like socializing with great people who have similar interests. I’m into it mainly for the competition, because I really like the old west guns, and because of all the great people and friends that I’ve made.
MTP Times: What guns do you shoot and why? Have you shot others? Why did you change?
Doc Money: My main match revolvers are a pair of EMF Great Western II’s. They are Italian reproductions of the Colt SAA, made by Pietta. Bugler found the guns for me, as they were being sold by a shooter who was retiring from Cowboy shooting. Other than filing the front sights to adjust point of aim/point of impact, they are unmodified. I shoot a SxS double, an SKB tuned by Johnny Meadows. I also have a Winchester Model 97 tuned by Coyote Cap. It’s a great shotgun, but a lot of testing with a timer made it pretty clear that I’m faster with a SxS. So I only use the ’97 for Wild Bunch matches. My rifle is an Uberti made reproduction of a Winchester ’73. It has been slicked, smoothed, short-stroked, all springs swapped out, etc., etc. It is an awesome rifle, and pretty much state of the art. Bugler also found this gun for me. It came from another old friend of his who was getting out of cowboy shooting. If it seems like there is a pattern developing here, you’re right. Bugler is very good at spending other people’s money. ;~)
MTP Times: Where all do/have you shot matches?
Doc Money: I have shot matches in Billings, Cody, Miles City, Great Falls, Denver, and Colorado Springs. I hope to expand that list this summer.
MTP Times: Have you held any club positions, been match director, written scenarios, built/contributed props (which ones)???
Doc Money: No I haven’t. But I hope to be able to going forward.
MTP Times: Anything new or different you’d like to see at our matches?
Doc Money: There are some club members that have shot in a lot of different locations, and have cataloged stage designs that have been used in various state and regional matches. I think it would be fun to use some of those here, particularly stages that are completely different from anything we’ve ever
Continued from Page 3
done. While it’s not practical for a lot of our shooters to travel to neighboring states to shoot these bigger matches, we can bring those same stages here for our club.
MTP Times: What other types of shooting do you do? Hunting?
Doc Money: I started shooting USPSA in 1985, and IDPA in 2006. I’ve shot skeet, trap, sporting clays, BPCR silhouette, and small-bore silhouette. Cowboy and USPSA are my favorite types of competition.
San Diego is my hometown, and I grew up hunting rabbits, doves, and quail in the Southern California deserts. Bird hunting has always been a passion, and I spent a number of years raising and training pointing dogs (Gordon and English setters, English pointers and German Short-Haired pointers). I was pretty involved in hunt testing, and field trial competitions. I’ve hunted doves in California, Arizona, and Georgia, quail in California, Arizona, Colorado and Oklahoma, pheasants in Utah, Idaho, and Colorado, and chukars in Nevada. I’ve hunted deer and elk, and this summer, I will be going on safari in Africa. I am into shooting prairie dogs in a big way; we shoot them all through spring and summer. I really like varmint rifles, and I like to tinker. I re-chambered my Cooper to .22 K-Hornet this last summer, I built a 6mm BR for a long-range varmint rifle, and I’m currently building rifles in .22 BR and .20 BR.
MTP Times: Anything else you’d like other shooters to know about you??? Any advice for new shooters?
Doc Money: My best advice for anyone that is thinking about getting into cowboy shooting is to just do it! Come to a match, introduce yourself, and when asked if you’d like to shoot, say yes! Cowboy shooters really are friendly and helpful, and really want you to use their guns, and shoot the match.
When you decide this is something that you’d like to do, go slow when deciding on your equipment. It is very easy to buy guns and gear that may appear to be what you need, but in reality is totally unsuitable. If you can get it at Cabela’s, it’s probably NOT what you want. Talk to a lot of shooters about their gear. Try out their guns, and ask lots of questions. There are guns that are cool as can be, and you get major style points for using them, but they just aren’t competitive, and they will frustrate you if you’re trying to shoot fast.
Make sure that you do a little studying of the rulebook, as different categories may have costume, gun, and shooting style rules/requirements, and understanding those rules/requirements may save you some money and frustration.
Any shooter, new or experienced, is more than welcome to try out any of my guns, and if there is any assistance that I can provide, I am very happy to do so.
MTP Times: Do you reload? If so, how long have you been reloading? Smokeless? Black Powder? Any advice for reloaders?
Doc Money: I have been reloading since 1980. I load metallic (rifle and pistol) on three different presses, a Dillon 650 and Square Deal, and a single stage Rock Chucker. I load shotgun shells on a Mec 9000 and a Mec 600 junior. If anyone needs any assistance trouble shooting Dillon presses, or has any reloading questions, or needs assistance, please let me know. I have helped a lot of new reloaders get started over the years, and I’m always happy to help.
Best advice is to get a couple of reloading manuals and read them. Follow the rules. Reloading is very safe and rewarding if done properly.
The Man Who Shot Liberty Valence at BST
Journey into the Wild West, 1890, in this classic story of good versus evil, law versus the gun, one man versus Liberty Valence. A tale of love, hope and revenge set against the vicious backdrop of a lawless society.
Backstrap and Lilly Blossom are proposing that we wear our cowboy clothes and attend a *The Man Who Shot Liberty Valence* performance at Billings Studio Theater. *The Man Who Shot Liberty Valence* plays March 30, 31, April 5, 6, 7, 8*, 12, 13, 14 & 15*, 2018 (*Denotes Matinee). If you want to join the group, we’ll wear our cowboy clothes and attend the Matinee on Sunday, April 15 at 2:00 PM (Doors Open At 1:30 PM).
*The Man Who Shot Liberty Valence* is a 1962 American Western film directed by John Ford starring James Stewart and John Wayne. The screenplay by James Warner Bellah and Willis Goldbeck was adapted from a short story written by Montanan Dorothy M. Johnson. The supporting cast features Vera Miles, Lee Marvin, Edmond O’Brien, Andy Devine, John Carradine, Woody Strode, Strother Martin, and Lee Van Cleef.
Hope to see you there Sunday, April 15 at 2:00 PM.
Wild Bunch Action Shooting
This year the Montana Territory Peacemakers will try a few combined conventional cowboy action and wild bunch matches on the second Sunday of April through July. Set-up will be the morning of the match in one bay only, the safety briefing will take place immediately after set-up is complete, and shooting will commence following the safety briefing. The sport uses 1911 pistols in .45 ACP, lever or slide action rifles chambered for pistol caliber of .40 and above, and model 1897 12ga. pump shotguns. For a complete list of rules, equipment, and allowed equipment/modifications, see http://www.sassnet.com/wildbunch/handbooks.
Differences between “Wild Bunch” (WBAS) and Conventional Cowboy Action Shooting (CAS)
At the Loading Table
- Rifles will be loaded the same as for CAS.
- A loaded magazine will be inserted in the 1911 pistol. Magazines can be loaded at carts.
- Shotguns will be loaded up to the maximum the shotgun will hold or six—whichever is greater or, if less, the amount required for the stage. Hammers will be down on an empty chamber.
At the Shooting Line
- Rifles are shot the same as for CAS.
- Shotguns are racked to load the first shotgun shell. If a shooter is unable to rack a Model 12 shotgun, it means the hammer may not be down on an empty chamber. If not, a Stage DQ is assessed.
Continued page 7
UPCOMING EVENTS SCHEDULE
MARCH
3/19 Monthly Club Meeting
3/24 .22 Match
APRIL
4/7 Monthly Match – Powell
4/8 Combined Cowboy/Wild Bunch Match
4/16 Monthly Club Meeting
4/20-22 Billings Gun Show
4/21 Powell – Infernal Revenue Wyoming Wild Bunch Match
4/28 Monthly Match
Registration—8:00 am
Shooting—9:00
Stage Writer—Grizzly Bill
Match Director—TBD
MAY
5/5 Intro to Cowboy Action Shooting Class
5/5 Monthly Match – Powell
5/10 Practice
5/12 Powell – Wyoming Wild Bunch Match
5/13 Combined Cowboy/Wild Bunch Match
5/21 Monthly Club Meeting
5/26 Monthly Match
Registration—8:00 am
Shooting—9:00
Stage Writer—Bugler
Match Director—TBD
COMMENTS
Feel free to provide your comments and suggestions for future Montana Territory Peacemaker newsletters to firstname.lastname@example.org with a subject of “Newsletter Comments.”
Cowboy Recipe
“A man’s gotta eat!”
Rattlesnake
Cowboys along the trail drive trail ate what wild game and other wild edibles they could find. Along much of the trail, rattlesnakes must have been pretty common and it doesn’t take much imagination to conclude that a rattlesnake dinner could, at least occasionally, be preferable to the ever present beans.
Preparation was pretty simple.
Skin the snake and cut into 3 and 4 inch pieces.
Roll in a mixture of flour, cornmeal, milk, and egg. Salt and pepper. Deep fry in hot oil. Serve hot.
Since we often hear that rattlesnake tastes just like chicken and since cowboys didn’t often have access to chicken, one wonders did they say, “Chicken — tastes just like rattlesnake.”
Differences between “Wild Bunch” (WBAS) and Conventional Cowboy Action Shooting (CAS)
At the Shooting Line (Continued from Page 5)
- When handling the 1911, the shooter’s finger must be OUTSIDE the trigger guard when moving, reloading, or clearing a malfunction after the pistol is first charged.
- The 1911 pistol is never holstered until finished shooting and cleared by the Timer Operator. If the M1911 is not the last firearm shot on the stage, it is staged on a prop or table, or other provided staging area. When finished with the stage and upon the TO’s command “Unload and Show Clear,” the shooter will drop the magazine and show the pistol is empty, Upon the TO’s commands “Slide Forward,” “Hammer Down,” “Holster,” the shooter will release the slide, pull the trigger, and holster.
- Shotgun targets are engaged with only one round each and any targets that do not fall are scored as a miss. If the shotgun holds less than the required rounds, the remainder will be loaded off the body or as designated in the stage instructions.
At the Unloading Table
Only the shotgun and rifle need to be cleared/shown clear to the Unloading Table Officer as the pistol has been cleared by the Timer Operator and should not leave the holster at the unloading table.
WILD BUNCH ACTION SHOOTING RULE CHANGES
EFFECTIVE JANUARY 1, 2018
(Revised January 15, 2018)
- The Model 12 shotgun does not have to be declared at the firing line. However, it must still be brought to the line with the hammer down on an empty chamber. If the gun is cocked it cannot be racked without pulling the trigger or hitting the slide release. If the shooter cannot rack the shotgun, they will be stopped immediately by the RO and the shotgun checked to see if it is cocked. If so, a SDQ is assessed.
- Pistol magazines may now be loaded with up to 7 rounds. It is recommended that the average round count per stage be 28 in a Wild Bunch match.
- The pistol may be reloaded with the slide forward with an empty chamber or with a round in the chamber. A single round may be loaded by hand.
- The penalty for moving with the slide forward on an empty chamber has been reduced to a MSV. It is still a Stage DQ to move more than one step with the slide forward on a loaded round. The basketball rule still applies.
- The pistol may be re-staged with a loaded magazine in the gun as long as the slide is locked open. If the slide closes, loading a round, it is immediately a Stage DQ.
- In Match Procedures and Terms (2018), all officials are listed indicating those that are optional versus who are required. Note that a loading table officer is now optional, but an unloading table officer is required.
- The TO no longer asks the shooter if they understand the course of fire.
- The TO no longer calls the shooter back for a closed firearm unless they can see that the shooter did not attempt to clear the firearm.
- There are detailed definitions for ‘cleared’ and for ‘squib’.
- There is no longer a penalty for dry firing at the loading table.
- It has been clarified that the safeties that are required to be working on the 1911 are the thumb/hammer and grip safeties.
Second Ever Newsletter Contest
“WHOSE HAT IS IT????”
The Contest: We spend a bunch of our time at our Cowboy Action Shooting matches observing other shooters, as counters, waiting in line to load or unload, loaded and waiting to shoot, shootin’ the bull, or just plain spectatin’. In view of this recurring actuality, the editorial staff of the Montana Territory Peacemakers (good) Times has devised this “Whose Hat Is It????” contest to test your observatory prowess.
The Rules: 1) If you fail to identify your own hat, you are disqualified (yes, we know this is a harsh rule since most of us can’t see our own hats while they are on our heads, but unlike our backsides, we can see them when we take them off). 2) If you don’t want your hat used in the contest, you must so inform the editorial staff immediately (for six of you, you are already too late). 3) All identifications for each issue’s hat selections must be received at contest headquarters before the publication of the next newsletter issue. Since no one knows when that will be, best get them in right away. 4) The judges’ decisions/determinations are final. 5) You need not be present to win.
Contest Duration: The contest will last as long as: there are sufficient hats for identification; until a clear winner can be determined; the readership participation declines; someone complains; and/or the editorial staff tires of administering the contest.
Contest Prizes: One or more prizes (as yet to be determined) will be awarded the winner(s). Prizes are guaranteed to be of at least the quality, character, and nature as the gifts exchanged at the annual Christmas Party white elephant gift exchange.
Where to Send Your Entries: E-mail your entries to: email@example.com with the subject “MTP Newsletter Hat Contest” or, if that’s too much typin’, “MTP Hats” will do.
Hats must be identified by alias and contest number.
HAT #5
HAT #6
News You Can Use
NEW Newsletter Web Site
Our Newsletter—Montana Territory Peacemakers (good) Times—now has its own web site where you can view the latest issue plus all past issues. The web site is located at https://mtpgoodtimes.wordpress.com/. |
NEW FALL PROTECTION LEGISLATION
Presented by
Michael McGovern, Roland Roy
INTRODUCTION
WHY ARE CHANGES BEING MADE?
· The Provincial Government has brought in changes to the fall protection requirements in the General Regulation (91-191).
· These changes are the first significant amendments to these requirements since they were first written in 1991, almost 20 years ago.
· The old requirements were out of date and made things difficult for workplaces who tried to use modern equipment and practices. The new legislation adopts current industry standards and practices.
INTRODUCTION
LEGISLATION CHANGE PROCESS
- A request for a ‘regulation change’ is initiated (by stakeholders, government, courts, etc.)
- The request is taken to the Board of Directors. Board approves or denies the request.
- If the Board approves the request for review, they direct that staff set up a technical committee of specialists to review the issues and make recommendations. The Board approves appointments to the technical committee.
INTRODUCTION
LEGISLATION CHANGE PROCESS
· The technical committee is made up of stakeholders representing workers and employers. Training and equipment specialists may also be asked to participate. WorkSafeNB staff chair the committee and act as technical and legal advisors.
· Throughout the process, WorkSafeNB co-ordinates an ‘external consultation’ with the various stakeholder and workplace groups whether or not they have a representative on the technical committee.
· After the technical committee completes the process, any recommendations are taken back to the Board of Directors.
The Board of Directors then can approve, deny or modify the proposals as they deem necessary.
Recommendations then go to the Department of Justice for legal drafting. This process can take many months if the proposals are highly technical.
Final draft of changes are reviewed by WorkSafeNB technical and legal staff to ensure accuracy.
Proposed regulation then goes to Cabinet for their approval. Regulation then becomes law.
CONSULTATION
FALL PROTECTION TECHNICAL COMMITTEE
- 8 voting members (3 employee reps, 3 employer reps, 1 trainer, 1 supplier)
- 4 non-voting (WorkSafeNB staff – chair, technical advisor, legal advisor & HSO)
- 23 meetings over 3 years
- 20 consultations over $2\frac{1}{2}$ years
Given the specialized nature of fall protection, technical committee members were given training on fall protection from external experts.
Further, a course in roofing methods and water safety was offered to technical committee members. Four members participated in this training.
Technical committee members viewed a demonstration of roofing work to allow them to see concerns specific to the roofing industry.
CONSULTATION
FALL PROTECTION TECHNICAL COMMITTEE
- WorkSafeNB staff provided technical assistance to the committee:
- Research was conducted on various specific questions
- Jurisdictional scans were completed
- HSO provided advice on field enforcement
- Legal staff provided advice on legal issues
CATEGORIES OF CHANGE
• New provisions that are silent in existing legislation yet reflect current practice
- e.g. Allow the use of Control Zones
• New provisions based on industry standards and existing technology
- e.g. The use of Shock Absorbing Lanyards
• Technical revisions based on industry standards and existing technology
- e.g. The use of Horizontal Lifelines
• Consequential changes and non-technical revisions to clarify intent
- e.g. more than 3 m versus 3 m or more
CATEGORIES OF CHANGE
· Implementation of a “Hierarchy of Intervention”
· Instruction requirement for employees who are required to work at heights and use a fall protection system
· Requirement for a Fall Protection Code of Practice when employees are working from a height of 7.5 metres or more, or make use of a safety monitor as a means of fall protection
· New provisions for roofing and weatherproofing
· The cited standards have been updated and new standards have been added to ensure safety
CATEGORIES OF CHANGE
· Definitions
- Revised
- New
· Fall Protection Systems
- Hierarchy of Protection
- New and Revised Standards
- Instruction
- Training
- Code of Practice
- Water Safety
· Guardrails
· Roofing
· Openings
CATEGORIES OF CHANGE
- Portable Ladders
- Forklift Platforms
- Elevating Work platforms
- Scaffolds
- Suspended Equipment
- Fixed Suspended Work Platform
- Swing Staging & Boatswain Chair
- Aerial Devices
FALL PROTECTION SYSTEMS
DEFINITIONS
· Revised and repealed definitions include:
- Aerial Device
› Align with CSA C225
- Fall Restricting System”
› Name changed from “Fall Restraint System” to Align with CSA Z259.14-01
- Guardrail
› Excluded Permanent Guardrail System
DEFINITIONS
· Revised and repealed definitions include:
- Fall Arresting System
› Changed from “Individual Fall Arresting System”
- Unguarded Edge:
› Repealed
- Warning Line
› Marks the edge of a control zone
- Weatherproofing
› To align with industry practice
DEFINITIONS
· New definitions include:
- Anchor Point:
› Are permanent or temporary
› Are part of Fall Protection System
- Body Belt:
› Align with CSA Z259.1-05
› Also known as “safety belt”
› Can only be used in travel restraint
- Control Zone
› Area between unguarded edge and warning line
› Similar to other jurisdictions
› To align with industry practices
DEFINITIONS
· New definitions include:
- Energy Absorber:
› Align with CSA Z259.11M92
- Energy Absorbing Lanyard:
- Fall Arrester
› Mechanical fall arrest device
DEFINITIONS
• New definitions - continued:
- Fall Protection System
» Excludes permanent guardrails
» Either personal or collective
- Fall Restricting System
» Align with CSA Z259.14-01
- Free Fall
» Align with CSA Z259.16-04
DEFINITIONS
· New definitions - continued:
- Full Body Harness:
› Align with CSA Z259.10
- Horizontal Lifeline
› Allows for more than one user.
- Lanyard:
› Align with CSA Z259.13-04
› Can also be used with body belts in travel restraint
DEFINITIONS
· New definitions include:
- Personal Fall Protection System:
› Responsibility of user.
- Safety Monitor:
› Requires person to be competent
› Can only be used while weatherproofing
› Always used in conjunction with a control zone.
DEFINITIONS
· New definitions include:
- Suspended Equipment:
› Definition aligns with CSA Z91-02 & Z271-98.
› Align with other jurisdictions
- Travel Restraint System:
› Align with CSA terminology
› Align with Industry terminology
› Also referred to as “fall restraint”
DEFINITIONS
· New definitions include:
- Vertical Lifeline:
› Align with CSA Z259.2.1-98
- Work Positioning System:
› Align with CSA Z259.2.3-99
› Other “fall protection system” required when using work positioning system.
FALL PROTECTION SYSTEMS
PROPOSED CHANGES TO 91-191
SECTION 50
- Section 50 – Hierarchy of Fall Protection Systems
› Guardrails, Travel Restraint or Fall restricting
· Guardrails not permitted for slopes greater than 6 in 12
› Fall-Arresting
› Control Zone
· Control zone not permitted for slopes greater than 3 in 12
SECTION 49
- 49(1)(a)
› Continually use fall-protection system
› From 3 m or more above water or nearest safe level
› Expanded to include bins and hoppers.
- 49(1)(b)
› Expanded to all work areas that may tip or fail.
› From 3 m or more above nearest safe level
SECTION 49
- 49(2) and 49(3) - Towers
› Continually use fall protection system when at rest and at working level and when ascending or descending
- 49(4) and 49(5) – Wood Poles
› Continually use fall-arresting system when ascending and descending
› Work Positioning system in addition to fall-arresting at the working level.
› Where impractical to use both, then use fall restricting system when ascending and descending and to secure themselves when at rest or at working level.
- 49(6) - Exceptions:
› When remaining further than three metres from the unguarded edge of a flat roof (3 in 12 or less),
› When installing, maintaining and removing fall-protection system and other means of fall protection are impracticable,
› When impracticable to use fall-protection system during weatherproofing (e.g. roof area less than 23 m²)
SECTION 49
- 49.1 – Fall-Protection System Components
› Owners have additional responsibilities,
› Designed in accordance to “Good Engineering Practice”
› Must follow “Manufacturer’s Specifications”,
› Adopted new or revised CSA Standards,
‣ http://ohsviewaccess.csa.ca/
› Equivalencies are accepted in some circumstances,
- 49.2 (1) – Fall Arresting System Components
› Full body harness (properly fitted and adjusted)
› Lanyard
‣ Self-retracting,
‣ Energy absorbing, or
‣ Energy absorber
› Horizontal Lifeline or anchor point (22 kN or four times the maximum load)
- 49.2(2) and 49.2(3) – Free Fall Distance
› Maximum Free Fall Distance of 1.8 m or maximum shock on body 8 kN (provided there is sufficient clearance),
› Limit free fall to 1.2 m where using energy absorber is hazardous or impracticable,
- Lanyard can not be made of inelastic material.
SECTION 49
- 49.2(4) and 49.2(5) – Rescue Plan
› Requirements for Rescue Plan when using fall-arresting system,
› Training in Rescue Plan,
- Rescue plans are also required as part of a “Code of Practice” (section 50.2(4)(e))
- 49.2(6) – Post Fall
› Remove equipment from Service
› Have equipment inspected by competent person
› Repair to the Manufacturer’s specifications
› Destroy defective equipment when unable to repair.
- 49.3 – Responsibilities of the Owner of a Place of Employment with respect of anchor point
› Applies when fall-arresting system is used
› Provide and ensure the use of permanent or temporary anchors,
› Provide and post sketches of permanent anchors,
- 49.3 – Responsibilities of the Owner of a Place of Employment
› Ensure Inspection of every anchor:
- Being used for the first time,
- Every 12 months or as recommended,
- After any event or maintenance and repair
› No one shall allow the use of defective anchors.
- 49.4 – Vertical Life Lines
› Detailed description of vertical life lines used in a fall-arresting system,
› Can only be used by one employee at a time.
› Complies to CSA Standard Z259.2.1-98 or Z259.2-M1979 (section 49.1(2)(b))
SECTION 49
- 49.5, 49.6 and 49.7 – Horizontal Life Lines
› Definition for “Maximum Arrest Force” aligns with CSA Z259.16
› Engineered Systems, designed to meet CSA Standard Z259.16-04,
› Pre-engineered systems,
› Regulation defined system, (Section 49.6)
› Engineered System that does not meet CSA Standard Z259.16-04 but was installed prior to the Legislation change
- 49.8 – Safety Nets
› Provides clarification on proper installation and use.
- Employee cannot contact other surface when arresting fall,
- Splice / joints of equal or greater strength,
- No obstructions between work area and net
› References ANSI A10.11-1989
SECTION 50
- Section 50.1 – Instruction to Employees
› In Fall Protection System
› Post-fall Rescue, where necessary.
- Section 50.2 – Code of Practice
› Required for:
· Work at 7.5 metres or above (approximately 25 feet),
· Making use of Monitor
· Officer Requires
› Readily available at the workplace,
› Developed in conjunction with JHSC or health and safety representative.
› Elements of the Code of Practice are outlined in the Regulation, Section 50.2(4)
- Section 50.3 – Training
› Competent person provides training,
› Written records of training are required,
› Annual review of training requirements, with JHSC or H&S Rep where applicable,
› Training not required where fall protection system is a guardrail
› Section comes into affect, July 1, 2011 (Section 47(2) of Regulation 2010-159)
Section 50.4 and 50.5 – Fall Protection System Inspection (Collective or Personal)
- By the employee, visually before use
- By a competent person before initial use and as recommended by the Manufacturer, installer or engineer
- Use not permitted when defective
- Components are compatible and fit for environment
- Section 51(1) – Water Safety - Definitions:
› “Automatically Inflatable Personal Floatation Device” – automatic inflation with oral inflation as back-up. Supports in upright and backward leaning position but does NOT turn person to face-up position.
› Meets UL1180-95
› Bright yellow, orange or red and have retro-reflective material above water line.
› Inspected and maintained as per Manufacturer’s specification.
- Section 51(2) – Water Safety – Standards
› “Personal Floatation Device” - Inherently buoyant device. Supports in upright and backward leaning position but does NOT turn person to face-up position.
› Conforms to CGSB standard CAN/CGSB-65.11-M88
› Bright yellow, orange or red and have retro-reflective material above water line.
SECTION 51
- Section 51(2) to 51(6) – Need to Wear buoyant device / Working on ice
› Working over water, less than 3m in height and where a fall protection system is not in use.
› When transported by boat
› Working Alone (life jacket only)
› Insufficient resources (life jacket only)
› If working on ice with water depth of more than 1 m, the ice needs to be tested
SECTION 51
- Section 51(8) to 51(12) – Water Rescue
› Around water or any other liquid
› Written and posted emergency procedure
› Competent person to operate emergency equipment.
› Consideration for temperature, depth, water flow, distance to rescue boat, weather conditions, visibility…
› “Life Jacket” or personal floatation device worn during rescue,
› Motorized boat in rough or swift water
SECTION 97
- Section 97 – Guardrails
› No. 2 grade lumber acceptable
› New provisions for pre-engineered guardrails
› Requirements for strength and rigidity are defined and are based on slope of surface
› Not permitted for slope 6 in 12 and greater
- Section 105(1) to 105(3) and 105(7) – Warning Lines and Control Zones
› Allowed for non-weatherproofing work, not less than 2m from the edge, weatherproofing work, still 1m from the edge.
› Additional method of fall protection is required when working within the control zone (warning line to unguarded edge).
› Snow removal, 2m for roof area and 1m at the dump zone.
› Only authorized employees in control zone.
› Can not be used for slopes greater than 3 in 12 (section 50(4)).
- Section 105(4) to 105(6) – Safety Monitor
› Continue to allow the use of monitors as a means of fall protection while weatherproofing (only when used in conjunction with warning lines)
› Experienced in work being overseen and trained in their duties
› Ensure work is performed in accordance with Code of Practice.
› Be present at all times
SECTION 105
- Section 105(4) to 105(6) – Safety Monitor
› As complete authority to prevent falls
› Able to communicate with employees without yelling,
› Be instantly distinguishable,
› Not engage in other duties
› Can monitor a maximum of eight workers
SECTION 105
- Section 105(8) – Travel Restraint
› Formerly referred to as fall restraint,
› Rigged to prevent the employee from reaching the unguarded edge,
› For sloped roofs of 3 in 12 or less, attached to anchor capable of supporting two times the maximum load,
› For sloped roofs of more than 3 in 12, attached to anchor capable of withstanding 22 kN force.
SECTION 106
- Section 106.1 – Perimeter Work
› Perimeter Work:
‣ Defined as work performed at edge of roof
› Toe boards are not required when using a guardrail.
SECTION 111
- Section 111 – Openings
› Additional responsibilities placed on owners
› Define requirements when using protective coverings
Section 124 – Portable Ladders
- Sets-out limitations for working more than 3m from ground or floor level without fall protection:
- Light duty work only,
- Maintain centre of gravity between side rails,
- One hand available to hold ladder, and
- Not positioned near edge or opening
SECTION 129.1
- Section 129.1 – Forklift Platforms
› Hierarchy of Fall Protection is in effect,
- Section 130 – Elevating Work Platforms
› Travel restraint or fall-arresting is required except:
· On firm flat surface,
· Guardrails and chains are in place and
· Not moving horizontally or vertically
› Comes into effect on July 1, 2011
SECTION 131
- Section 131 – Scaffolds
› Requires a guardrail, including a toe board, when 3m or more in height (Section 97).
SECTION 140.1
- Section 140.1 – Suspended Equipment
› New section
› Apply to “suspended work platform”, “swing staging” and “boatswain’s chair”,
› Set-out requirements for owners
› Requirements when working from suspended equipment, (section 140.1(1))
› Inspection requirements (section 140.1(2) and 140.1(3)) and
› Anchor point requirements (section 140.1(4)) and component compatibility.
Section 141 – Fixed Suspended Work Platform
- Clarification regarding "fixed" suspended work platform
- Additional responsibilities placed on owners
- Failure of one support will not upset the work platform,
- Design sets out specifications of components and maximum live load,
- Where guardrails are impractical, use hierarchy of fall protection.
Section 142 - 143 – Swing Staging and Boatswain’s Chair
- Provisions apply to Boatswain’s Chairs
- Provision for preventing movement of hooks and thrust-outs (142(2)(a)(ii) and 142(2)(b)(ii))
- Rope can be wire or synthetic ((143(3)),
- Provision for minimum rope size is amended to 13mm in all swing staging applications,
- To meet manufacturers specifications regarding the number of rope turns on drum or minimum of three turns.
SECTION 142 - 143
- Section 142 - 143 – Swing Staging and Boatswain’s Chair
› Requirement to remove rope from service based on manufacturer’s specifications,
› Dimensions for wire rope used for Boatswain’s Chair provided, 9mm.
SECTION 144
- Section 144 – Swing Staging and Boatswain’s Chair
› Provisions include Boatswain’s Chairs,
› Requirement to use fall-arresting equipment while on swing staging,
› Sets out requirements for anchor points for personal fall-protection system on a swing stage:
† Two independent means of support
† Failure of one support will not upset the swing staging
SECTION 145 – 145.1
- Section 145 – 145.1 – Boatswain’s Chair
› Sets out dimensions for the Boatswain’s Chair,
› Allows for manufactured system providing equivalent protection,
› Carry out work within arms reach,
› Requirement to use fall-arresting equipment with Boatswain’s Chair, and
› Descent control mechanism to meet CSA Standard Z259.2.3-99
SECTION 145.2
- Section 145.2 – Suspended Equipment
› Owner to provide or ensure the use of permanent or temporary anchors,
› Provide and post sketches of permanent anchor points,
› Inspect anchors
· Being used for the first time,
· As recommended or at least every 12 months
· After any event or maintenance and repair
› No one shall allow the use of defective anchors
SECTION 232
- Section 232 – Aerial Devices
› Requirement to continually use fall-arresting system when working from a moving aerial platform,
› Requirements for anchor points.
Consequential Change
- Substituting “individual fall arresting system” with “fall arresting system”,
› Section 121(2) and 374
› Underground Mining Regulation 96-105
· Section 14, 15, 39(2), 214(1)(c) and 215(2)(c)
NO QUESTIONS? GREAT!! |
VP&S STRATEGIC PLANNING
SUMMARY OF PHASE TWO
VISION AND VALUES
WE ASPIRE TO TRANSFORM HUMAN HEALTH BY DRIVING DISCOVERY, ADVANCING CARE, AND EDUCATING LEADERS
WE VALUE EXCELLENCE, RESPECT AND EQUITY
TWO-PHASE STRATEGIC PLANNING EFFORT LAUNCHED IN JANUARY 2023
- Phase I: Collect input, identify top strategic priorities next 5-10 years
- Phase II: Detail plans for pursuing priorities via faculty and staff working groups
PHASE I FEATURED COLLECTION OF BROAD RANGE OF FACULTY, STAFF AND LEARNER INPUT
- Consultants interviewed ~250 individuals across 18 cohort groups
- Online survey completed by 1,777 faculty and staff members
STEERING COMMITTEE REVIEWED INPUT, DISCUSSED VISION AND VALUES, IDENTIFIED GOALS AND SPECIFIC PRIORITIES
- Some priorities will be assigned to Phase II working groups
- Other priorities being addressed by existing efforts and/or VP&S leadership
PHASE II OVERVIEW
WORKING GROUPS
Develop recommendations to achieve Phase I priority; specific mandate to be provided to each group
PHASE II ORGANIZATIONAL STRUCTURE
• Working groups comprised of 5-8 members each, with a mix of tenure and roles, and a single designated leader
• Senior administrative leader coordinates working groups by mission, oversees staff support of working groups
• Steering Committee comprised of current members plus additional working group leaders
PROCESS
• Working groups meet approx. four times between kickoff and end of September, some offline work expected
• Recommendations due to Steering Committee by early October, ending working group commitment
• Steering Committee reviews recommendations and provides input to Dean
DELIVERABLE
1-2 page report with short, medium, and long-term recommendations and suggested metrics to track outcomes
PHASE II STRATEGIC PLANNING WORKING GROUPS
CLINICAL
1. Advance leadership in **quality of care**, including clinical excellence, patient-centeredness, and equity
2. Improve patient **access**
3. **Redesign ambulatory practices** to advance patient and clinician experience, including integration of clinical research
RESEARCH
4. Enable greater **research coordination and collaboration** by reducing system barriers
5. Facilitate and standardize bidirectional **translational research pipeline**
6. Lead in innovative approaches to recruiting and developing **research workforce** (i.e., post docs/professional science staff)
EDUCATION
7. Increase support for educators
8. Improve **quality of learner experience**
9. Advance innovative approaches to increasing **diversity/inclusion in the biomedical workforce**
COMMUNITY
10. Leverage all assets across our missions to advance the **wellbeing of our local communities**
11. Improve **health care quality and access** in our local communities
12. Grow **bidirectional community-based research**
CROSS-CUTTING
13. Enhance **mentoring and career development** opportunities for faculty and staff, including clinical, community, educational, research, and administrative pathways
14. Improve **inclusion and belonging**
15. Foster **greater interaction and team-building** (e.g., shared space, communications)
16. Prepare for a future in which **AI** will play a significant role in advancing all missions
1. **QUALITY OF CARE**: Advance leadership in quality of care, including clinical excellence, patient-centeredness, and equity
Across the board there is tremendous pride in the care delivered at VP&S: exceptional clinicians are committed to excellence in serving patients. While there are various ongoing efforts to measure and improve the quality of care, for VP&S to truly lead in this area, these need to be better aligned across the enterprise. At the same time, VP&S should strive to provide a uniformly positive experience for all patients regardless of payor, language, or care needs, with sufficient resources to support patient care, patient-friendly facilities and payor-agnostic care sites. This working group will make recommendations for how to ensure consistently high-quality, patient-centered care, in partnership with NYP.
2. **ACCESS TO CARE**: Improve patient access
Faculty and staff report that patients have a difficult time accessing care at VP&S, with long waiting times for both primary and specialty care. This is frustrating for patients and is said to result in the loss of patients to competitors. Additionally, VP&S’s small outpatient footprint means that care needs cannot often be met in the communities in which patients live, negatively affecting the patient experience. This working group will make recommendations to increase patient access to primary and specialty care at VP&S, both in the inpatient and outpatient setting.
3. **AMBULATORY PRACTICE REDESIGN**: Redesign ambulatory practices to advance patient and clinician experience, including integration of clinical research
Clinical faculty describe feeling overburdened due to clinical administrative requirements and perceived understaffing. They feel they are unable to fully focus on delivering the very best patient care and unable to adequately pursue their academic interests. Clinics are not set up to facilitate clinical research; clinical ancillary staff and resources often cannot be leveraged for research purposes. This working group will make recommendations for reducing administrative burden, improving staff support, and addressing the barriers to integrating clinical research into the clinic.
4. **RESEARCH COLLABORATION SUPPORT**: Enable greater research coordination and collaboration by reducing system barriers
While faculty and staff describe VP&S as having a highly collaborative culture, at times the “system” seems to get in the way. It can be difficult to find and access research resources—in particular, cores can be challenging to access given their decentralized management and due to capacity or cost. The current funding model is felt to disincentivize cross-department collaboration; administrative hurdles can take time away from research, particularly for collaborations that cross units. This working group will make recommendations on ways to address systemic challenges to foster research collaboration across VP&S, with NYP and with our partners across Columbia.
5. **TRANSLATIONAL RESEARCH PIPELINE**: Facilitate and standardize bidirectional translational research pipeline
VP&S boasts unmatched resources and assets to enable translational research: outstanding basic science adjacent to a world-leading medical center with a diverse patient population. But while individual investigators have had great success translating their discoveries, faculty would like there to be a more systematic way of conducting this kind of research. This working group will make recommendations for how to facilitate and standardize the translation of research from the lab to the clinic to the community and back.
6. **RESEARCH WORKFORCE**: Lead in innovative approaches to recruiting and developing research workforce
In recent years, it has become increasingly difficult to recruit and retain essential research workforce—in particular, post docs and professional science staff. While the post docs shortage is a national phenomenon and exacerbated by the impact of COVID on work life, Columbia is particularly challenged given the high cost of living and the breadth of opportunities available to talented scientists in the NYC area. This working group will be charged with developing innovative approaches to recruiting and developing the research workforce in light of these challenges.
7. **EDUCATOR DEVELOPMENT**: Increase support for educators
VP&S attracts phenomenal students and trainees, and overall, the educational experience gets high marks. However, educators report receiving limited support for teaching, which they feel keeps them from providing the best possible experience for learners. Specifically, faculty seek greater protected time for education and increased training/mentoring on teaching skills, as well as increased recognition for their contributions. In addition, faculty and staff see opportunities to enhance the curriculum to better meet the needs of today’s learners; some of this work is already underway. This working group will develop recommendations to ensure VP&S continues to provide its learners a best-in-class experience.
8. **LEARNER EXPERIENCE**: Improve quality of learner experience
One of the keys to trainee success is a positive perception of the clinical learning environment, this is often linked to not only well-being but also academic success. We would want to enhance the learning environment for our students, residents and fellows to ensure collaboration and excellent patient care and science. This working group will develop recommendations for providing a productive clinical learning environment conducive to well-being and academic success.
9. **PIPELINE STRATEGY**: Advance innovative approaches to increasing diversity and inclusion in the biomedical workforce
VP&S boasts an array of pipeline programs, like the Summer Program for Underrepresented Students (SPURS) and the Summer Health Professions Education Program (SHPEP). While these programs are highly effective and valuable, they are managed independently and not coordinated. VP&S can lead in developing innovative programs to increase diversity and inclusion in the biomedical workforce by bolstering existing programs and integrating them across the career development lifecycle. This working group will be asked to envision what a coherent pipeline strategy might entail.
10. **COMMUNITY WELLBEING:** Leverage all assets across our missions to advance the wellbeing of our local communities
Faculty, staff, and students alike share a commitment to providing excellent care to the Washington Heights community. Beyond direct patient care, there is a sense that there are more ways to leverage VP&S’s full strengths and capabilities to improve the overall wellbeing of the community by engaging more deeply across all missions. Community members say they would welcome greater engagement with VP&S as true partners. This working group will recommend an approach to advance the wellbeing of our local communities in a more comprehensive, cross-mission way.
11. **COMMUNITY HEALTHCARE QUALITY AND ACCESS:** Improve health care quality and access in our local communities
While faculty, staff, and students all describe a commitment to providing the very best care to the community, access to care and quality of care in local communities remains a concern. Several efforts are underway to address access to subspecialty care that will be bolstered by Working Group No. 2. This working group will focus on how to strengthen the healthcare services in the community, particularly primary care and related services, in partnership with NYP and with the existing community based resources.
12. **BIDIRECTIONAL COMMUNITY RESEARCH:** Grow bidirectional community based research
Washington Heights offers a rich setting for conducting biomedical research with the promise of bringing the latest medical advances to the community—a win-win for faculty and community members alike. Faculty see the potential to increase local access to and diversify clinical trials, and to expand population research into the community. Community leaders see the value of bringing more research to the community; they are eager to help set research priorities and to ensure that the results of this research are returned to the community in the form of information and improved care. This working group will propose a strategy for increasing bi-directional community based research.
13. **MENTORING/CAREER DEVELOPMENT**: Enhance mentoring and career development opportunities for faculty and staff, including clinical, community, educational, research, and administrative pathways
VP&S attracts the very best faculty and staff, but retention has become a concern of late. Faculty and staff in all roles/missions cite the desire to better understand what it takes to be promoted and to receive sufficient training and mentorship to reach the next level of professional success. This working group will clarify career tracks and promotion criteria for faculty and staff, separately, by focus area.
14. **INCLUSION AND BELONGING**: Improve inclusion and belonging at VP&S
VP&S has developed numerous programs addressing inclusion and belonging, including the VP&S Anti-Racism Task Force and VP&S Anti-Racism Coalition, which have had a positive impact on the VP&S community. However, these programs are typically managed independently. This working group will propose a coherent strategy that would encompass and integrate these programs to further advance inclusion and belonging at VP&S.
15. **INTERACTIONS/TEAMS/COMMUNICATION**: Foster greater interaction and team-building (e.g., shared space, communications)
Faculty and staff describe VP&S as being comprised of exceptional, collaborative-minded colleagues, but they often find it difficult to meet and interact with those outside their immediate sphere, limiting the potential for serendipitous collaborations and more team-focused science. In interviews and the survey, faculty raised the idea of creating more spaces where they could meet more spontaneously—such as a faculty lounge or cafe. As well, faculty and staff suggested there might be better, more innovative ways of communicating internally across VP&S. This working group will consider opportunities for fostering greater interaction and community building through physical and virtual spaces.
16. **AI**: Prepare for a future in which AI will play a significant role in advancing all missions
As AI transforms the nature of work across the economy, it will surely impact how we deliver care, how we conduct research, how we educate future leaders, and how we go about our daily business. This working group will propose how VP&S can ensure it is ready for the changes to come and can remain on the forefront of integrating AI to advance all our missions.
TENTATIVE TIMELINE
SEPTEMBER-OCTOBER:
RECOMMENDATIONS DEVELOPED
• Weekly Meetings (In-Person)
• Submit Recommendations to Steering Committee
NOVEMBER:
RECOMMENDATIONS REVIEWED
• Steering Committee Reviews & Revises Recommendations
• VP&S Leadership Reviews and Finalizes
DECEMBER:
SHARING
• Final Plan Shared with VP&S community |
LaPorte County Association of REALTORS®
Annual Golf Outing
Friday, June 2, 2023
Legacy Hills Golf Course, La Porte
Registration @ 11:30 AM Shot Gun Start @ 1:00pm
$360 per team
If registered & paid on or before May 12, 2023.
$400 per team after May 12, 2023!
Registration Deadline: May 26, 2023
Each Golfer Receives:
18 Holes of Golf with Cart, Lunch
$125 Hole Sponsor: Includes Lunch for 2, and Sign
Beverages sponsored by:
Pillar To Post/The Tim James Team
The La Porte County Association of REALTORS
4-Person Scramble (18 Team Limit)
1st Place Team Award
2nd Place Team Award
Duffer Prize
Best Decorated Team/Cart Contest!
Theme is Beach Fun
1st and 2nd place prizes!
Committee Co-Chairs:
Julie Deal: 219-241-8888
James Kist: 219-393-8702
Iris Muccigrosso: 219-324-8120
Julie Wagner: 219-608-5614
Committee Members: Mike Bilek, Joy Pawlak, Brad Anderson
Julie Wagner: Team Registration, Hole Sponsor Registration and all payments
La Porte County Association of REALTORS
www.laportecountyrealtors.com
245 W Johnson Rd, Suite 8, La Porte In 46350
219-324-8120
firstname.lastname@example.org
Make checks payable to LPCAR. Team Registration and payment information – please contact Julie Wagner at 219-608-5614 or email@example.com
Team Name: ___________________________ Contact Name: ________________ Contact #: ____________
Player #1 : ___________________________ Player #3 : ___________________________
Player #2 : ___________________________ Player #4 : ___________________________
Hole Sponsorships Available!
Cost: $125 and receives two lunch tickets and sign. (Sponsors do not need to be at the hole location but we encourage you to do so! Bring your company swag/giveaways and have fun interacting with the golfers!)
Letter from the Board President
Longer days are upon us and summer is just around the corner. April is Fair Housing Month so remember to provide equal services to all during your daily schedules.
Fair housing Act protects home buyers from discrimination as they get a mortgage, rent a home, buy a home, seek housing assistance or participate in other housing related services. Realtors can reference NAR’s code of ethics for information on upholding fair housing ideals.
(Continued on page 4)
In This Issue
• Letter from Board President
• 2023 LPCAR Scholarship Info
• Galveston Giveback 4/27
• Charity Auction Seating Chart
• RPAC Virtual Auction Sneak Peak
• April Calendar
LaPorte County Association of Realtors Golf Outing
2023 Hole Sponsors Only
Company: ________________________________
Name: ____________________________________
(How will sponsor sign read)
Contact: ______________________________________________________
Email: ________________________________________________________ Phone: _______________________
Paid: __________________________ ($125 for Hole Sponsor)
Attending Lunch: Yes_______
No ______
Make Checks payable to: LPCAR
All entries & payments to Julie Wagner
firstname.lastname@example.org/219-608-5614
La Porte County Association of REALTORS, P.O. Box 248, La Porte IN 46352
The Deserving Children’s Charity Committee is pleased to announce that table reservations and dinner tickets are now available!
This year the auction will take place at the Civic Auditorium in La Porte on November 17, 2023! We hope to have a great auction and raise funds to take the kids in need shopping!
To purchase tickets or reserve a table, please contact Julie Wagner at email@example.com or 219-608-5614. Below is the seating chart for the Civic Auditorium. Please remember that table locations are approximate and may differ slightly. Diagram is not to scale!
Ticket prices: $480 for a table of 8/$60 per person. Payment by check or credit card. Please make checks payable to: LPCAR Charity Fund.
Auction items are needed. Please contact any of our co-chairs if you would like to donate an item or make a donation to the Deserving Children Charity Fund! Item may also be dropped off at the Board Office. 2023 Committee Co-chairs:
Tommy Sunn/219-575-0881
Stephanie Stout/219-851-7998
Samantha Greenwood/219-851-3197
Board Office/219-324-8120
The Professional Licensing Agency (PLA) released the dues renewal portal. The license cycle ends on June 30, 2023. PLA advises everyone to use a computer when renewing your license - please refrain from using a smart phone or tablet as the page may not display or function properly on those devices. All Indiana-licensed real estate Brokers must complete 12 hours of continuing education (CE) each year of the same 3-year license renewal cycle.
Current License Renewal Cycle:
July 1, 2020 — June 30, 2023
Managing Brokers: Please remember that 4 of the 12 hours of CE you complete each year must be state-approved Managing Broker curriculum.
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Your 2023 Food Drive Committee is jump starting our food drive this year. The goal is set for $8000! Food prices have soared this past year and it is becoming more difficult to keep families fed. Every dollar matters! Please consider donating to our food drive in 2023!
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Letter from Board President—Continued
(Continued from page 1)
2023 Annual LPCAR Golf Outing committee is excited to roll out this year's event. The golf outing is scheduled for June 2, 2023 at Legacy Hill Golf Course in LaPorte. This year's theme is Beach Fun. Get your teams together and come enjoy the day with your fellow team members and cohorts...Have a great April
Tommy Sunn
2023 Board President
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Galveston Give Back-April 27th
Please remember to bring a coupon (page 10) for our giveback and write “giveback” on your check so we may receive a portion donated back to our charity!
Welcome to the Annual La Porte County Association of REALTORS Food Drive! This endeavor is to help the local pantries replenish their supplies for the less fortunate. No one wants a child or anyone in our community to go to bed hungry.
We are requesting monetary donations for this year's drive. Any amount is appreciated. Every cent of your donation goes toward buying food and all contributions stay in our community.
We will once again partner with a local grocery store and will be able to purchase our food at a reduced rate. This simple act of kindness helps so many!
Donations are being accepted through May 31 2023. Please make all checks payable to "La Porte County Association of REALTORS." You may use our GoFundMe page too...https://www.gofundme.com/f/2023-lpcar-food-drive (Please note the following if using GoFundMe link: It will ask a donor for a “tip” to offset costs. You may elect to bypass the tip by entering “0” as the percentage amount. This is an optional feature added by GoFundMe but not required).
You may also scan the QR code to access the food drive page. Use your smart phone camera to scan.
Please feel free to call anyone on our committee if you would like any additional information or if you would like someone to pick up your donation.
Thank you for your support and, as always, we are so grateful for each of you!
Amy Blind
Food Drive Co-Chair
Pine Lake Realty
219-608-4213
Robin Umphrey
Food Drive Co-Chair
RE/MAX County Wide 1st
219-363-9380
Committee Members:
Annette McIntyre/Realty Executives Premiere 219-363-1117
Tricia Meyer/Weichert REALTORS Merrion Group 219-872-4000
Jordin Agemy/C21 Circle MC 219-877-8127
Iris Muccigrosso/LPCAR 219-324-8120
Ashlan Siford/MTM Realty Group 219-363-6315
La Porte County Association of REALTORS
P.O. Box 248,
La Porte, IN 46352
Email: firstname.lastname@example.org or email@example.com
Web: www.laportecountyrealtors.com
Have confidence in a professional – see a REALTORS®
REALTOR® is a registered mark which identifies a professional in real estate who subscribes to a strict Code of Ethics as a member of the National Association of REALTORS®
National Association of REALTORS®
What is RPAC? RPAC is a voluntary political action committee whose membership consists of REALTORS® interested in actively and effectively protecting the real estate industry and the dream of homeownership by participating in government affairs at the local, state and federal levels.
Launched in 1969 as the Real Estate Political Education Committee (REPEC), RPAC supports candidates of any party who understand and champion real estate issues. It is the most bipartisan major PAC in the country. Political expenditures are divided nearly evenly among Republicans and Democrats based on their support of real estate issues. In 1974, NAR changed REPEC’s name to RPAC.
Why Contribute to RPAC?
1. **Advocacy**: RPAC works to advocate for policies and legislation that benefits the real estate industry and property owners. By contributing to RPAC, members help to support candidates who share our values and will work to promote policies that benefit the industry.
2. **Influence**: Members can help ensure that their voice is heard by elected officials, which helps to ensure that these officials are more likely to listen to the concerns of REALTORS® and take their views into account when making policy decisions.
3. **Protection**: RPAC helps to protect the rights of property owners and the real estate industry as a whole.
From city hall to the state house to the U.S. Capitol, our elected officials are making decisions that have a huge impact on your bottom line, and that of your clients.
RPAC has been successful on many issues, such as keeping sales tax on services (your income) at bay at the Indiana statehouse, but we know there are still more on the horizon.
We will be hosting our 3rd annual virtual auction this June. In these tough times we know it is never easy parting with funds, but we hope this is a fun way to make your contribution and perhaps win an item or two in return. Auction items will be available for viewing on June 20, 2023 and the auction will go live on June 22, 2023 at 8:00 a.m. and run through June 27, 2023 at 12 noon! We hope you join us and help us raise funds for RPAC!
Open to REALTOR and Affiliate members of LPCAR. Item donations are welcomed—please contact the board office for details!
Give Back To RPAC Virtual Auction—June 20-27, 2023—Sneak Peek!
LA PORTE COUNTY ASSOCIATION OF REALTORS
give back to RPAC!
virtual online auction
Opens June 20, 2023
Preview Days: June 20-21, 2023
Auction Days: June 22-27, 2023
Mark Your Calendar!
Please mark your calendar for our upcoming CE Classes!
May 9, 2023 — 11:30 a.m.
(immediately following our membership meeting at Portofinos) - Real Estate, The Internet and Privacy in the Information Age (Land Trusts and How they Protect You) - 2 CE Hours for all Indiana Brokers
June 9, 2023 - 9:30 a.m. CST at the Coolspring Branch of the La Porte Library. Indiana Contracts and Forms - 4 CE Hours approved for all Indiana Brokers and Managing Brokers.
A Reminder: All REALTOR Members should have completed all required CE Hours prior to renewing your RE license. Managing Brokers must include 4 CE Hours of Managing Broker Eligible courses in the required 12 hours.
Renewals are now open! Have copies of your CE Certificates handy in case of audit!
HONOR FAIR HOUSING MONTH.
Save The Date!
LA PORTE COUNTY ASSOCIATION OF REALTORS PRESENT
ECONOMIC AND RESIDENTIAL REAL ESTATE UPDATE WITH LAWRENCE YUN
LUNCHEON AND AFFILIATE EXPO
AUGUST 16, 2023
10:30 AM-EXPO
11:00 AM-LUNCH
Blue Chip
Registration opens this Spring
Our Sponsors! Spots are still available!
Member Benefit
FOREWARN
FOREWARN is a revolutionary application that allows agents to have instant due diligence on prospects. In seconds, with as little information as a phone number or name, LPCAR members can verify a prospect’s identity, criminal records, bankruptcies, liens, judgments, address history and property records (state laws vary) all in one place, leading to safer and more productive interactions.
This is not only critical for your personal safety and efficiency, but also a benefit to your listing homeowners, providing an added layer of protection for their homes and families through your vetting of prospective buyers. Haven’t set up your account yet? Please contact the board office for more information at 219-324-8120.
LPCAR is pleased to offer Scholarships in the amount of $1000 each, to area students who plan on pursuing further education after graduation or are currently attending a college or trade school and who are related to a REALTOR or Affiliate member of LPCAR.
This award will be given to a person demonstrating outstanding community involvement who is planning to pursue further education through an accredited college, university, or trade school or are currently attending college or a trade school.
**Scholarship FAQs**
1. **What is the eligibility criteria for the Scholarship?** To be eligible the student must be pursuing further education after graduation or must be currently enrolled in a college or trade school. Students must also be related to an LPCAR member—Affiliate of REALTOR—who is in active and in good standing. For our new Board of Director Service Scholarship, the student must be related to a member who has served on the LPCAR board of directors—past or current.
2. **How does my student apply for the scholarship?** Applications are available for download on our website. Please make sure to provide the application to eligible students.
3. **What is the deadline for application submission?** The deadline to submit the application is April 30, 2023.
4. **How much money is awarded through the scholarship?** For 2023 each recipient will receive $1000 for their further education costs.
5. **How many scholarships are awarded each year?** In 2023 there will be 4 (four) Scholarships available.
The deadline for this year is **April 30, 2023**. Please make sure your student applies as soon as possible. The application also requires an essay of 200 words or less explaining why the scholarship should be awarded. Any application received without the essay will not be considered during the selection process. It is important for the student to complete all parts of the application.
Applications are available for download on our website at www.laportecountyrealtors.com. *We ask that applications be mailed in or hand delivered if possible.*
For those students applying for the Board of Director Service Scholarship, please remind your student that they must list the Board member’s name and the position served if available.
**Mark Your Calendar!**
Our next General Membership Meeting will take place on May 9, 2023 at 11:30 a.m. at Portofino Grill in La Porte. Our 2022 REALTOR of the Year and 2022 Affiliate of the Year will be announced at this meeting. CE will follow our meeting—Real Estate, The Internet and Privacy in the Information Age (Land Trusts and How they Protect You) - 2 CE Hours for all Indiana Brokers.
A Prime Eating Establishment
Group: La Porte County Association of REALTORS Deserving Children Charity
Date: April 27, 2023
Time: 4-8 p.m. Dine-in Only
You must print out this coupon and bring with you to present to your server. A portion of your bill will be donated back to our Charity.
Galveston Steakhouse, 10 Commerce Square, Michigan City IN 46360
Since 1969, the REALTORS® Political Action Committee (RPAC) has promoted the election of pro-REALTOR® candidates across the United States. The purpose of RPAC is clear: REALTORS® raise and spend money to elect candidates who understand and support their interests. The money to accomplish this comes from voluntary contributions made by REALTORS®. These are not members’ dues; this is money given freely by REALTORS® in recognition of how important campaign fundraising is to the political process. RPAC doesn’t buy votes. RPAC enables REALTORS® to support candidates that support the issues that are important to their profession and livelihood.
Like us on Facebook:
La Porte Co. Assoc. of REALTORS, Inc.
Follow us on Twitter:
LP Assoc.REALTORS/#LPRealtors
Follow us on Instagram
laportecountyrealtors
Contact Us
LPCAR
PO Box 248
La Porte, IN 46352
Phone(219)324-8120
Fax: 219-363-9323
firstname.lastname@example.org(dot)net or lpcar@frontier(dot)com Visit us on the web at www.laportecountyrealtors.com
April 2023
| Sun | Mon | Tue | Wed | Thu | Fri | Sat |
|-----|-----|-----|-----|-----|-----|-----|
| | | | | | | 1 |
| 2 | 3 | 4 | 5 | 6 | 7 | 8 |
| | | Board of Director Meeting at 11:30 a.m. | | | Office Closed | 8 |
| 9 | 10 | 11 | 12 | 13 | 14 | 15 |
| | | | | | | |
| 16 | 17 | 18 | 19 | 20 | 21 | 22 |
| | | | | | | |
| 23 | 24 | 25 | 26 | 27 | 28 | 29 |
| | | | | | | |
| 30 | | | | | | |
Board office Closed: April 18—21, 2023 |
St. Stephen Catholic Church, Portland, Oregon
Sunday, November 6th, 2022
The Tribute Money, Rubens
The 22nd Sunday After Pentecost
Dominica Vigesima Secunda Post Pentecosten
PARISH STAFF
Fr. Eric Andersen, pastor email: email@example.com
Mr. Joseph Salazar, director of religious education email: firstname.lastname@example.org
Sr. Anne-Therese Nguyen, administrative assistant email: email@example.com
Jay Sticka, maintenance
Daniel Silverman, maintenance/custodian
Nicolai Bajanov, music director email: firstname.lastname@example.org
Parish Address: 1112 SE 41st Ave. Portland, OR 97214
Parish Office: 503-234-5019
website: https://www.saintstephenpdx.com
MASS INTENTIONS FOR THIS WEEK
- Sat 11/5: +Myrna and Jo Hess
Intentions of the Immaculate Heart of Mary
- Sun 11/6: The Dietsch Family
People of the Parish
The Wendell Family
- Mon 11/7: Eldin Hadziric
- Tues 11/8: +Josephine Mary Arkelion
- Wed 11/9: The Priestly Fraternity of St. Joseph
- Thu 11/10: +Ara Peter Arkelion
- Fri 11/11: Ray Henry and Marivie Cuenca
- Sat 11/12: Robert Michael Reynolds
Intention of the Celebrant
- Sun 11/13: Sandina Hadziric
People of the Parish
Žule Hadziric
OFFERTORY COLLECTION (this week and month to date)
Offertory
- Envelopes/Cash: $3,042.12
- Online: $1,766
TTL WTD: $4,808.12
Budget: $5,900
-$1,091.88
TTL MTD: $31,147.96
Budget: $29,500
+$1,647.96
Special Collections
- Maint/Restoration: $150
- Air Conditioning Fund: $100 (remaining: $87,105.63)
- Security/Landscaping: $588 (remaining: $47,427.00)
- Rectory/Office Repairs: $100 (remaining: $37,857.15)
TTL Maint/Rest: $938
Budget: $2,083
-$1,145.00
- Sacred Music: $150
Budget: $260
- $110.00
- St. Stephen Festival: $0
- Poor Box: $0
Online giving: https://www.saintstephenpdx.com/special-events
This week’s schedule:
Sat, Nov. 5th: Saturday of the BVM (4th Class)
• 8 am: Adoration and Sung Latin Lauds
• 9 am: Low Latin Mass followed by public Rosary
• 10-11 am: Confessions
• 4 pm: Sung Latin Vespers
• 5 pm: English Mass (32nd Sunday in Ordinary Time)
Sun, Nov. 6th: 22nd Sunday After Pentecost (2nd Class)
• 7:15 am: Sung Latin Lauds
• 8 am: Low Latin Mass
• 9:15 am - 10:15 am: Confessions
• 10:30 am: Sung Latin Mass
• 5:00 pm Sung Latin Vespers
• 6 pm: Low Latin Mass
Monday, Nov. 7th: Feria (4th Class)
• 8:15 am: Sung Latin Lauds
• 9:00 am: Low Latin Mass (Daily Mass for the Dead)
Tuesday, Nov. 8th: Feria (4th Class)
• 12 Noon: Latin Low Mass (Daily Mass for the Dead)
• 5 pm: Sung Latin Vespers
Wed, Nov 9th: Dedication of Archbasilica of Holy Savior (2nd Cl)
• 5 pm: Adoration and Sung Latin Vespers
• 5:30 pm: Confessions
• 6 pm: Public Rosary + 6:30 pm, Ben. of the Blessed Sacrament
• 6:45 pm: Low Latin Mass
Thurs, Nov. 10th: St. Andrew Avellino, Conf (3rd Class) Novena ends
• 5 pm: Sung Latin Vespers
• 5:30 pm: Confessions
• 6:45 pm: Low Latin Mass
Fri, Nov. 11th: St. Martin of Tours, Bishop and Confessor (3rd Cl)
• 11 am: Confessions
• 12 Noon: Low Latin Mass
• 5 pm: Sung Latin Vespers
• 7 pm: Sung Latin Mass
Sat, Nov. 12th: Saturday of the BVM (4th Cl) St. Martin’s Lent begins
• 8 am: Adoration and Sung Latin Lauds
• 9 am: Low Latin Mass followed by public Rosary
• 10-11 am: Confessions
• 4 pm: Sung Latin Vespers
• 5 pm: English Mass (33rd Sunday in Ordinary Time)
Sun, Nov. 13th: 23rd Sunday After Pentecost (2nd Class)
• 7:15 am: Sung Latin Lauds
• 8 am: Low Latin Mass
• 9:15 am - 10:15 am: Confessions
• 10:30 am: Sung Latin Mass
• 5:00 pm Sung Latin Vespers
• 6 pm: Low Latin Mass
UPCOMING EVENTS AT ST. STEPHEN’S
RCIA AT ST. STEPHEN
Those interested in becoming Catholic or taking the steps to learn more about the Catholic Faith can contact Joseph Salazar (email@example.com) to get started. We are trying to set a day for weekly RCIA classes that works for the schedules of those participating.
NOVENA FOR ST. MARTIN OF TOURS - NOV 2nd - 10th
In preparation for the feast of Martinmas (Nov 11th), and Saint Martin’s Lent (the 40 Days before Christmas), Fr. Bergida will lead novena prayers in the church after the weekday Low Masses. The Novena begins on Nov 2nd (All Souls Day), but the public praying of the Novena will begin on Nov 3rd. The Novena prayers are available in the narthex of the church and on the bulletin page (dated Nov 2nd).
THE FEAST OF ST. MARTIN OF TOURS
Friday, Nov 11th. 12 pm Low Mass. 7 pm Sung Mass
ROSARY WALK PILGRIMAGE - NOVEMBER 12TH
Kickoff St. Martin’s Lent with a 6.8 mile walk around the parish boundaries. Meet at 11:15 am in front of the church after Confessions. Depart at 11:30. Back to the church around 3:30 pm. Bring water and snacks. No pets. Dress for the weather, whatever it might be.
BAKE-OFF: SUNDAY NOVEMBER 20th
After the 10:30a Mass on Nov. 21st during coffee and donuts we will be holding a bake-off to raise money for the maintenance fund. We are looking for volunteers who love to bake to provide home baked pastries and desserts. The bake-off will be a judged competition and the judges will be the parishioners. We will have donation containers in front of each entry. If you like it, donate. You can make multiple donations. Whoever has the most donations by the end of coffee and donuts, will be the bake-off champion. For further inquiries please reach out to Stephen Tobusch by email at firstname.lastname@example.org
PHILOSOPHY NIGHT WITH FR. BERGIDA - NOVEMBER 22
7 pm. Tuesday, Carmody Hall. “A Tale of Two Wills: Predestination in Catholic Teaching.” Fr. Bergida will explore the topic of Predestination and the Catholic position versus the Protestant option. Ages: High School and up. No reading ahead necessary. Snacks provided.
INDULGENCES FOR THE HOLY SOULS
Holy Mother Church offers us two special indulgences this month:
1) **A Visit to a Cemetery** *(November 1st – 8th)*
An indulgence, applicable only to the Souls in Purgatory, is granted to the faithful, who devoutly visit a cemetery and pray, even if only mentally, for the departed. The indulgence is plenary each day from the 1st to the 8th of November; on other days of the year it is partial.
Prayer at the cemetery:
Eternal rest grant unto them, O Lord
and let perpetual light shine upon them.
May they rest in peace. Amen.
May their souls and the souls of all the faithful departed rest in peace, Amen.
*Our Father & Apostles Creed for the intentions of the Holy Father*
2) **A Visit to a Church or Oratory on All Souls Day** *(November 2)*
A plenary indulgence, applicable only to the Souls in Purgatory, is granted to the faithful, who on the day dedicated to the Commemoration of all the faithful departed piously visit a church, a public oratory or — for those entitled to use it — a semi-public oratory. In visiting the church or oratory, it is required that one Our Father and the Creed be recited.
**What is an Indulgence?** *(Catechism of the Catholic Church)*
¶1471 "An indulgence is a remission before God of the temporal punishment due to sins whose guilt has already been forgiven, which the faithful Christian who is duly disposed gains under certain prescribed conditions through the action of the Church which, as the minister of redemption, dispenses and applies with authority the treasury of the satisfactions of Christ and the saints." (Indulgentiarum doctrina)
"An indulgence is partial or plenary according as it removes either part or all of the temporal punishment due to sin." The faithful can gain indulgences for themselves or apply them to the dead.
**Obtaining indulgence from God through the Church**
1478. An indulgence is obtained through the Church who, by virtue of the power of binding and loosing granted her by Christ Jesus, intervenes in favor of individual Christians and opens for them the treasury of the merits of Christ and the saints to obtain from the Father of mercies the remission of the temporal punishments due for their sins. Thus the Church does not want simply to come to the aid of these Christians, but also to spur them to works of devotion, penance, and Charity.
1479. Since the faithful departed now being purified are also members of the same communion of saints, one way we can help them is to obtain indulgences for them, so that the temporal punishments due for their sins may be remitted.
YOUNG CATHOLIC PROFESSIONALS - EXEC SPEAKER SERIES
Bekah Spencer, Contract & Program Manager for Providence Health Plan will speak Tuesday, November 8 from 7 – 8:30pm at Ascension Catholic Church. Details & Registration at YCPPORTLAND.ORG
CATHOLIC FRIENDSHIP GROUP: SINGLES, AGES 40-60
Prayer followed by a presentation and discussion. Our current series: The Seven Deadly Sins. Come join us for our next gathering on Friday, November 18th from 6:30pm-8:00pm. For more details, visit www.catholicfriendshipgroup.com. Location: St. Birgitta Catholic Church, 11820 NW St. Helens Rd, Portland. RSVP to: email@example.com
CHESTERTON ACADEMY OF BLESSED PIER GIORGIO FRASSATI
Hosting an OPEN HOUSE — November 20th from 2–4pm (340 NE Clackamas Street – Portland, OR 97232). Come meet the faculty and students and learn why Chesterton Academy is a joyful, classical, and faithful high school option for your family. We look forward to seeing you! RSVP @ www.chestertonfrassati.org
WORLDWIDE MARRIAGE ENCOUNTER
“By your perseverance you will secure your lives.” Persevere in your marriage by using the tools learned on the next Worldwide Marriage Encounter Experience on November 18-20 at Mt. Angel Abby, in Mt. Angel Oregon or January 13-15 at Our Lady of Peace Retreat House in Beaverton. To apply for your WWME Experience or search other dates go to rediscoverthespark.org. For information about WWME call 503-704-0836 or by email at firstname.lastname@example.org
HOLY LEAGUE MEN’S CONFERENCE
Registration is open for the 7th annual Holy League Catholic Men’s Conference on Saturday, December 3rd from 7:00 am to 4:00 pm at St. Joseph Catholic Church in Salem. The event begins with a Mass at 7:00 am. The conference is to encourage all husbands, fathers, and sons to be the Godly men that they are called to be. Guest speakers include Father Stephen Kenyon, Steve Ray, Jesse Romero, and Deacon Harold Burke-Sivers. For more information and to register: https://theholyleague.org/
MASS READINGS (Traditional Latin Mass - 1962 Missal)
Saturday: Ecclus. 24:14-16; Luke 11:27-28
Sunday: Phil. 1:6-11; Matt. 22:15-21
Monday: Apoc. 14:13; John 6:51-55
Tuesday: Apoc. 14:13; John 6:51-55
Wednesday: Apoc. 21:2-5; Luke 19:1-10
Thursday: Eccles. 31:8-11; Luke 12:35-40
Friday: Eccles. 44:16-27, 45:3-20; Luke 11:33-36
Saturday: 1 Peter 5:1-4, 10-11; Matt. 16:13-19
Sunday: Phil 3:17-21, 4:1-3; Matt. 9:18-26
LESSONS AT MATINS (Traditional Roman Breviary - 1962)
Find online at http://divinumofficium.com or as an app (Breviarium meum)
Saturday: 2 Macc. 15:7-19; Commentary of St. Basil, on the Prophet Isaiahs
Sunday: Dan. 1:1-15; Homily of St. Hilary, on Matthew 23
Monday: Dan. 2:31-44; Sermon of St. John Chrysostom, on the Martyrs; Homily of St. Augustine on the Sermon on the Mount
Tuesday: Dan. 3:14-19, 21-24; Book of St. Cyprian on Mortality; Homily of St. Augustine on the Sermon on the Mount
Wednesday: Apoc. 21:9-18; Eulogy of the Dedication of the Basilica of Holy Martyrs; Homily of St. Ambrose on Luke
Thursday: Dan. 5:1-6, 13-17; 25-31; Eulogy of St. Andrew Avellino; Homily of Pope St. Gregory on the Gospels
Friday: 1 Tim. 3:1-7; Titus 1:7-11, 2:1-8; Eulogy of St. Martin, Bishop; Homily of St. Ambrose on Luke
Saturday: Dan. 9:1-5, 21-27; Eulogy of Pope St. Martin
Sunday: Hos. 1:1-11; Homily of St. Jerome on Matt. 9
UPCOMING SPECIAL COLLECTIONS
11/06 Archbishop’s Seminarian Appeal
11/13 Rectory/Office Repairs
11/20 Sacred Music
COFFEE AND DONUTS AFTER 10:30 MASS
Join us after the Sunday 10:30 am Mass today for coffee, donuts and other good foods for lunch. A great social opportunity!
ALTAR BOY ENROLLMENT AND TRAINING
Contact Stephen or Dylan at: email@example.com
SUBSCRIBE TO THE PARISH YOUTUBE CHANNEL
Saint Stephen Catholic Church PDX.
https://www.youtube.com/channel/UCenluv9m__Zo_8lvGRz_72A
DRESS CODE FOR THE CHURCH: A MESSAGE OF LOVE
Please dress with respect for the LORD and His Church. Formality is not necessary, but modesty is necessary. Dress for the occasion. Set a good example for others. Do not be a scandal to others. Men: dress like a gentleman and a man of God, rich or poor. Women: dress like a lady with the loveliness of the Blessed Virgin Mary as your guide. Your clothes need not be expensive or fancy, but clean, neat, feminine, respectful and modest. To help clarify, the following points are given as a helpful guide:
- No gym clothes, yoga clothes, revealing clothes or pajamas.
- No bare shoulders on men or women
- No cleavage, no bare chests. Ladies cover up. Men button up.
- No mini-skirts. Skirts should cover the knees while seated. Men should wear long pants.
- No anti-Christian clothing, logos, jewelry, make-up.
- Tattoos should be covered (ask about getting de-commissioned)
- Remove piercings of tongues, lips, cheeks, eyelids, noses, or enlarged ears, etc., before entering the church.
- No Cross-dressing.
- No hair color that is unnatural (green, orange, blue, pink, etc.)
If you have tattoos, piercings, etc., from a former way of life, do your best to cover them up, and be humbled. We love you. Do not despair. Every saint has a past and every sinner has a future. Receive this guidance humbly with love. It is humbly given with love.
Pray The Rosary
Join Us
Wednesdays 6:00 PM during Confession and Adoration
Saturdays after 9:00 AM Mass during Confessions |
Case Report
Evolution of SILS Cholecystectomy in the Caribbean: The Direct Transfascial Puncture Technique Using Conventional Instruments without Working Ports
Shamir O. Cawich, Dexter Thomas, Dale Hassranah, and Vijay Naraynsingh
Department of Clinical Surgical Sciences, University of the West Indies, St. Augustine Campus, St. Augustine, Trinidad and Tobago
Correspondence should be addressed to Shamir O. Cawich; email@example.com
Received 7 May 2014; Accepted 15 September 2014; Published 2 October 2014
Academic Editor: Boris Kirshtein
Copyright © 2014 Shamir O. Cawich et al. This is an open access article distributed under the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
Introduction. Single incision laparoscopic cholecystectomy (SILC) has become accepted as an alternative to conventional multiport cholecystectomy. However, SILC is still limited in applicability in low resource centres due to the expense associated with specialized access platforms, curved instruments, and flexible scopes. Presentation of Case. We present three cases where a modified SILC technique was used with conventional instruments and no working ports. The evolution of this technique is described. Discussion. In order to contain cost, we used conventional instruments and three transfascial ports placed in an umbilical incision, but we noted significant instrument clashes that originated at the port platforms. Therefore, we modified our technique by omitting ports for the working instruments. The technique allowed us to exchange instruments as necessary, maximize ergonomics, and prevented collisions from the bulky port platforms. Finally, the puncture left by the instrument alone did not require fascial closure at the termination of the procedure. Conclusion. The direct transfascial puncture using conventional laparoscopic instruments without working ports is a feasible option that minimizes cost and increases ergonomics.
1. Introduction
Navarra et al. were the first to report the completion of a cholecystectomy through a single periumbilical incision in 1997 [1]. Initially, single incision laparoscopic cholecystectomy (SILC) was slow to gain traction because it was technically difficult and expensive due to need for specialized access platforms, curved instruments, and flexible tip laparoscopes. However, over the past decade SILC has become widely accepted as a feasible and safe alternative to multiport cholecystectomy. There have been increasing reports of modified SILC techniques using straight instruments [2–10] and modified access platforms [10–17].
The first SILC in the Caribbean was performed in 2009 [2]. Since this time, the technique has undergone several adaptations. We report the evolution in instrumentation and accesses in our practice of SILC in a limited-resource Caribbean setting.
2. Presentation of a Case
At our institution, three patients underwent SILC using a modified technique with conventional instruments. A 2 cm incision was created across the umbilicus. The skin was undermined in order to maximize fascial exposure. An 11 mm incision was created in the fascia at the left side of the fascial window. A purse string suture was inserted at the margins of the fascial incision using 1/0 prolene sutures. A 10 mm optical port was placed in the incision. The purse string suture was tightened to create a seal and insufflation commenced to achieve a 12 mmHg pneumoperitoneum. A 5 mm trocar introducer was then used to puncture the fascia at the right side of the wound (Figure 1). The introducer was withdrawn and a 5 mm instrument immediately advanced across the fascia through the tract. This was the most commonly utilized instrument for the surgeon and therefore would require the least “change.” In our hands, this was an electrocautery hook.
To complete the cholecystectomy, the purse string suture was relaxed and a 5 mm straight instrument was passed beside the optical port (Figure 2). The purse string was tightened, encircling both instruments to regain a seal and reestablish a pneumoperitoneum. The cholecystectomy then proceeded in a normal fashion by dissecting Calot’s triangle to achieve Strasberg’s critical view (Figure 3). The cystic artery and duct were then clipped using a 5 mm clip applicator passed beside the visual port within the purse string suture. After division of these structures, the cautery hook was used to dissect the gallbladder from the hepatic bed.
Three procedures were completed with a mean operating time of 42 minutes. There were no conversions to open or multiport cholecystectomies. No complications were recorded.
3. Discussion
The first SILC in the Caribbean was performed in Jamaica in 2009 [2]. There are several challenges preventing minimally invasive surgery from being established in this environment [18–20]. At the forefront is the fact that this is a developing nation with an underfunded health care system [18]. The public health care system cannot afford to procure access platforms, flexible scopes, or curved instruments. Therefore, our SILC technique was modified out of necessity to one using straight instruments and conventional laparoscopes [9]. Similarly, many authors report having reverted to the use of conventional instruments for SILC [2–10].
However, our technique continued to evolve since we had not found an acceptable and affordable access platform. Our first SILC was performed with donated SILS ports (Covidien Inc., Norwalk, CT, USA) but after the donated supplies depleted, we were forced to experiment with different types of accesses. To contain cost, we attempted using three reusable transfascial ports placed in an umbilical incision. The technique achieved the goal of cost-containment but it increased the technical difficulty of SILC because of instrument clashes.
We noticed that the “instrument clashes” did not involve the instruments but occurred between the port platforms. The natural progression was to omit the ports and pass the instruments directly across the fascia. Therefore, we modified the technique by omitting ports for our working instruments. By passing one instrument beside the optical port, we were able to exchange instruments during the procedure as necessary. Since this instrument was only 5 mm in diameter, a seal could be maintained by tightening the purse string suture that encircled the optical port and working instrument.
The second working instrument was passed directly across the fascia following the tract created by a puncture from a 5 mm optical trocar introducer. By omitting the working port, the bulky port platforms were not present so collisions could only originate from the instruments themselves—which were significantly smaller in diameter. This technique also allowed us to place this instrument at the right most extent of the wound, maximizing distance between the instruments. These two factors resulted in increased maneuverability of the working instruments. Although it did not fully compensate for the lack of triangulation inherent to SILC, the instruments were now in a position where we could perform intracorporeal tasks much more ergonomically. An added benefit was that the fascial defect left by the
instrument alone did not require closure at the end of the procedure.
There have been many modifications of SILC accesses. Peritoneal access using multiple low profile ports which are in a single incision has been described [5, 6], but this does not completely overcome the problem of port platform collisions. Many authors have described the use of a surgical glove with conventional ports [10–14, 16, 17] or modified syringes [15] tied into the fingers. However, all descriptions of the glove ports require the use of a wound retractor ring to maintain the seal that also incurs cost. Our modification overcomes both problems since it does not require the use of working ports or wound retractors and only creates collisions from the instruments themselves.
By reducing the amount of consumables required for each operation to a single 12 mm optical port (Covidien Inc., Norwalk, CT, USA) and standard 35 cm instruments, the direct transfascial puncture technique reduces the cost of this operation. We compared this to other methods that were available for SILC using current market prices from local distributors. The cost of one SILS port (Covidien Inc., Norwalk, CT, USA) on the local market was USD $470.21. Using the glove method with one 12 mm port, two 5 mm ports, and a wound protector (Covidien Inc., Norwalk, CT, USA), the cost of the procedure amounted to USD $209.01. Using the method with a 12 mm with two 5 mm ports placed in a single umbilical incision, the cost of the procedure was USD $109.51. In comparison, using the direct transfacial puncture technique with only one 12 mm port (Covidien Inc., Norwalk, CT, USA), the cost of consumables for this procedure was only USD $37.85. Compared to all the other methods, the cost associated with the direct transfacial puncture technique resulted in cost savings.
4. Conclusion
The direct transfascial puncture technique using conventional laparoscopic instruments without working ports is a feasible option. It minimizes cost and increases surgeon ergonomics for SILC. However, a series with larger case volumes is needed to definitively state the efficacy of this procedure.
Consent
Written informed consent was obtained from the patient for publication of this case report and case series and accompanying images. A copy of the written consent is available for review.
Disclosure
There are no additional acknowledgments and no source of funding was available for the preparation of this paper.
Conflict of Interests
The authors declare that there is no conflict of interests regarding the publication of this paper.
References
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[7] S. O. Cawich, M. Albert, and S. K. Mohanty, “Laparoscopic cholecystectomy using standard instruments through a single umbilical incision: feasibility in Jamaica,” *The West Indian Medical Journal*, vol. 62, no. 1, pp. 1–2, 2013.
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[14] L. Livraghi, M. Berselli, V. Bianchi, L. Latham, L. Farassino, and E. Cocozza, “Glove technique in single-port access laparoscopic surgery: results of an initial experience,” *Minimally Invasive Surgery*, vol. 2012, Article ID 415430, 4 pages, 2012.
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Ephesians
Life together in Christ
‘For it is by grace you have been saved, through faith—and this is not from yourselves, it is the gift of God—not by works, so that no one can boast.’
- Ephesians 2:8-9 -
Welcome to our Bible study on the book of Ephesians, a powerful letter that offers profound insights into our identity and unity in Christ. This letter, which is addressed to the believers in Ephesus, a major city known for its busy trade and diverse religious practices, remains deeply relevant, guiding us in understanding what it means to live a life together in Christ.
Paul begins this letter with a breathtaking exposition of the spiritual blessings we have in Christ. In Ephesians 1:3-14, he outlines how we have been chosen, redeemed, and sealed by the Holy Spirit. These blessings are the very foundation of our Christian identity and help us to reflect on how being "in Christ" transforms our understanding of ourselves and our purpose in the world.
One of the central themes of Ephesians is the unity of the church. Paul emphasises that Christ has broken down the dividing wall between Jews and Gentiles, creating one new humanity. This unity is a profound mystery, reflecting God’s eternal plan to bring all things together under Christ.
In Ephesians 4-6, the focus shifts to the practical implications of our faith. Paul encourages us to live a life worthy of our calling, marked by humility, gentleness, patience, and love. He provides specific instructions for various relationships and roles within the community, emphasising mutual submission and love.
In the final chapter, Paul addresses the reality of spiritual warfare, urging believers to put on the full armor of God. This powerful imagery reminds us that our struggle is not against flesh and blood, but against spiritual forces, and that we are to equip ourselves with truth, righteousness, faith, and other spiritual armour in order to stand firm in our faith.
As we embark on this study of Ephesians, I hope that we deepen our understanding of our identity in Christ and foster a greater sense of unity and love within our communities, growing together in faith and living out the rich truth of this transformative letter. May our time in Ephesians inspire and equip us to live lives that reflect the beauty and power of life together in Christ.
Every blessing,
Rev’d Christopher Bate
Holy Spirit Algeste
What is the best gift you have ever been given? Who gave it to you and why was it special?
Read: Ephesians 1:1-14
1. How does Paul describe himself? Why is this important? (v.1)
2. How does he describe the church in Ephesus? Why is this important? (v.1)
3. Who is Paul writing on behalf of? (v.2)
4. What spiritual blessings has Christ blessed us with? (v.3)
5. What were we chosen for and why? (vv.4-6)
6. What do we have through the blood of Christ? (v.7)
7. How would you summarise vv.8-9?
8. Paul uses the word ‘predestined’ twice in this passage (vv.5 & 11). How does he use this word? What message is he trying to convey?
9. How are the first apostles and the Christians in Ephesus joined together? (vv.12-13)
10. What is the role of the Holy Spirit in this passage? What does this tell us about the Holy Spirit?
Rubber hits the road:
Spend some time re-reading this passage and ponder the generosity of God. How can we best respond to these generous gifts of God?
Lord God, you are truly generous towards us. You give extravagant gifts and lavish your grace upon us. We acknowledge that we do not deserve this by our own merits, but only by your adoption of us as your sons and daughters. We pray that we might begin to see clearer and understand deeper the love you have for us and for the world around us. As we draw close to you, continue to grow us in faithfulness, and build holiness in us. We pray all of this through the mighty name of your Son, Jesus Christ our Saviour. Amen.
How did you learn to pray? What’s the best advice you’ve been given regarding prayer?
Read: Ephesians 1:15-23
1. Why has Paul not stopped giving thanks and remembering the Ephesians in his prayers? (v.15)
2. What do you think is the significance of the Ephesians having faith in the Lord Jesus and love for all God’s people?
3. Paul uses ‘magnificent’ language throughout this prayer. What words does he use? Why might he be using this type of language?
4. What does Paul ask God for in v.17? Why does he ask for these things?
5. What does Paul ask God for in vv.18-19? Why does he ask for these things?
6. What does Paul tell us about the power that has been given to believers? (vv.19-20)
7. List all the things that Paul writes about Jesus in vv.19-23.
8. What is the significance of Jesus being seated at the right hand of God?
9. Why must Jesus always be the head of the church?
10. What is the significance of us (the church) being the body of Christ? (v.23)
Rubber hits the road:
How does this prayer challenge the way you pray?
Spend some time in prayer, following Paul’s pattern of prayer from this passage.
Prayer
God of our Lord Jesus Christ, the glorious Father, we thank you for your Spirit who reveals to us who you are. Thank you for the hope of your calling and for the fact that we are your glorious inheritance. Thank you for your great power that is for our good, and for making this power known to us through the resurrection of Christ. Thank you for being fully present in your church, and for making your presence known through your church for the blessing of all people. Help us to pray that we may know you better as we live each day in the confident hope of your glory. All praise and glory be to you, God of majesty.
Amen.
Have you ever had a near death experience? How did it make you feel?
Read: Ephesians 2
1. What problem does Paul make clear at the start of this chapter?
2. Paul describes those who follow the ways of the world as ‘disobedient’. Why do you think Paul uses this word? Who are they disobeying?
3. What reasons does Paul give for ‘being deserving of wrath’? (v.3)
4. What is the good news in vv.4-5?
5. What do you think Paul means in v.6? What is its’ significance?
6. How would you explain vv.8-10 to someone who wanted to know if God wants us to do good works and what value they hold?
7. What problem does Paul make clear in vv.11-12?
8. What is the good news in v.13?
9. Paul repeatedly uses the word ‘peace’. What are the different ways he uses this word?
10. How would you explain vv.19-22 to someone who wanted to know why we say that the church is the people – not the building?
Rubber hits the road:
How does this passage challenge the way you view a life without Christ compared to a life with Christ?
Spend some time thinking about what it means for you to be God’s handiwork – alive in Christ.
Merciful God, without you we are truly lost and broken. We are without hope, separated from you, and dead in our transgressions. We acknowledge that we have done nothing to deserve your loving-kindness, generous mercy, and abundant grace – but still you have offered it to us freely as the greatest gift the world has ever seen. We come to you in faith, trusting that you are the only one who saves. In response to your mercy and grace, we offer ourselves to you as a living sacrifice. We ask that you might open our eyes to the good works in front of us, that as we do them, they might glorify you.
Amen.
Do you ever find it hard to receive love? Why do you think this is?
Read: Ephesians 3:1-13
1. Chapter 3 begins with the words ‘For this reason... you Gentiles’ What was written about the Gentiles in Chapter 2?
2. The word ‘mystery’ is repeated four times. What is this mystery? Why is the word mystery used?
3. How was this mystery made known/revealed?
4. How does Paul describe himself throughout vv.1-13?
5. What is the role of the church in vv.10-11?
6. What does v.12 say about how we can approach God?
Read: Ephesians 3:14-21
1. What does Paul pray for in this section?
2. The word ‘love’ is repeated three times. How is the word ‘love’ used? How did Paul use the word ‘love’ in Chapters 1 & 2? (See 1:4, 1:6, 1:15 & 2:4)
3. What does Paul say about the church / the Lord’s holy people in this section?
4. How would you summarise vv.20-21?
Rubber hits the road:
How has Ephesians 1-3 challenged the way you perceive the grace that God has lavished on you?
How can we (the church) continue to make known the ‘manifold wisdom of God’?
Prayer
Mighty God, we thank you for making known to us the mystery of your saving grace in Jesus Christ. And we thank you for calling us, your church, to continue proclaiming your grace and love to the world around us. May we, and all people, grasp how wide and long and high and deep your love is for us. In Jesus’ name we pray.
Amen.
What are you most skilled/competent in? How have you used that skill throughout your life?
Read: Ephesians 4:1-16
1. What does Paul urge the Ephesians to do in v.1? What might he mean by this?
2. What things does Paul tell them to do as they seek to live a life worthy of their calling? (vv.2-3)
3. In vv.4-5 Paul lists things that unify believers. What are they? Why are they important?
4. What are some of the gifts that God gave the church? (v.11)
5. Why did God give these gifts to the church? (vv.12-13)
6. How does Paul describe an unhealthy church / a healthy church? (vv.14-16)
Read: Ephesians 4:17-32
1. How does Paul describe the way that the Gentiles lived? (vv.17-19)
2. How does Paul describe the ‘old self’? What things are we to get rid of?
3. How does Paul describe the ‘new self’? What things are we to do now that we are in Christ?
4. If we continue to live according to our ‘old self’, why would that grieve the Holy Spirit?
Rubber hits the road:
The spiritual gifts that God has given the church are listed in Ephesians 4:11, 1 Corinthians 12:8-10 and Romans 12:6-8. Write each of them down in a list and spend some time discerning which of these gifts God has instilled in you. Spend some time in prayer thanking God for these gifts. Write down three ways that you could use your gift/s ‘so that the body of Christ may be built up... and become mature’.
Prayer
Living God, we thank you that a life lived with you is not just academic – but that you call us into action as your people. We thank you for the body of Christ here in our community and across the world. We thank you for the way you have instilled your varied gifts into each member of your body, the church. Help us, we pray, to become more aware of how you have created us. By your grace help us to play our part in the building up and maturing of your church.
In Jesus’ mighty name we pray. Amen.
What has been the biggest change/transformation in your character over the years?
Read: Ephesians 5
1. What is Paul asking the Ephesians to do in vv.1-2? How does this link with Chapter 4?
2. How much immorality, impurity and greed does Paul say we should have? Why? (v.3)
3. What does Paul instruct us to replace obscenity, foolish talk, and coarse joking with? (v.4)
4. What ‘fruit’ should come out of us as ‘children of light’? (vv.8-11)
5. Practically, what do you think Paul means in vv.18-20?
6. Why would Paul instruct us to ‘submit to one another out of reverence for Christ?’ (v.21) Why is it important that he instructs us all to submit to each other?
7. In vv.22-33, ‘Christ’ is mentioned five times and ‘the church’ is mentioned six times. Write down each of the things that Christ and the church do for each other. What did you notice?
8. Paul quotes from Genesis 2:15-25. What is the heart of this passage?
9. Why does Paul refer to marriage as a ‘profound mystery’?
10. From what you have studied in this passage, how would you describe the meaning of marriage?
Rubber hits the road:
What might marriage look like if it were lived in a way that mirrored the whole of Ephesians 5?
What are some ways that we can seek to help heal and comfort those who are hurting due to brokenness in marriage? What are some ways that we can seek to strengthen and encourage those who are currently living and pursuing this ‘profound mystery’?
Prayer
God of abundant grace, we thank you for calling us forward into transformation as your covenant people. We acknowledge our brokenness and frailty, and that each of us have failed to do what is right. But still your grace abounds, and we ask you to strengthen us for our journey as we seek to follow Christ’s example in all areas of our lives. Fill us afresh with your Spirit, Lord, and transform us we pray.
In Jesus’ name. Amen.
Have you ever needed to ‘stand your ground’? What allowed you to stand firm rather than be swayed in a different direction?
Read: Ephesians 6:1-9
1. Paul’s instructions to wives and husbands were to submit/honour and to love. What is different about his instructions to children/parents and slaves/masters? Why might this be?
2. What is the role of the father in v.4? Why is this important and how might this happen?
3. Do you think that Paul is asking slaves to obey their masters with fear and trembling, or to sincerely serve the Lord with fear and trembling? Why?
4. What do vv.5-9 say to us regarding our earthly work?
Read: Ephesians 6:10-24
1. Why does Paul tell us that we need to put on the armour of God? What are his reasons?
2. What pieces does the armour of God include? List each one, noting what part of the body they are protecting and why we might need each one.
3. How often should we pray? Is there anything too big or too small to pray about? (v.18)
4. What things does Paul ask the Ephesians to pray for him? (v.19) Why are these things significant?
5. What is special about Tychicus?
6. How does Paul describe the Ephesians believers in vv.23-24?
Rubber hits the road:
What’s something that God has spoken to you / challenged you about in the book of Ephesians?
How can we build up, strengthen, and unify the body of Christ in Sunnybank/Dalby/Algestor/Stanthorpe?
Prayer
Everliving God, we thank you for the book of Ephesians and for the way that your Spirit has continued to use this ancient letter to teach, challenge, and encourage us. We thank you that we can stand firm in our salvation as your beloved children. We praise you for making us alive in Christ, and we ask that you continue to teach us and transform us into the likeness of Jesus, our only hope and our one true saviour.
Amen.
HOLY SPIRIT ALGESTER
Anglican Church Dalby
Faith
Stanthorpe Anglican Parish
Sunnybank Anglican Church |
AMORIM
CODE OF BUSINESS ETHICS
AND PROFESSIONAL CONDUCT
Version 1.4 of 05 July 2021
MESSAGE FROM THE CHAIRMAN
We have a Mission. We have Values. We have a Future.
The long history of Corticeira Amorim, now spanning three centuries, bears witness to the work, determination and courage with which successive generations have overcome profound societal changes; they have endured two World Wars; they have faced the challenges of globalisation and they have revolutionised the entire cork sector.
Today, the entire Organisation has the foundations of this success deeply ingrained: entrepreneurial vision, responsibility and rigour, creativity and innovation. Some 150 years after its foundation, Corticeira Amorim adopts the same mission: to add value to cork in a competitive, distinctive, and innovative manner, in perfect harmony with nature; and the same values: pride, ambition, initiative, sobriety and attitude.
Today, more than 4400 Employees dedicate their professional lives to the pursuit of this mission, basing their conduct on high professional and ethical standards, both in internal and external relationships.
And this is our culture as an Organisation.
The Code of Business Ethics and Professional Conduct we present here formalises a set of rules and guidelines that should guide Corticeira Amorim and its Employees’ decisions and daily actions, both in internal relationships (with other employees) as well as external ones with other business partners (investors, customers, suppliers of goods and services, public and private institutions, local communities and society at large).
We trust that everyone (employees and stakeholders) will actively adhere to these guidelines.
António Rios de Amorim
Chairman of Corticeira Amorim
Portugal, Mozelos, 01 February 2021
MISSION
To add value to cork in a competitive, distinctive and innovative way that is in perfect harmony with nature.
VISION
To be a sustainable company, providing suitable value for the capital invested while promoting social equity and environmental safeguards, with differentiating factors at product and service level.
VALUES
**Pride** – We take pride in the tradition of our business, in our Company history and in the knowledge that we have accumulated in the many years of work of different generations. We are proud to work with a raw material that comes from the earth, that is sustainable, has an identity, and combines tradition, modernity and innovation.
**Ambition** – We take pleasure in what we do, we drive ourselves to do more and better, developing new customers, new markets and new applications for cork.
**Initiative** – We find solutions for commitments and challenges, responding quickly, effectively and positively to different circumstances and contexts, always focused on the development of the business and the industry.
**Sobriety** – We celebrate victories and commemorate successes internally, favouring discretion in our relationship with the outside world, never forgetting that we must always learn more and continuously do better.
**Attitude** – We are with the company in the good times and bad times with our effort, commitment and availability, giving the best of us and always respecting Colleagues, Customers, Suppliers, Shareholders and other Stakeholders relevant to the sustainability of Corticeira Amorim.
I – INTRODUCTION
Corticeira Amorim aims to behave in an appropriate and ethical manner in all its relationships with its customers, employees, investors, suppliers of goods and services, public and private institutions, local communities and society at large. This document sets out the guidelines and defines the desired attitudes and appropriate behaviour within Corticeira Amorim and in its relations with external entities.
This Code of Business Ethics and Professional Conduct (hereinafter referred to as the "Code") reflects Corticeira Amorim’s culture, values and corporate identity and applies to Corticeira Amorim and its Companies (the group of companies in which Corticeira Amorim has a controlling interest, regardless of whether their head offices are in Portugal or in another country), hereinafter jointly referred to as the "Organisation".
The Code, therefore, is aimed at both an internal and external group:
- The internal group includes all employees (including members of the governing bodies, directors and workers) of any company that is part of the Organisation. The Organisation and its employees will base their decisions and actions on the principles established in this Code, fulfilling their obligations in a professional, responsible and dutiful manner, at all times pursuing excellence in performance and promoting an appropriate working environment, while upholding the reputation of the Organisation and contributing to its sustainability.
- The external group comprises all entities that have an economic, institutional or corporate relationship with the Organisation. External stakeholders (the Organisation's shareholders and investors, customers, business partners and suppliers) are expressly required to respect and adhere to the principles established in this Code, to the extent that the values, principles and standards established herein may be applicable to them.
Corticeira Amorim and its Companies will promote awareness of the Code among Employees and stakeholders, so that their actions and performance are governed by the ethical principles advocated by it, in addition to the laws and regulations in force.
The Code outlines the fundamental ethical guidelines for the Organisation’s actions, from the perspective of ethical commitments and conduct towards: (1) its Employees; (2) its shareholders and investors; (3) its business partners and suppliers; (4) its customers; and (5) the community and society in general, both now and in the future.
II – GENERAL PRINCIPLES
1. Respect for the law
1.1 - Compliance with the law and relevant international conventions
The Organisation undertakes to act in full compliance with the laws and regulations in force in the regions where it operates, and to collaborate with the authorities as far as possible.
The Employees concerned and Stakeholders subscribing to this Code agree to:
- respect the laws and regulations that apply to their activity or which might lead to liability on the part of the Organisation;
- comply, in accordance with defined procedures, with requests legitimately directed to them by authorities, avoiding any behaviour that might hinder the exercise of these entities' respective powers.
The Organisation and all its Employees undertake to respect the principles of good business practices and to avoid engaging in or collaborating with conduct, behaviour or practices that might be considered improper, illegal, criminal, unethical or dishonest in the course of their relationships with customers, suppliers, business partners, competitors, public authorities and stakeholders in general.
The Organisation and all its Employees agree to always abide by the regulations in force and to maintain and partake in an ethical approach with stakeholders, also undertaking to comply with:
- the principles of the 1948 Universal Declaration of Human Rights;
- the basic conventions of the International Labour Organization;
- the Organisation for Economic Cooperation and Development's (OECD) guiding principles for multinational companies;
- the 10 principles of the United Nations Global Compact.
1.2 - Money laundering and other irregularities
The Organisation undertakes to observe procedures to prevent and detect illegal practices in financial and accounting matters, including money laundering and the financing of terrorism, by Employees or third parties.
Employees will pay special attention to the nature of the transaction when there are abnormal payments and receipts in cash, as well as to cheques and currencies other than those included in the agreed payment terms, duly communicating them through the channels and procedures established in this Code, complying with the regulations in force in all circumstances and at all times. Payments where the payer or beneficiary is a third party not mentioned in the respective contract, as well as payments made to accounts other than those usually used in the relationship with the Organisation and/or Company, must be duly reported and verified.
1.3 - Competition law
The Organisation undertakes to develop a dynamic and fair competitive practice, respecting competition law, in particular the prohibition of restrictive practices and the rules on
concentrations.
The Organisation and its Employees undertake to respect competing companies and their representatives, refraining from any practice encouraging unfair competition and, in particular, to maintain confidentiality over information and respect the intellectual property of entities related to the Organisation, as well as to refrain from abusing a dominant position in the negotiation and management of contracts.
Employees may not exchange information with competitors regarding costs, prices, service offering terms, choice of suppliers, future locations and market share, nor any other confidential information pertaining to the Organisation.
2. Transparency and trust
The Organisation and its Employees must be honest, transparent and trustworthy in all relationships, particularly commercial relations, defending the interests of the Organisation, especially in its relationships with investors, customers, suppliers, Employees and other Stakeholders, complying with the commitments made.
2.1 - Transparency
The Organisation adopts a principle of transparent behaviour with regard to information transmitted to the markets (financial or otherwise), undertaking to transmit truthful and appropriate information. Hence, the Organisation's economic and financial information will faithfully reflect its economic and financial situation, as well as its assets and liabilities, in accordance with the applicable accounting principles.
The Organisation and its employees are committed to reporting on their performance in a transparent manner, taking into account stakeholders' legal duties and requirements.
Employees agree to report and explain their professional decisions and behaviour, upholding their confidentiality obligations, and to inform the Organisation of any related circumstance whose disclosure is likely to impact on its economic, environmental or business situation.
Employees undertake to rigorously apply the established procedures, promote their improved effectiveness, and report any failures identified.
2.2 – Confidentiality
The Organisation is committed to managing the information with the objective of ensuring the protection of its integrity and the confidentiality of its companies', employees', customers' and suppliers' affairs.
Personal information should never be processed for purposes other than those legally or contractually established. The Organisation undertakes not to disclose the personal information of its employees, customers or third parties without their prior consent, except when legally obliged to so or in compliance with legal or administrative resolutions.
Employees must maintain strict professional discretion and confidentiality over information to which they have access in the exercise of their professional duties. For these purposes, the following will be considered confidential: any information that may have been disclosed orally, in writing or by any other tangible or intangible means, that the Employee or supplier
may have gained access to in the course of their professional activity or obtained by any method, legal or illegal, including business plans, invoices, strategic plans, products or services, financial forecasts, sales agreements, as well as customer, shareholder, Employee and supplier data, patents, trademarks, utility models or any other copyrights or intellectual property rights or applications thereof (whether registered or unregistered), passwords, source code, inventions, processes, graphic or non-graphic designs, engineering, advertising, budgets, financial forecasts, know-how, and any other information indicated or designated by the Organisation as confidential, whether owned by the Organisation or by third parties.
Employees and suppliers may not access, use or disclose confidential information unless they have been duly and previously authorised to do so in writing by the person responsible for the area in question. In case of doubt, and unless otherwise indicated, Employees and suppliers shall consider as restricted and confidential all information to which they may have access during the course of their work.
2.3 – Privacy and personal data protection
The Organisation is committed to strict compliance with the data protection legislation in force at all times in each of the jurisdictions in which it is present, guaranteeing the effectiveness of the related rights for its people and the protection of personal data stored or exchanged during day-to-day commercial operations.
Employees must scrupulously comply with the data protection principles set forth in applicable legislation and internal rules (notably the Privacy Policy for Managers and Employees), when in the performance of their duties they deal with the personal data of customers, suppliers, shareholders, employees or third parties.
3. Honesty and integrity
Institutional integrity is a fundamental value of the Organisation’s corporate culture.
The Organisation undertakes to conduct itself with honesty and to maintain appropriate internal control systems for the prevention and detection of fraud or irregularities, in particular with regard to corruption and bribery, conflict of interest and the use of information and property.
Employees must always behave with the utmost honesty and integrity in their professional area, rejecting any type of practice contrary to these principles.
3.1 – Corruption and bribery
The Organisation does not tolerate corruption or bribery, whether active or passive, in the private or public sector, including payments for the facilitation, creation, continuation or promise of illicit or favourable situations.
Employees undertake to:
- Refuse to receive, refrain from making, and abstain from requesting from third parties any offers, gifts, invitations, benefits, gratuities, compensation, commissions, advantages, favours, privileges or any other type of incentive that could be considered an attempt to
influence, in order to unduly obtain a corporate or administrative decision or an illegitimate advantage; unless such offers do not exceed the limits considered reasonable by corporate practice (i.e. the respective amount does not exceed 150 euros and there is no indication of less than transparent intentions or an attempt by the offeror to prejudice their impartiality) and are given on festive occasions; all such offers must be reported in writing to the respective hierarchies;
- Respect, in their relationship with public officials and heads of public entities, the impartiality obligations to which they are subject, refraining from giving or promising any kind of undue benefit;
- Not make monetary or other contributions to political parties on behalf of the Organisation.
3.2 – Conflict of interests
A conflict of interest is understood as a situation in which the personal interest of the Employee (or the individuals associated with them) and the interest of the Organisation may be in direct or indirect disagreement.
The Organisation undertakes to adopt measures to ensure impartiality in its actions and decision-making processes, in situations where there is a potential conflict of interest involving a Company of the Organisation and/or its Employees.
Employees must avoid or declare any conflict of interest that may place personal priorities before those of the Organisation, and must behave with honesty and integrity, not seeking personal or third-party benefits under any circumstances through the improper use of their position or contacts within the Organisation.
Employees undertake to:
- not involve the Organisation in their personal activities;
- notify their superiors and distance themselves from the respective decision-making processes, in all situations that may generate conflicts between their personal interests and the duty of loyalty to the Organisation, such as: family or similar relationships that are directly and hierarchically or functionally dependent; external professional activity that interferes with their duties or with the Organisation's activities; legal, property or family positions that may interfere with the Organisation's interests or with the activities conducted.
3.3 – Use of inside information
Employees also undertake to:
- whenever they are aware of facts that may have a material influence on stock prices and until their official disclosure: (i) keep such information confidential; (ii) not trade securities belonging to Corticeira Amorim, SGPS, SA, strategic partners or companies involved in transactions or relationships with the Organisation;
- use the information to which they have access only for the purpose it was obtained, respecting the interests of the Organisation and legitimate third parties.
The rules set out in this section are not intended to be exhaustive and the laws in force apply,
in particular, in Portugal, the provisions on this matter set out in the Securities Code, the Securities Market Commission (CMVM) Regulations and the applicable internal rules.
3.4 – Use of property
The Organisation undertakes to manage its own property, and that of third parties entrusted to it, in a manner that safeguards its value.
Employees undertake to:
- safeguard the tangible or intangible property entrusted to them by the Organisation or third parties, including Information Technology (IT) media and intellectual and industrial property, even if produced by them, using them only in the course of professional processes and ensuring this is done so in the proper fashion;
- not disseminate software or any other content that could cause damage to the Organisation's or third parties' property;
- use the IT media and any electronic devices provided to them for work (e-mail, intranet, internet, telephone, fax, servers, social networks, etc.) for professional activities only and under conditions that reflect the duties and work in question, avoiding any improper use; Employees should not abuse this usage for their own benefit or for activities that may have an impact on the Organisation’s reputation and image.
Under all circumstances, all information contained in the IT resources made available to Employees by the Organisation shall be considered part of the work and never private or personal, and the Organisation shall have the right to access such information in order to carry out monitoring, as necessary, in a proportional and convenient manner, to ensure that these are being used properly and in accordance with the legislation and good practices in force. Therefore, Employees may not have any reasonable expectation that the use or content of this information will be private.
It is strictly forbidden to discard, damage, neglect, alter, delete or render inaccessible any data, software or documents belonging to the Organisation or third parties, as well as to impede or interrupt the operation of its systems, applications and software.
Employees may only access the computer systems for which they have been authorised, by means of the duly licensed equipment and tools provided by the Organisation. No software that could affect the security of these systems may be installed, used or distributed unless prior authorisation is given.
Any theft or misappropriation or misuse of the Organisation’s property shall be subject to criminal prosecution.
3.5 – Social Networks and External Communication
Social networks and e-mail are a convenient, fast and effective way to communicate with the employees of other companies, guests and business partners. However, these means must be used appropriately. Irresponsible, careless or insensitive statements may be taken out of context and used against the Organisation and/or its Employees.
Being aware of what new communication methods and trends in our society represent and of their potential impact on the Organisation and its Employees, the Organisation recognises that communication with the media and institutional investors about specific information
concerning the Organisation must be managed with care and discretion, in accordance with internal rules, and the disclosure of information must be validated with the hierarchy. External communication should, therefore, only be carried out by persons in the Communications and Investor Relations departments or others designated by the Company or Organisation for this purpose.
Employees must inform the Organisation in advance of situations in which they will be speakers/lecturers and where the relationship with the Organisation is implicitly or explicitly publicised.
3.6 – Corporate image
The Organisation has a corporate image, which expresses and disseminates its core values. In using this image, Employees shall use special care to verify compliance with the graphic standards established by the respective Identity Manual (available on the Intranet).
3.7 – Copyright and industrial property
The Organisation shall proactively ensure the appropriate use and protection of its copyright and intellectual property rights.
Likewise, the Organisation and Employees should:
- respect and not infringe the copyright and industrial property rights of the Organisation or third parties, or the inherent rights of use relating to computer programs and systems;
- and make proper use of the Organisation's brands, trademarks, logos, Internet domains and trade names for the purposes determined by the Organisation.
Employees may not under any circumstances, without prior and mandatory authorisation, (i) register the Organisation's brands, trademarks, logos, Internet domains and trade names in their own name, even in conjunction with other trademarks, logos or trade names, (ii) reproduce, plagiarise, distribute, publicly share, transmit or use by any means for financial gain, any literary, artistic or scientific work or benefits covered by the Organisation's copyrights, nor may they (iii) reproduce, imitate, modify or otherwise infringe any of the Organisation's intellectual property rights.
The Organisation owns (i) the copyright or industrial property rights in any inventive activity (IT-related or otherwise) conducted by Employees in their relationship with the Organisation, or (ii) that has been developed using resources made available by the Organisation, or on the Organisation’s premises during the term of the employment contract and/or within the Organisation’s business relationships. In such cases, the Organisation shall have full legitimacy to register all the respective industrial property rights (patents, utility models or others) owned by it, and the moral right of the inventor or creator shall be safeguarded in accordance with the law.
3.8 – Political neutrality
Likewise, within the scope and performance of their professional duties at the service of the Organisation, Employees must act with absolute political neutrality and, when acting on behalf of the Organisation, must refrain, directly or indirectly, from taking positions for or against political agents and processes.
Specifically, they shall not make donations or contributions of any kind on behalf of the Organisation or use the Organisation's resources for the benefit of political parties, federations, coalitions, voter groups, organisations, factions, movements or, in general, public
or private institutions whose activity is clearly associated with political activity. They shall also not participate, within the scope and performance of their professional duties at the service of the Organisation, directly or indirectly, in any structure or organisation whose purpose is to finance such entities.
III – COMMITMENTS RELATING TO RESPECT FOR PEOPLE
The Organisation considers Employees essential to the achievement of its business objectives, its future sustainability, and the creation of quality jobs, in an environment committed to professional training and development, encouraging innovation and the development of the Organisation through inclusion and diversity of gender, age, cultures, beliefs and nationalities, all under equal rights and conditions.
1. Respect for Human and Labour Rights
Respect for Human Rights is a principle that underpins all of the Organisation’s activity. In particular, the Organisation is against arbitrary arrest, torture or execution and in favour of human dignity, non-discrimination, equal rights, safety and well-being, education, personal and professional development and freedom of conscience, religion, organisation, association, opinion and expression.
The Organisation is committed and dedicated to building and fostering a framework of respect for the fundamental values of human rights (as proclaimed by the United Nations Universal Declaration of Human Rights) and labour rights (as proclaimed by the International Labour Organization), which is imperative for the entire Organisation and which will progressively spread to other stakeholders, including Employees, partners, customers and the supply chain.
Employees and the Organisation shall not tolerate violations of human rights, or forced or child labour or any type of harassment in the workplace.
2. Working conditions
The Organisation is committed to observing and promoting the respect due to Employees, ensuring their right to working conditions that are decent, safe, healthy, and physically, socially and psychologically balanced, where Employees feel encouraged to achieve high levels of performance, reaching levels of achievement and personal and professional development that match their expectations.
The Organisation does not tolerate physical punishment, acts of psychological violence and moral coercion - such as insults, threats, isolation, invasion of privacy or professional limitation - with the purpose or effect of embarrassing the person, impacting their dignity or creating an intimidating, hostile, degrading, humiliating or destabilising environment.
The Organisation also undertakes to take the necessary steps to ensure that each employee is treated with respect and dignity. The Organisation asks all employees to alert the Human Resources Department (or use the Procedures for Reporting Irregularities annexed to this Code) in order to halt any situation of moral and/or sexual harassment they may be aware of.
The Organisation guarantees decent living conditions for its Employees who are relocated in the performance of their professional duties, taking into account the cost of living in the location in question.
3. Free employment
The Organisation does not accept, either within the Organisation or in its supply chain, forced, slave or involuntary labour.
The Organisation undertakes to employ staff whose immigration status is lawful and whose age allows them to work. No form of illegal labour trafficking or fraudulent immigration will be allowed, and legislation on aliens and their entry and transit will always be respected.
No employee may be required to leave any "deposit", passport or identity document with the Organisation, they being free to terminate their contractual relationship at any time, in compliance with the legally or contractually applicable notice.
The Organisation undertakes to exercise careful control over its suppliers, subcontractors and service providers and if it detects that they use any form of forced labour, performed under threat or coercion, the supplier, subcontractor or service provider shall immediately terminate any relationship with it.
4. Child labour
The Organisation undertakes not to use child labour or any other form of exploitation of children or adolescents.
The Organisation shall not condone such practices by third-party suppliers of products or services, which shall respect the minimum age limit established by the legislation of each of the countries in which they operate and, irrespective of such national legislation, shall never accept work by persons under 14 years of age.
The Organisation undertakes to exercise careful control over its suppliers, subcontractors and service providers and if it detects that they use child labour, the Organisation will immediately terminate any relationship with them.
5. Workplace harassment
Employees and the Organisation shall not tolerate any type of harassment, discrimination, coercion, abuse, violence or exploitation at work within their sphere of influence.
Employees must behave politely and respectfully in working relationships, promoting human dignity in order to create a harmonious, pleasant, comfortable, stable and dignified working environment.
Harassment in the workplace is expressly prohibited.
Harassment is any verbal or physical conduct that denigrates, shows hostility, actively damages or benefits an individual because of his or her ethnic origin or race, territory of origin or language, gender, sexual orientation, disability, religious, political or ideological conviction, trade union membership or any other characteristic protected by law.
Employees have a duty to report inappropriate behaviour that indicates harassment at work, with a view to clarifying the situation and initiating disciplinary inquiries. Specifically, any behaviour based on discrimination or of a sexual nature, with the purpose or effect of upsetting or embarrassing the person, affecting their dignity or creating an intimidating, degrading or humiliating environment, should be reported to a supervisor (or through the Procedures for Reporting Irregularities).
Anyone suffering harassment at work should contact the Human Resources Department (or use the Procedures for Reporting Irregularities attached to this Code).
Employees are also expected to support victims of harassment, either by verbally denouncing the harassing behaviour or not associating with others who attempt to mock/ridicule the victim. In this way, everyone can contribute, when necessary, to an inspiring and pleasant environment, and not allow any form of harassment.
The Organisation affords full legal protection to all employees in the event of harassment in the workplace.
In this respect, members of the governing bodies and holders of management and leadership positions are bound by a special duty of care to consider the possible effects of their behaviour, even if unintentional.
6. Protection of health, hygiene and safety
The Organisation guarantees health and safety conditions in the workplace, regularly checking, in particular, its facilities' compliance with current standards according to the specific associated risks.
The Organisation ensures its activities do not harm the health and safety of its employees and subcontractors, those involved in operations, neighbouring populations or users of its products.
The Organisation aims to ensure a safe and healthy working environment for Employees, subcontractors and those involved in operations, adopting all appropriate measures to prevent risks and accidents at work and ensuring access to drinking water and clean facilities, including lavatories.
The Organisation undertakes to comply with and respect regulations on the prevention of occupational risks and to provide the necessary means for Employees to carry out their professional activities with the appropriate safety and hygiene measures in order to safeguard their lives, health and physical and psychological integrity.
The Organisation has a preventive approach to the health and safety of its Employees, providing them with regular training on health and safety in the workplace.
The Organisation gives priority to the safety, health and well-being of its Employees, ensuring the development of adequate occupational health and safety management systems, through qualified technicians in these areas and in environmental issues.
All employees shall be responsible for maintaining their workplace in good working condition, following the health and safety standards and practices established by current
legislation, as well as those imposed by the Organisation through its internal or external prevention services.
Employees must inform their superiors or the departments responsible in good time in the event of any irregular situation likely to compromise the safety of people, facilities, equipment and property belonging to the Organisation or under its care or responsibility.
7. Employment contracts
Contractual relationships must be recognised and defined according to the applicable legislation and collective labour regulation instruments, the Organisation not being permitted to avoid or circumvent its legal obligations.
8. Working time and remuneration
Working time and remuneration comply with the international rules on working time established by the International Labour Organization, the legislation in force and the applicable instruments of collective labour regulation, with the one that most protects Employees being followed.
The remuneration of the Organisation's Employees is fair and in accordance with the instruments of collective labour regulation and applicable legislation.
At the time of hiring, all employees are informed and made aware of contractual issues, including working time, remuneration arrangements and payment frequency.
The remuneration of Employees shall not be reduced, except in cases provided for in the Labour Code or collective labour regulation instrument.
In cases of occasional and temporary increases in work and the need to resort to overtime, extra hours will be voluntary and used responsibly, taking into account factors such as the extent, frequency and working hours of each employee and the workforce as a whole. This will not be used to replace regular staff. The Organisation shall also ensure that its staff enjoys sufficient rest time.
9. Conflict of interest and accumulation of functions
Employees must:
a) Refrain from any other academic, scientific or other professional activities outside the Organisation, paid or unpaid, whenever these jeopardise the performance of their operational and professional duties within the Organisation or give rise to conflicts of interest.
b) Refrain from performing non-professional tasks that conflict or interfere with the activity of the Organisation or adversely affect its reputation;
c) Notify Human Resources of the intended external activities in order to verify the possible existence of a conflict of interest or potential incompatibilities, namely with regard to their nature and timing.
The Organisation shall respect Employees' participation in other financial, corporate,
business or other activities outside working hours, provided that there is no conflict with any applicable internal Organisation rules, and that these activities are legal and do not compete with or give rise to possible conflicts of interest with their responsibilities as an Employee of the Organisation.
10. Freedom of association and the right to collective bargaining
All the Organisation's Employees may, without exception, associate themselves with Employees' legal representatives, in particular with trade unions, in accordance with the legislation in force. The Organisation has an open attitude towards the above, through dialogue and negotiation with formally authorised Employees.
Employees' representatives shall not be discriminated against and may perform representative activities in their places of work in accordance with the law in force.
The exercise of association, unionisation, collective bargaining and strike rights, within the framework of applicable regulatory norms for each of these basic rights, may not be illicitly restricted.
11. Relations between Employees
Relations between Employees must take place in an environment that is:
- courteous and compassionate, and in which Employees respect the hierarchy and vice-versa, there being compliance with the rules and guidelines issued by the Organisation;
- disciplined, discreet, responsible, collaborative, and reliable;
- free from discrimination of any kind, including gender or sexual orientation, ethnic origin, race, territory of origin or language, age, ethnicity or religion, political or ideological conviction or trade union membership;
- concerned with Employees' working conditions as far as occupational health and safety is concerned, with prevention and health and safety being promoted in terms of both working conditions and in the day-to-day behaviour of each individual.
Employees must respect their superiors and subordinates, striving to achieve objectives and fulfil their tasks within the Organisation.
12. Principle of equal treatment and opportunities
The Organisation recognises that the principle of equal treatment and opportunities for Employees is something that inspires Human Resources' policies and should be applied in hiring, training, career opportunities, salary levels, as well as in other aspects of the working relationship, within the framework of an internal culture of excellence, responsibility and profitability.
The existence of a formal and active Recruitment Policy will be a positive element in the Employee selection process.
13. Diversity, inclusion and non-discrimination
The Organisation bases its policies and working procedures on the prevention of discrimination and differential treatment on the basis of ethnic or social origin, gender, sexual orientation, age, creed, marital status, physical characteristics or disability, religious beliefs, political orientation, opinion, family situation, social class, birthplace or trade union membership.
The Organisation will not tolerate any discrimination on these grounds, whether in recruitment and selection, remuneration, access to training, promotion, or dismissal.
The existence of a formal and active Diversity Policy will be a positive element in relations between Employees, as well as between the Organisation and its Stakeholders.
14. Professional achievement and development
The Organisation will strive to provide Employees with an enabling and attractive work environment that provides high levels of job satisfaction and achievement, paying fair remuneration and ensuring a safe and healthy work environment.
The Organisation is committed to promoting Employee motivation, involvement, participation and accountability, namely through training and qualification processes and incentive, recognition and/or compensation systems that take into account performance evaluation.
The Organisation also undertakes to foster the personal and socio-professional development of its employees, encouraging their involvement in improving their own capacities and skills. Policies and actions related to the recruitment, hiring, training and internal promotion of employees should be based on clear professional competence and performance criteria. The internal promotion of Employees must be considered when filling positions compatible with their abilities and qualifications.
Employees should be informed about the evaluation policies governing their work and should actively participate in structuring joint management processes to improve their performance, initiative, training and dedication.
In addition, the Organisation will seek to balance company work with the personal and family lives of employees, promoting reconciliation programmes aimed at achieving this goal.
Employees undertake to pursue professional development with a view to continually improving their knowledge and skills, seeking the best use, enjoyment and results of the professional training promoted by the Organisation.
15. Consumption of drugs, alcohol, and tobacco
The consumption by Employees of alcoholic beverages and/or any substances prohibited by law is forbidden during working hours, as is arriving at work under their influence.
The Organisation may, in accordance with the law, verify employees' use of drugs and alcohol at work and immediately investigate any alleged drug and alcohol abuse; such behaviour shall
be considered serious misconduct and treated in accordance with local legislation and disciplinary practices.
Tobacco consumption should be regulated in accordance with each country’s regulations and the procedure established by the Organisation. In any case, in places where smoking is permitted, respect and due consideration for non-smokers will always take precedence.
IV – SHAREHOLDER COMMITMENTS
One of Corticeira Amorim’s and its Organisation’s main stakeholders is its shareholders, with whom the Organisation maintains a relationship based on sustainable mutual benefit, governed by the principles of trust, transparency and ethics.
1. Value creation and transparency
The Organisation aims to create value for its shareholders in a continuous and sustained manner, with a long-term perspective. To this end, it undertakes to provide, in a timely manner, all information relevant to its investment decisions.
The Organisation undertakes to:
- respect the principle of equal treatment of shareholders, making available in a timely manner the legally required information in an appropriate, truthful, transparent and accurate manner;
- include, in the information provided, qualitative and quantitative elements identifying economic, financial, social, environmental and reputational risks;
- maintain policies and procedures to ensure the separation of the Organisation’s interests from those of its shareholders.
2. Corporate governance report
The Organisation is committed to managing its Companies according to market standards for comparable companies, focusing on best corporate governance practices.
Members of corporate bodies, directors and other Employees with managerial duties must act with the diligence of a careful, prudent and orderly manager, in accordance with the interests of the Organisation, taking into account the long-term interests of its shareholders and considering the interests of other stakeholders relevant to the sustainability of the Organisation, such as its staff, customers, creditors and suppliers.
Compliance with corporate governance practices will be assessed annually on the basis of the Annual Corporate Governance Reports that Corticeira Amorim’s board of directors approves and submits to the shareholders’ general meeting, and which are made available to all parties concerned through the Organisation’s web page.
3. Internal control and risk management
The Organisation will establish appropriate controls to regularly assess and manage the risks to Corticeira Amorim’s business, people and reputation.
The Organisation is committed to providing complete and truthful information, allowing shareholders, investors, analysts and other stakeholders to make an informed judgement on the Organisation and the risk of its activity.
Likewise, the Organisation is committed to collaborating with the supervisory bodies and
authorities as necessary to enable them to carry out their duties.
4. Shareholder information
The Organisation undertakes to provide all appropriate means to ensure compliance with the provisions of applicable laws, with particular care given to safeguarding and fostering the effective participation and voting rights of its shareholders in general meetings, as well as clarifying doubts and requests for information from all its shareholders.
5. Related party transactions
Without prejudice to the aforementioned conflicts of interest, there is a specific procedure that governs the Organisation's performance in operations and transactions with related parties, aimed at avoiding situations where a conflict of interest may arise.
In this regard, the Rules on Transactions with Related Parties establish the system and rules applicable to these types of transactions.
V – CUSTOMER COMMITMENTS
1. Customer relationship priorities
The Organisation considers customer satisfaction, health and safety to be a priority, and product quality and responsibility are therefore deemed crucial. Consequently, all Organisation Employees should strive for efficiency in processes and transparency and integrity in actions and procedures, ensuring quality products and services for customers.
A culture of quality should prevail within the Organisation, through the creation of action plans and continuous improvement aimed at increasing customer satisfaction, health and safety. The different product lines offered by the Organisation ensure that the respective needs of customers in different sectors and markets are covered.
All means shall be used to ensure that the products and services offered by the Organisation do not involve risks to the health or safety of customers, taking appropriate measures to address any risks that may arise, in accordance with the law in force.
The Organisation defines customer satisfaction as its main objective, committing to:
- ensuring the provision of services or the sale of products in strict compliance with applicable internal procedures and legal and statutory rules, including those relating to product liability;
- respect customers' rights and the contractual commitments made to them with regard to the quality of the product or service provided, as well as legally or voluntarily established guarantees;
- provide complete, relevant, truthful and accurate information in accessible language and adapted to needs, responding to requests, questions and complaints within reasonable deadlines;
- continuously improve the performance as well as the quality and safety of its products and services, looking to meet and exceed expectations in a spirit of service;
- formulate honest, transparent and tailored commercial proposals, providing personalised advice when requested by the customer.
Ensure strict compliance with the agreed contractual conditions.
Employees undertake to act with integrity, courtesy and professional pride in relationships with customers, respecting their rights, sensibilities and diversity.
2. Communications, advertising and promotional activities
The Organisation assumes the obligation of loyalty to its customers, suppliers, stakeholders and third parties in general, always providing truthful, clear, useful and accurate information when marketing its products and services. It also ensures that its products and services meet all required and published specifications.
Similarly, advertising, promotional activities and other information about the Organisation's products or services should be honest and truthful and must create relationships based on
mutual trust.
If customers are not satisfied with the products or services provided, appropriate channels will be made available to them for submitting the related complaints.
VI – SUPPLIER COMMITMENTS
1. Selection policy
The Organisation has implemented a rigorous and detailed procedure for the evaluation and selection of new suppliers based on economic, social, ethical and environmental criteria. The objective is to have detailed knowledge on the behaviour and practices of the Organisation’s suppliers, preferably selecting those that offer the best trading conditions and share the Organisation’s principles and commitments, as described in this Code.
The Organisation will devote special attention, diligence and care in the process of evaluating and selecting suppliers to avoid any type of business relationship with individuals or companies that may be involved in unethical or dishonest conduct or behaviour, especially illegal activities, fraud, public and private corruption, money laundering and the financing of criminal or terrorist organisations.
The Organisation undertakes to:
- have ethical and legal relationships with suppliers of goods and services, only selecting suppliers whose employment practices respect human dignity and do not break the law or jeopardise the reputation of the Organisation;
- maintain clear, impartial and predetermined technical, economic and ethical criteria in the selection of suppliers;
- promote suppliers’ compliance with safety standards and practices and the labour legislation in force;
- monitor the ethical conduct of suppliers and take action where this is inconsistent with the principles advocated in this Code.
The Organisation will positively evaluate and give preference to suppliers that demonstrate:
a) their commitment to the principles promoted in this Code by accepting them and declaring compliance,
b) that their products and services respect human well-being and contribute to reducing environmental impacts.
The Organisation undertakes to take all measures to avoid any act of corruption in its purchasing and sales processes, ensuring:
- that tenders and supply contracts are subject to a transparent, fair and established process based on objective criteria and that suppliers are treated fairly and honestly;
- regular, rapid and clear communication, offering the same level of information to all;
- that it shares suppliers’ and service providers’ commitments to sustainable development;
- that it individually informs suppliers that are selected and not selected.
The Organisation reserves the right to terminate its contractual relationship with suppliers who violate this Code repeatedly or seriously, and may claim compensation for damages (including moral damages) if this occurs.
2. Underlying Principles
The Organisation’s suppliers will adhere to and comply with internationally recognised
human rights and will not permit any violation of those rights within their industrial and/or commercial operations. Therefore, every supplier must treat each of his employees with dignity and respect. Under no circumstances will physical or psychological punishment or harassment of any kind or abuse of power be permitted, with employees' basic employment rights always being respected.
The Organisation and the suppliers should avoid any situation of excessive dependency. If, despite everything, this dependence exists, the Organisation will seek, as far as possible, to diversify its suppliers/customers.
The Organisation encourages free trade, striving to prioritise responsible and sustainable relationships with its suppliers.
All of the Organisation's suppliers must promote and respect the following principles:
- eliminate all forms of child labour;
- eradicate any form of forced or compulsory labour;
- avoid any form of discrimination in the workplace;
- respect the maximum working hours and minimum wages established by applicable law;
- ensure that their employees perform their work under suitable health and safety conditions, respecting the respective risk prevention law;
- respect the rights of employees to join and form trade unions and to organise themselves and collectively bargain, without suffering any kind of sanction;
- obtain and maintain environmental permits for their company's operations, if necessary; if the operations generate waste, they must be monitored, controlled and treated as indicated in applicable legislation.
The Organisation's suppliers must maintain a preventive approach to environmental protection, adopt methods that provide greater environmental responsibility and foster the development and diffusion of environmentally friendly technologies.
The Organisation's suppliers shall not participate in any form of corruption, extortion or bribery that could undermine fair trade principles or result in public scandals that might impact on the Organisation.
The Organisation invites its suppliers to adhere to the ethical, environmental and social values set out in this Code, to the extent that they may apply to them, incorporating the same wherever possible and desirable in the contracts concluded.
VII – COMMITMENTS TO COMMUNITIES, SOCIETY AND THE ENVIRONMENT
1. Sustainability and Corporate Social Responsibility
The Organisation aims to grow sustainably, generating sustained value in the long term, carrying out work with high standards of safety and quality, ensuring its economic, environmental and social sustainability.
The Organisation assumes its responsibility and seeks to contribute to sustainable development by promoting responsible consumption and ensuring proactive management of the economic, environmental and social impacts resulting from its decisions and activities. In this way, the Organisation is committed to integrating sustainability into the decision-making process.
Employees are committed to implementing and acting in accordance with the Organisation’s commitments to sustainability and social responsibility.
As a global leader in the cork industry, Corticeira Amorim aims to be a model for companies throughout the world, contributing to the maintenance of cork oak forests, which sustain one of the world's most biodiverse ecosystems. With high quality products and a deep commitment to economic, social and environmental sustainability, the Organisation is proud to be part of a chain that generates income in the places where it is established, respecting the local culture and communities.
Aware of its responsibility in this area of activity, Corticeira Amorim assumes its leadership role, fostering the ambition to continuously develop new cork solutions that add value to the market compared with conventional solutions, and that uniquely combine technical performance, a premium element and unmatched sustainability credentials.
The Organisation is committed to minimising the possible or actual negative impact of its activities in the communities where it operates, demonstrating openness and honesty, respecting local cultures and traditions, and supporting and promoting initiatives in relation to institutions, populations and local communities in general.
The Organisation recognises that the benefits of its activity are also a result of the way it operates in the communities where it is present, bearing the responsibility of reciprocating this community support by contributing to the progress, economic development and well-being of these communities, encouraging SMEs and future local entrepreneurs to achieve sustainable results and thereby boost national entrepreneurship.
The Organisation should therefore be sensitive to the needs of local communities, listening and seeking to respond to their concerns, in an inclusive manner, and ensuring that, within the Organisation's operations, everyone is heard, in order to understand how to minimise any possible negative impacts.
2. Compliance with tax and social security rules and regulations
The Organisation is committed to contributing to the well-being of the wider community in
which it operates and to developing ethical and socially responsible behaviour. It is fully committed to its responsibility to contribute to sustained public spending, implementing good practices in terms of taxes and social security, considering any form of fraud against the various tax and social security authorities to be reprehensible.
3. Energy, climate change and the environment
The Organisation is committed to caring for and respecting the environment and protecting biodiversity during the day-to-day performance of its operations. All the Organisation's policies must take into consideration the transition to a more sustainable economy, allocating available resources to maximise efficient use with the objective of decarbonising production activities, seeking to minimise risks to the climate and to human health and biodiversity.
To this end, it requires Employees and suppliers to be fully involved, to the greatest extent possible, in the application of efficient solutions and in the search for sustainable and innovative alternatives to the services and products produced and marketed by the Organisation.
The Organisation's environmental policy is based on the following principles:
- apply environmental and rational energy use criteria in all planning and decision-making work on issues that may have an impact on the environment;
- comply with environmental legislation that applies to the sector(s) in which the Organisation operates, as well as additional commitments assumed voluntarily;
- implement the necessary tools to avoid pollution and reduce energy consumption, focusing on cleaner energy sources and greener technologies;
- make rational use of resources, minimising water, paper and energy consumption, reducing waste and emissions, favouring recycling and seeking ecologically friendly solutions;
- promote good environmental practices among suppliers and customers, encouraging responsible consumption; reduce the amount of raw materials used, limiting packaging and favouring recycled and/or recyclable materials and "sustainable" raw materials (e.g. from sustainably managed forests);
- contribute to the research, development and promotion of environmentally friendly and energy-efficient technologies that seek carbon neutrality;
- in the event its activity generates waste, priority shall be given to reuse and/or recovery, this always being supervised, controlled and processed in the manner indicated by the corresponding legislation.
The Organisation is committed to ensuring environmental protection in its manufacturing facilities and its products throughout their life cycle and is ready to respond to any environmental emergencies that may arise.
The Organisation is committed to achieving economic growth while contributing to a more evolved society, preserving the environment and finite resources for future generations, thereby ensuring its own sustainability. The existence of a formal and active Environmental Responsibility Policy will be a positive element in this process.
VIII – VALIDITY / ADHERENCE AND COMMUNICATION OF IRREGULARITIES CONCERNING THE CODE OF ETHICS AND PROFESSIONAL CONDUCT
VALIDITY
This new Code of Business Ethics and Professional Conduct comes into force on 01 June 2020, the date on which it was approved by the Executive Committee of Corticeira Amorim’s Board of Directors, replacing Corticeira Amorim’s previous Code of Professional Conduct, and will be supplemented by the provisions of the following documents:
- Privacy Policy for Managers and Employees
- Internal Code of Conduct for the Securities Market (currently being drawn up)
- Identity Manual (corporate image)
- Diversity and Inclusion Policy (currently being drawn up)
- Recruitment Policy (currently being drawn up)
- Corporate Governance Annual Reports
- Rules on Transactions with Equity Holders of Shareholdings
- Procedure for Conflicts of Interest and Related Party Transactions,
- Procedure for Reporting Irregularities
- Environmental Responsibility Policy
- Other rules, policies or procedures which are deemed useful or necessary and which govern the conduct, processes and operations of the persons subject to this Code.
Given the Organisation operates in different countries, if the content of this Code differs from local rules and regulations, Employees shall give preference to the most restrictive rule.
REVIEW AND UPDATE
This Code of Business Ethics and Professional Conduct will be periodically reviewed, taking into account the annual reports and suggestions of its Employees. Whenever possible and desirable, the Organisation will notify Employees of updates to this Code, and will promote online training courses to ensure that they are aware of the rules it contains.
In turn, Employees agree to attend these courses and to be constantly informed about them and other educational materials that the Organisation may provide.
DISSEMINATION
The Organisation will take appropriate measures to ensure that all employees are aware of the contents of this Code and understand its scope. To this end, the Human Resources Department will be responsible for disseminating the Code of Business Ethics and Professional Conduct.
The Code of Business Ethics and Professional Conduct will be available in the main languages of the Employees, ensuring access for all.
In addition, the Code of Business Ethics and Professional Conduct will be available on Corticeira Amorim’s Intranet and corporate website (in Portuguese and English), so that all involved have access to it.
All employees bound by this Code may ask questions, seek clarifications and advice, and
direct queries about whether specific actions (real or hypothetical) comply with the Code of Business Ethics and Professional Conduct and associated policies, to the Organisation’s Legal Department. Whenever requested, the Legal Department will ensure that the identity of the Employee and the issues reported are not disclosed. The email specifically set up for this purpose is as follows: email@example.com.
MONITORING
The Board of Directors will ensure the Code of Business Ethics and Professional Conduct is applied and, whenever necessary, will establish interpretation criteria, sending conclusions to the Audit Committee and the Legal Department, these interpretations being communicated via the same means as the Code. In addition, the Board of Directors will adopt any appropriate guidelines and procedures to further develop the provisions of this Code.
The Audit Committee of Corticeira Amorim, S.G.P.S., S.A., elected by the General Meeting of this company, is the corporate body responsible for receiving and following up on reports of irregularities concerning the Code of Business Ethics and Professional Conduct, thus ensuring its application.
The Internal Audit Department will include in its annual plan of activities the collection of information on incidents and/or violations of the Code of Business Ethics and Professional Conduct, producing an annual report on the subject, which will be submitted to the Audit Committee for evaluation and approval. Once approved by the Audit Committee, it will be communicated to the Board of Directors.
ADHERENCE
Violations of this Code by Employees (including members of corporate bodies, directors and workers) of the Organisation must, as far as possible, be immediately rectified and all practices contrary to this Code of Business Ethics and Professional Conduct must cease without delay. Regardless of any other liability the transgressor may incur, infractions will be sanctioned in accordance with labour laws and regulations, as well as other legal provisions that must be enforced. In accordance with the law, disciplinary sanctions may include termination of the employment relationship.
REPORTING OF IRREGULARITIES
All individuals bound by the Code of Business Ethics and Professional Conduct will comply with and contribute to compliance with this Code and its associated Regulations, Policies and Principles. To this end, the Organisation has established a Procedure for Reporting Irregularities that allows both employees bound by the Code and other interested parties to confidentially report any violation of the principles contained in this Code without fear of reprisals. This procedure is attached to this Code and published on Corticeira Amorim’s Intranet and corporate website so that all involved have access to it.
Mozelos, 05 July 2021
PROCEDURE FOR REPORTING IRREGULARITIES
It is the responsibility of the CORTICEIRA AMORIM Audit Committee – in accordance with its rules of procedure – to receive the information on irregularities reported by the Organisation’s Shareholders, Employees, Stakeholders or other individuals or bodies and to treat such whistle-blowing reports appropriately.
Such reports shall be addressed to:
**Audit Committee of CORTICEIRA AMORIM, SGPS, S.A.**
Address - Registered office of the company: Rua Comendador Américo Ferreira Amorim, n.º 380 – Apartado 20 – 4536-902 MOZELOS
Telephone: 227475400
The email specifically set up for this purpose is as follows: firstname.lastname@example.org
The Organisation ensures that the Audit Committee will be the first to be made aware of the contents of such whistle-blowing reports (no employee of the Organisation is authorised to open mail specifically addressed to this corporate body or any of its individual members).
It is the Audit Committee’s responsibility to review any such reports and ask the Organisation’s other governing bodies and officers for any explanations on the disclosed events and the circumstances surrounding the situation. In dealing with concrete situations, the Supervisory Board is entitled to:
- Suggest measures to prevent such irregularities occurring;
- Report any identified and confirmed irregularities to the Board of Directors and relevant authorities, both internal and external, in accordance with each specific situation.
CORTICEIRA AMORIM believes that there are a number of measures, i.e. (i) the assignment of such responsibilities to the Audit Committee – a body composed entirely of independent members, thus ensuring the impartial handling and consideration of irregularities reported; (ii) the non-imposition of the use of a specific format for such reports and the fact that the whistle-blower may use the channels it deems most suitable to make the report; (iii) the obligation to ensure protection of personal data (scrupulously following the instructions given by whistle-blowers regarding confidentiality) that safeguard the rights of both whistle-blowers and other Organisation employees involved, while ensuring that the reporting process remains simple, and contribute effectively to promoting the impartial investigation and clarification of the situations reported.
Those seeking advice or wishing to report an incident will be treated with respect and dignity, in accordance with the following principles:
- **Confidentiality:** The details and statements made will be treated in the strictest confidentiality during all phases of the investigation. The maximum confidentiality of the information transmitted and the identity of the information transferor is guaranteed, whenever the transferor requests it.
- **Thoroughness:** Information received about potential violations of the Code of Business
Ethics and Professional Conduct, or associated Regulations, Policies or Principles, should be investigated fully and thoroughly to determine the truthfulness of the reported situation.
- Respect and dignity: Those seeking advice or wishing to report an incident will be treated with the utmost respect and dignity, always respecting the fundamental rights of those involved in possible violations. Before evaluating the information reported about situations, the third parties and/or Employees affected will be entitled to provide the reasons and explanations they deem necessary.
- Fundamentals: Any decision must be adopted in a reasonable, proportional and appropriate manner, considering the circumstances and the nature of the events.
The Organisation undertakes to refrain from retaliation or reprisals against those who make complaints/speak out, as well as to treat the targets of the accusations fairly. In particular, employees who report illicit activities conducted by others, acting in good faith and according to criteria of reasonableness and care, may not be the subject of any disciplinary procedure.
Such commitment shall not, however, prejudice the right to any legal action, civil or criminal, that may correspond to the party or parties affected, and the Organisation therefore recommends that: (i) the Procedure for Reporting Irregularities be used prudently, professionally and in accordance with the highest standards of integrity and (ii) the Reporting be reasoned and made in good faith and not abusive or formulated on the basis of conjecture or supposition.
The reporter may also, at his or her discretion, request in advance an opinion from the Organisation’s Legal Department on the risks of reporting and/or on the reasonableness of the grounds. Where requested, the Legal Department will ensure that the identity of whistleblowers and the information provided by them are not disclosed and the decision as to whether or not to proceed with the report will remain with them. The email specifically set up for this purpose is as follows: email@example.com.
Portugal, Mozelos, 05 July 2021 |
Everyone Looks Exactly the Same....
The February Alumni reunion for pre-1969 Scaticonians will be the largest off-season camp together since the 75th anniversary reunion in 1996. Nearly 250 alumni (and family) have already RSVPed, including from the 1930s: Joan Greenwald Halpern (1937-49), Sue Kohlreiter Herzog (1938-52), Arline Morris Lubin (1936-50), Robert Morris (1936-53), Renee Brozan Goldsmith (1934-42), Philip Mintz (1933-38), and Phyllis Weinzimmer Botoff (1937-40). It’s been 75 summers or so since they first attended Scatico—and the memories are still vivid.
Phyllis writes: “I still have 2 Scatico Indian Head pins and I Green/Gray pin.” Sue adds: “Can’t wait for February 18th… What a wonderful day it will be, not long enough, but its glow will last ‘til we meet again.” Turn to page 7 for the list of attendees through November 1.
Nothing quite like those “Funny” pictures from the 1980s. That’s head counselor Carol Bloomgarden Schectman (1967-84) in the middle of the top row. Carol plans on joining us at the Florida Reunion.
Calling all Scaticonians from the 1920s to 1960s!
A luncheon reunion is planned for February 18, 2012, at the Woodfield Country Club in Boca Raton, Florida. Nearly 250 alumni have already RSVPed, including many making the trip from the Northeast and the West Coast. To join the fun, e-mail Bruce Holman (1944-56) at email@example.com and send a check for $36 to:
Camp Scatico
PO Box 6
Elizaville, NY 12523
In the note section of your check write: Florida Reunion 2012 and include your years at camp and e-mail address.
Don’t delay. We need to confirm our final numbers by January 1st. You will not be able to just show up at the reunion without a reservation.
Special thanks to Bruce for doing an incredible job helping to organize this event. Given the response, we are looking to plan a New York City reunion for alumni from the 1970s-80s sometime in 2013. Let us know if you would like to help with the plans.
Through the Years....
Thanks to Alumni for sending in these photos.
Calling All Photos
We are looking for classic (and even not-so-classic) photos for future issues of the Alumni Newsletter. Send by e-mail attachment to firstname.lastname@example.org or by mail to Camp Scatico, PO Box 6, Elizaville, NY 12523. We will return the originals, if requested.
To the right: Sue Kohlreiter Herzog (1938-52) sent in this photo from 1937 of her and Steve Atkins (1930s-40s). This was her first visit to camp, prior to officially beginning her Scatico career the following year.
To the left: Annie Bierman Gruenberger (1950s-60s) sent in this photo from 1968 of Bob Miller London (1952-73), Hank Alpert (1958-68), and a bouquet of roses. There’s a story here somewhere….
Steve Feldman (1962-65) sent in this 1962 photo from his home in Evergreen, CO. He is in the second row, second from the right (the only person not labeled). He shared the following story: My sister Betsy was a counselor that year and one of her campers was Patty Antman—my “crush” during that summer. Five years later, Peter Leventhal was pleading my fraternity at the University of Bridgeport. One night he opened his wallet and low and behold it contained a photo of Patty. I flipped out! If you can relate this story to Patty, she will also laugh.
Editor’s note: Patty Antman Drykerman (1954-67) will attend the Florida reunion in February, so we’ll have a chance to get her take on this picture.
Peter Jutro (1962-68) sent in these four photos of iconic images from the mid-1960s. To the left and above—Picture Day: the nurses in uniform and Uncle Nat (wearing long pants and a bowtie) arranging the troops. To the right and above—the Carnival on the boys’ campus: the “I Dare You” booth and the threatened destruction of a camp car. Peter lives in Arlington, VA, and is the chief scientist for homeland security research at the Environmental Protection Agency: “I work in collaboration with all the other federal departments and agencies as well as with the White House to design and undertake the research we need to try to better prevent, prepare for, and recover from any natural, accidental, or intentional catastrophic event.”
Barbara Cantor Palm (1950s-60s) sent in these two photos on the left and above. We especially love the shot of her dad Sam Cantor as a counselor in 1943, smoking a pipe on the porch of Bunk 7 and reading *The Daily News* with a “Mussolini” headline. To the left—Barbara (left) with Marcia Resnick outside of Lodge 2 in 1963, “where Marcia, as usual, was out of uniform.” Barbara was excited to read in the Spring Alumni Newsletter about Scatico couple (and still married after nearly 50 years) Mark and Nancy Getzoff Tafeen: “Nancy was my counselor in 1964, the year she lived above the canteen with Mark. (The bunk was Cove C and my partners in crime that summer were Marcia Resnick, Gail Satter, Bobbi Davis, Ellen Alpert, and Charlee Brodsky.) I visited Nancy and Mark the following fall in Providence, RI, while they attended college. I felt totally grown up traveling by train solo from New Rochelle, NY. Nancy was fabulous, and Mark, with his outrageous blue eyes, was oh so dreamy to my 14-year-old self.”
The Davis girls with their dad Mort on a Visiting Day in the 1950s: from left to right—Joan, Barbara, and Susan. Barbara sent in the photo. She plans to attend the Florida reunion with Susan.
Staying In Touch
Keep connected with fellow Scaticonians by e-mailing news, photos, and recollections to email@example.com. If you prefer the regular mail and printed pictures, that works just as well. We will even return the photographs after reproducing them for the newsletter.
The Soopers of 1992 got together in New York City and sent in the photo to the right: Front row—Amy Paul Tunick, Debra Sloane, Robyn Polansky, and Brooke Kalick; Top row—Jen Kornreich Geller, Alison Goodman Ecker, Allison Fass, and Amy Rosenblatt. Amy traveled furthest for the get-together—all the way from her home in North Carolina…. We received an e-mail from Bonnie Erickson, who ran the theatre program in 1961. She is the Executive Director of The Jim Henson Legacy in New York City. “I drove to NY from Minnesota with the tennis coach in a yellow and black 1959 Buick convertible. Leslie Gore was my Gigi and I also directed Westside Story. That summer was very special to me and I have some pretty great memories of that time”… We reconnected this summer with two Scatico alumni now calling California home. Michael Smollins (1953-58), who lives in Santa Monica, drove into camp on his motorcycle in July. He was back East visiting family… Shelby Notkin (1950-52) who lives in Los Angeles, re-united with camp when he discovered a longtime friend owned the insurance company that provides Scatico’s coverage…. An Ohio State football game provided the setting for an impromptu reunion over Labor Day weekend. In the back row, representing the 1980s—Rick Bueter, Randy Au, and Dick Hecker. In the front row, representing the 2000s—Morgan Hecker, Kael Au, and Katie Hecker…. Tom Rosenberg (1965-82—and self-professed owner of the worst tournament record ever as a Scatico coach) lives in Ohio and also recently ran into Randy and Kael (who was a division leader this past summer): “It was so great to meet someone who is now at camp and suffers from the same Midwest pains about camp that I do. We talked and I would interrupt asking her who won Tribes, who won Color War, etc. It made us both excited because… she clearly had postcamp depression. She told me she was a judge in Color War and got to announce the final scores. I think I am one of a very few number of people in the entire state of Ohio that can tell her with enthusiasm how really great that must have been. I have not had this kind of experience meeting a stranger that is a Scatico person in 20 years. It made my day!”… If you are in SoHo in Manhattan, visit herb-n-peach at 1 Dominick Street (between 6th Ave. and Varick). It’s a downtown eatery and café recently opened by Ally Lipton (1983-1993)…. Congratulations to Ken Vallario (1999-2001) who was a featured artist at an October benefit auction for the Hudson Valley Center for Contemporary Art at the Robert Miller Gallery in Manhattan. Visit www.kenvallario.com to see Ken’s most recent work. He was an art counselor and group leader during his three Scatico summers….
(see next page)
Andy “Troy” O’Brien (1999-2002), absolutely the best bat-catcher in Scatico history, checked in from Australia, where he is working at the Perth Zoo: “I start training on the tiger section tomorrow… I have had a busy last 4 months. I have been on a swap with our sister zoo in Sydney working carnivores, and I just spent 5 weeks in Cambodia on a project in the forest doing animal surveys.” … Cory Schwartz (1988-2011) returned to Scatico for 4 weeks this summer to add a 4th decade to his camp resume. After 10-plus years in the working world, he has decided to pursue his passion and is taking post-graduate courses at the International Photography Center in Manhattan and working part-time for Getty Images. In September, he traveled to Chicago to shoot a Pearl Jam concert (talk about tough assignments!) and he recently had his first picture published in The New York Times. At camp, he teamed with Neil Seligman (1998-2011) to run the 1-week Scatico-in-Training program (and all of their campers are enrolled for 2012!)…. Karen Himelson Cummings (1950s) checked in from Newton Center, MA: “My year as captain of the Green team (we lost), tribes leader, and winning a special Character Award—the lessons of team work, friendship, trust and responsibility shaped me into the person I am today. I loved camp and still sing the song to my kids: ‘One day they settled on a hill, Eliza and her boyfriend Ville…’” In the photo to the left, a New York City reunion in October brought together 1960s-70s bunkmates Chick Atkins, Larry Hamburg, Rob Long, Roger Polisar, and Stever Sertner and their former group leader Peter Ehrenberg (being kissed on the top his head)… Ben Stern (1996-2006) is a social worker in Manhattan at a school run by The Children’s Aid Society. In August, Ben coordinated a 3-day overnight trip to camp for approximately 35 students and teachers: “On the last night the students talked about the experience, and many spoke about how they felt so relaxed at camp… The sense of community they felt at the end of the trip was tremendous. It is something we always try to work on at school, but the camp setting really made an impact. They all didn’t want to leave… Getting to see the students experience a place that is so special to me was beautiful. Those days are the proudest of my work so far with my students.”… Christian Down (1990s) sends greetings from England: “I am now working as a Head of sixth form (16-18 years old) in a school in Dorset.” … To close the “Staying In Touch” section for the Fall 2011 Alumni Newsletter, we share this memory from Frank Gunsberg (1959-61): “As seniors, my bunk (Denis Plehn, Larry Fabian, Steve Heyman, Elliot Simon, Steve Schneider, and myself) decided we would sneak out one night, steal a bra, and put it up on the flagpole in front of the mess hall. We thought we were cool 15-year-olds in 1960… As boys camp stood there in the morning, Flick was not happy. We thought he could not know the identities of the culprits, so when he said he knew who had done this we were amazed! When [my daughters] Rachel and Shari were at Scatico years later, I asked Flick one day how he knew what we had done. He told me he used an old trick. By saying he knew who we were in front of the entire boys camp, we were the only ones that looked at each other and began talking. Flick was a great guy. I miss him.”
Ah, halcyon days…. Larry Fabian, Steve Heyman, and Steve Schneider will join Frank at the February reunion (to confirm or deny this account)… Thanks to all for staying in touch—please e-mail alumni news and photos for the Spring Newsletter to firstname.lastname@example.org.
We Will Miss You
Ilene Meltzer Lieberman (1953-65) died on June 9, 2011. Her sister Dori and brother Billy (1950s-60s) as well as her sons Max and Zach (1990s-2000s) also attended Scatico.
Richard Rothman (1947-52) died on June 11, 2011. He was an accountant who lived in New York City.
To the right—Manny Toonkel is the division leader, so they probably won the Sing. We carbon-date this photo from 1972 or 1973.
Weddings
• Howard Luks (1980s-90s) and Kristen Petuck on September 3. Howard was a camper, counselor, and division leader. There was a large Scatico turnout, including Randy Goldstein as the best man, Scott Yurdin, and Brett Moore as groomsmen, Justin Lapatine and Judd Henry as ushers, and Ally Lipton and Mike Samuels as “Ketubah Signers.” Also attending were Kerri Berkman Winderman, Sean Locke, David Locke, JJ Shapiro, and Iris Henry Warren.
• EB Berwitt and Scott Strauss on November 12. Scott and EB first met at camp in the 1990s. Eric, Scott’s older brother, also met his wife Stacey Koretsky Strauss at camp. (Does anyone know another set of Scatico brothers that can make this claim?) The wedding party included Scaticonians Eric, Stacey, Katie Berwitt Goldstein, Jesse Strauss, Dan Fabian, Brad Green, and Lawrence Thaler. Iris Berwitt Hiller (at camp from 1959 to 1966 and EB’s mom), Harvey Hiller (Iris’s brother) Brett Bush, Josh Friedman, Josh Koretsky, Dan Altechek, David Sarraf, Harris Sarraf, Cory Schwartz, and Jared Dansky also joined in the celebration.
• Alan Berusch to Wakana Omija on September 10. Alan and his brother Brian were campers and counselors in the 1980s-90s. Alan lives in Singapore, where he is the International Director Of Human Resources at Paypal, Ebay, and Skype. The New York-based portion of the wedding was hosted at Top of the Garden in Manhattan, a new event space owned by Ally Lipton (1983-93).
CONGRATULATIONS
send announcements to email@example.com
Randy Goldstein sent in this action photo of now-married Howard Luks in the middle of a (presumably inspirational) speech at a Swim Meet as a Color War general in the early 1990s. If Randy had to guess the audio?…. “Slap the dock! Slap the dock!”
See You on February 18th….
In addition to the 1930s alumni listed on Page 1, we look forward to seeing the following pre-1969 Scaticonians (and some spouses and friends who are not listed) at the Florida reunion (list through November 1):
Mitch and Abby Schmelkin Araten (met at camp—1950s-60s), Linda Kane Patch (1959-69), Donna Blum Newman (1956-68), Julie Eisner Davidson (1963-71), Frank Gunsberg (1959-61), Beverly Minch Kupetsky (1954-60), Kathy Lehman Suisman (1950-60), Martin Minch (1950-55), Rita Alchek Angel (1948-51), Harriet Gladstone Plavoukos (1947-57), Jackie Gordon Friedman (1945-47), Judy Weinstein Krull (1949-54), Eileen Fleder Kahn (1961-64), Robin Herfort Healy (1964-71), Andi Barnett Budin (1958-61), Marjorie Beal Silverstein (1951-54), Larry Fabian (1956-65), Michael Bernstein (1948-51), Sherry Antman Lachman (1954-64), Judi Fleischner Ecochard (1962-75), Toni Sachs Hadi (1950-61), David Seldin (1950-57), Carl Karmin (1955-58), Matt Weinstein (1961-65), Linda Sachs (1950-58), Gail Fine Gnesin ((1953-62), Michael and Ellen Alpert Aronow (met at Scatico—1950s-60s), Liz Smollins (1954-60), Carol Schectman (1967-84), Randi Bachman (1958-69), Robert Sudack (1947-54), Roberta Honigsberg Eilberg (1954-60), Enid Rosen Nash (1944-46), Carol Goodrich Weiss (1965-68), Kathi Kassover (1965-71), Andrea LeBoss (1958-63), Harry Amer (1948-52), Lynda Goldberg Goldman (1968-78), Bonnie Honigsberg Fisher (1950-60), Lisbeth Hartzell (1960-71), Stuart Schwartz (1954-59), Ricky Frishman (1965-76), Helen Meyer Weinstein (1952-56), Lyn Zipser Rosen (1958-60), Fern Zipser Feldman (1958-60), Roger Hochstin (1940s), Joan Goldberg (1967-78), Howard Oshinsky (1946-50), Larry Hale (1960-61), Dossie Gaines Teitelbaum (1946-50), Richard Schlesinger (1956-59), Joel Fass (1966-70), Hilde Blum Fischman (1952-59), Liz Gerson Glatzer (1953-60), Ellen Schoenfeld Fischer (1969), Andrea Matles Savada (1963-70), Susan Fichtelberg-Dowling (1949-61), Robert Ascheim (1947-52), Susie Isaacs Edison (1959-63), Dick and Mimi Goldstein Nathan (met at Scatico—1950s), Nancy Schoenfeld Eisenberg (1968), Barbara Lehman Sheldon (1948-58), Nancy Rosen Rosenblatt (1959-68), Judith Jellinger Speiller (1951), Shari Sifter Green (1951-54), Merv Shorr (1952-55), Stephen Klein (1948-58), Gordon Sussman (((1946-56), Marc Hellman (1960-71), Roger Lorberbaum (1964-67), Lowell Gerson (1952-60), Alan Matarasso (1966-71), Dick Rubin (1942-56), Carol Steinmarder Kogan (1949-55), Richard and Cessy Goldman Rubinson (met at camp—1940s-50s), Carol Rubinson Strauss (1947-56), Ira Briskman (1955-60), Adele Froelich Rubenstein (1948-58), Barbara Gluck Seligman (1944-49), Amy Herfort Gelman (1962-71), Patty Antman Drykerman (1954-67), Barry Danels (1947-57), Linda Brozan Klepper (1942-55), Alan Goldstein (1949-55), Brenda Kaye Pace (1952-57), Susan Kaye Melchner (1951-57), David Schwartz (1944-53), Roger Goldman (1948-55), Jonathan Greenleaf (1953), Jerry Spielman (1947-52), Richard Heyman Florin (1957-67), Jack Atkins (1955-69), Richard Hanft (1954-75), Judy Eigen Sarna (1952-56), Charles Borrok (1951-53), Sue Skollins Friedman (1945-59), Ellyn Bistner Cohen (1950-57), Vic Fingerhut (1947-54), Nancy Herfort Clarvit (1965-71), Nora Lee Smokler Barron (1950-55), Peter Ehrenberg ((1961-69), Joan Haskel Berlly (1950-60), Joy Goodkin Landau (1950-57), Neil Littauer (1961-67), Roger Stiefel (1958-63), Bob London (1952-73), Harvey Hiller (1957-62), Steve Hanft (1955-74), Alan Menachem (1953-63), Cheryl Fleder Sloane (1957-62)Kara Lorberbaum Beck (1952-57), Steve Heyman Florin (1955-64), Dennis Rinzler (1950-61), Mark and Nancy Getzoff Tafeen (met at Scatico—1940s-60s), William Deutsch (1952-53), Norman Steinbaum (1947-53), Roger Whyman (1944-59), Arnie Goldman (1950-62), Barbara Davis Schwartz (1955-67), Susan Davis Shell (1948-61), Ilene Somkin Lowenthal (1946-54), Annie Bierman Gruenberger (1959-63), Karen Skollins Schwartz (1940-54), Adria Goodkin Kaplan (1950-56), Sue Kaplan Rudavsky (1941-56), Diane Terman Felenstein (1951) Barry and Carol Greenstein Stone—met at Scatico 1950s), Sandy Resnick Green (1947-53), Paul and Carol Genodman Jellinger (met at Scatico—1950s-60s), Carol Kohlreiter Mysel (1946-58), Stephen Scooter Schneider (1953-62), Arlene Kluger Newman (1944-53), Hank Alpert (1958-68), Richard Gould (1949-56), Louise Holman Roth (1947-54), Steve Leighton (1946-56), Joan Kohlreiter Croland (1944-55), Joan Lorberbaum Moore (1954-60), Fred Gurtman (1956-63), Glenn Parker (1950-59), Joe Gluck (1947-53), Arnie Horowitz (1948-54), Michael Riesel (1951-64), Peggy Goldberg Kalish (1960), Deedee Schneider Klein (1953-59), Lenny Deutsch (1953-60), Ken Schack (1957-65), Henry Kosiner (1956-57), Lee Nickelsburg (1956-59), Chas and Ellen Levine (1960s—2000s), and, last but not least, Bruce Holman (1944-56). (By the way, Bruce helped track down all of these years!)
Vintage Scatico—Can anyone help with the dates?
To the left—down at the riflery range. That’s the boathouse roof in the background and that model Scatico staff shirt can only date from a few years.
To the right—marching down to the Color War campfire. |
CITY OF KEY WEST, FLORIDA
CONSTRUCTION PLANS
FINANCIAL PROJECT ID 450501-1-74-01
MONROE COUNTY (9001-0000)
U.S. I/ S.R. 5
LANDSCAPE PLANS
INDEX OF LANDSCAPE PLANS
SHEET NO. SHEET DESCRIPTION
LD-1 KEY SHEET
LD-2 SUMMARY OF PAY ITEMS
LD-3 TABULATION OF QUANTITIES
LD-4 GENERAL LANDSCAPE NOTES
LD-5 & LD-6 TREE DISPOSITION PLANS
LD-7 & LD-8 LANDSCAPE PLANS
LD-9 LANDSCAPE DETAILS
LD-10 LANDSCAPE DETAILS
COMMUNITY SOLUTIONS GROUP
LANDSCAPE ARCHITECTURE
619 E. SOUTH STREET
SUITE 200
ORLANDO, FL 32801
Phone: (407) 843-8398
Fax: (407) 843-1070
Contact: Keith Oropeza, RLA
Sunshine811
Call 811 or visit sunshine811.com two full business days before digging to have buried facilities located and marked.
Check positive response codes before you dig!
GOVERNING STANDARD PLANS:
Florida Department of Transportation. FY2022-23 Standard Plans for Road and Bridge Construction and applicable Interim Revisions (IRs).
Standard Plans for Road Construction and associated IRs are available at the following website: http://www.fdot.gov/design/standardplans
APPLICABLE IRs: None
GOVERNING STANDARD SPECIFICATIONS
Florida Department of Transportation. JULY 2022 Standard Specifications for Road and Bridge Construction at the following website: http://www.fdot.gov/programmanagement/Implemented/SpecBooks
LANDSCAPE PLANS PROFESSIONAL OF RECORD:
THIS DOCUMENT HAS BEEN DIGITALLY SIGNED AND SEALED BY
ON THE DATE ADJACENT TO THE SEAL
PRINTED COPIES OF THIS DOCUMENT ARE NOT CONSIDERED SIGNED AND SEALED. THIS MATERIAL MUST BE VERIFIED ON THE ELECTRONIC DOCUMENTS.
GAI CONSULTANTS, INC.
619 E. SOUTH STREET, SUITE 700
ORLANDO, FL 32801
KEITH OROPEZA LA NO. 0001023
FDOT PROJECT MANAGER:
MAITE MEDINA
FINAL PLANS
10-31-22
CONSTRUCTION CONTRACT NO. FISCAL YEAR SHEET NO.
T-0000 23 LD-1
THE OFFICIAL RECORD OF THIS SHEET IS THE ELECTRONIC FILE DIGITALLY SIGNED AND SEALED UNDER RULE 61B10-13.01(1), F.A.C.
| Item # | Pay Item # | Pay Size | Code | Description | TOTAL | UNIT |
|-------|------------|----------|------|-------------|-------|------|
| 1 | 101-1 | | | MOBILIZATION | | LS |
| 2 | 102-1 | | | MAINTENANCE OF TRAFFIC | | LS |
| 3 | 104-18 | | | INLET PROTECTION SYSTEM | | EA |
| 4 | 110-1-1 | | | CLEARING AND GRUBBING | | LS |
| 5 | 581-1-8 | | | RELOCATE TREES AND PALMS, >=14 OF CLEAR TRUNK, SABAL PALM ONLY | | EA |
**LANDSCAPE COMPLETE – LARGE PLANTS**
| Pay Size | Code (Botanical/Common) | Cont / Size | Spacing |
|----------|-------------------------|-------------|---------|
| 6 | 580-1-2 | Large | AD | *Astonida merrillii / Christmas Palm* | F.G. | 100 Gal. B&B | 12'x40 Gray Wood | As Shown | 19 | EA |
| 7 | 580-1-2 | Large | CC | *Capparis cygnothallophora / Jamaica Caper* | F.G. | 65 Gal | 8' x 4' Full | As Shown | 1 | EA |
| 8 | 580-1-2 | Large | CG | *Caesalpinia gilliesii / Paradise Tree* | RPG | 65 Gal | 14'-16"x6 | As Shown | 1 | EA |
| 9 | 580-1-2 | Large | CR | *Crinum asiaticum / Crinum Lily* | F.G. | 7 Gal | | As Shown | 7 | EA |
| 10 | 580-1-2 | Large | CF | *Cassia fistula / Apple Blossom* | RPG | 65 Gal | 12'-14"x6 | As Shown | 1 | EA |
| 11 | 580-1-2 | Large | DR | *Delonix regia / Royal Poinciana* | F.G. | 65 Gal | 14'-16"x6 | As Shown | 2 | EA |
| 12 | 580-1-2 | Large | PL | *Plumeria / Frangipani* | F.G. | 45 Gal | 7' x 4' | As Shown | 1 | EA |
**LANDSCAPE COMPLETE SMALL PLANTS**
| 13 | 580-1-1 | Small | BX | *Bougainvillea x Alabama Sunset / Alabama Sunset Bougainvillea* | 5 gal | 24"x24"; Full Pot | 4P o.c. | 82 | EA |
| 14 | 580-1-1 | Small | FM | *Ficus microcarpa / Green Island Fig* | 3 gal | 12"x12"; Full Pot | 24" o.c. | 1,526 | EA |
| 15 | 580-1-1 | Small | HD | *Helianthus debilis / Dune Sunflower* | 3 gal | 14"x16"; Full Pot | 18" o.c. | 488 | EA |
| 16 | 580-1-1 | Small | SJ | *Strelitzia juncea / Bird of Paradise* | 3 gal | Full Pot | 24" o.c. | 70 | EA |
| 17 | 580-1-1 | Small | AG | *Arachis glabrata / Perennial Peanut* | 1 gal | 4'-6" x 12'-18" | 18" o.c. | 221 | EA |
**TURF**
| 18 | 570-1-2 | Turf | SS | *Stenotaphrum secundatum / St. Augustine Grass* | SY | Solid mat | Solid mat | Solid | 598 | SY |
**ESTABLISHMENT**
| 19 | 570-9-1 | | | Watering for Installation/Establishment, Year One (Priced Per Tree) | | | | | 34 | EA |
| 20 | 580-173-2 | | | Maintenance / Establishment Period, One Year | | | | | 1 | LS |
| 21 | 580-13-2 | | | Mycorrhizal Fungal Inoculate | | | | | 1 | LS |
*(SEE TABULATION OF QUANTITIES FOR BREAKDOWN OF LANDSCAPE MATERIAL)*
---
**SUMMARY OF PAY ITEMS**
| DATE | DESCRIPTION | DATE | DESCRIPTION |
|------|-------------|------|-------------|
| | | | |
**STATE OF FLORIDA**
**DEPARTMENT OF TRANSPORTATION**
| ROAD NO. | COUNTY | FINANCIAL PROJECT ID |
|----------|--------|----------------------|
| SR 5 | MONROE | 450501-174-01 |
**KEITH OROPEZA, RLA**
LICENSE #LA000023
GAI CONSULTING INC.
801 E. ORLANDO STREET - SUITE 700
ORLANDO, FL 32801
**SHEET NO.**
LD-2
| PAY ITEM NO. | PAY SIZE | SYN | BOTANICAL NAME | COMMON NAME | INSTALLED SIZE | MAXIMUM MAINT'D SIZE | SPACING | REMARKS | UNIT | SHEET NUMBERS |
|--------------|----------|-----|-------------------------|-------------------|-----------------|----------------------|---------|--------------------------|------|---------------|
| 581-1-8 | Large | SP | Sabal palmetto | Sabal Palm | existing | N/A | As Shown | relocated trees | EA | 9 |
| 580-1-2 | Large | AD | Adonidia merrillii | Christmas Palm | B&B | N/A | As Shown | 100 gal; 12-14 GW | EA | 16 |
| 580-1-2 | Large | CC | Capparis cynophallophora | Jamaica Caper | 8' x 4'; Full Pot | N/A | As Shown | 65 gal. | EA | 1 |
| 580-1-2 | Large | CG | Caesalpinia gilliesii | Paradise Tree | 14'-16'x6 | N/A | As Shown | 65 gal; 4" cal. | EA | 1 |
| 580-1-2 | Large | CF | Cassia fistula | Apple Blossom | 12'-14'x6 | N/A | As Shown | 65 gal; 4" cal. | EA | 1 |
| 580-1-2 | Large | CR | Crinum asiaticum | Crinum Lily | N/A | As Shown | 7 gal. | EA | 7 |
| 580-1-2 | Large | DR | Delonix regia | Royal Poinciana | 14'-16'x6 | N/A | As Shown | 65 gal; 4" cal. | EA | 1 |
| 580-1-2 | Large | PL | Plumeria | Frangipani | 7' x 4' | N/A | As Shown | 45 gal; 3" cal. | EA | 1 |
| 580-1-1 | Small | BX | Bougainvillea x 'Alabama Sunset' | Alabama Sunset Bougainvillea | 24"x24"; Full Pot | N/A | 48" o.c. 5 gal | EA | 83 |
| 580-1-1 | Small | FM | Ficus microcarpa 'Green Island' | Green Island Fig | 12"x12"; Full Pot | N/A | 24" o.c. 3 gal | EA | 951 |
| 580-1-2 | Large | HD | Helianthus debilis | Dune Sunflower | 14"x16"; Full Pot | N/A | 18" o.c. | 3 gal | EA | 203 |
| 580-1-1 | Small | SJ | Streitzia juncea | Bird of Paradise | Full Pot | N/A | 24" o.c. | 3 gal | EA | 25 |
| 580-1-1 | Small | AG | Arachis glabrata | Perennial Peanut | 4"-6" HT A 12"-18" Sprd. | N/A | 18" o.c. 1 gal | EA | 221 |
| 570-1-2 | Turf | SS | Stenotaphrum secundatum | St. Augustine Grass | Solid Flat | SY | 407 | 192 | 598 |
**STATE OF FLORIDA**
**DEPARTMENT OF TRANSPORTATION**
| ROAD NO. | COUNTY | FINANCIAL PROJECT ID |
|----------|--------|----------------------|
| SR 5 | MONROE | 450501-174-01 |
**TABULATION OF QUANTITIES**
**SHEET NO.**
LD-3
---
**REVISIONS**
| DATE | DESCRIPTION | DATE | DESCRIPTION |
|------|-------------|------|-------------|
**KEISH OROPEZA, PLA**
LICENSE #L40000123
GAI CONSULTING INC.
601 E. SOUTH STREET - SUITE 700
ORLANDO, FL 32801
Jennifer Wenzel
10/21/2022 12:14:37 PM
Z:\2022\W20107\00 - Key West Entrance Signage\GAI\CAD\AP-450501-1-Sheet\007 TABLD01.dwg
LANDSCAPE NOTES:
1. Flag all planting locations prior to installation. All planting locations must be approved by and may be adjusted by the Landscape Architect.
2. All plant materials are subject to inspection and approval by the Landscape Architect at the growing site, nursery or handling area designated for the project site.
3. Transplant all existing sabal palm trees in work area.
4. All plant material improperly pruned, undersized, infested, diseased or otherwise not to grade or size indicated on the plans shall be removed and replaced upon notice from either the county engineer or county landscape coordinator, or their assigned agent.
5. Take responsibility for plant quantity take-off and provide all plant material required as shown on landscape plans.
6. Apply pre-emergent granular herbicide to all planting beds and mulch rings. The herbicide active ingredients shall be suitable for control of annual and perennial broadleaf weeds and grasses. The granular herbicide shall be applied by hand after planting and before placing mulch. The herbicide shall be applied at a rate recommended by the manufacturer.
7. Treat the root ball of all trees in the upper 8-10 inches of the planting hole with the manufacturer's recommended amount of mycorrhizal fungal inoculants, to include at a minimum of the following:
- Endomycorrhizal fungus
- Ectomycorrhizal fungus
- Fulvic acid
- Trichoderma
- Phosphate solubilizing, nitrogen fixing and growth promoting bacteria
- Humic acid (from peat moss)
- Sea kelp extract (Ascophyllum nodosum)
- Yucca plant extract (Yucca schidigera)
- Water holding polymer (cross linked acrylamide and potassium acrylate)
- Particle size: 0.8 mm to 1.0 mm
- Percent soluble: less than 0.05%
- Absorption rate: 300-400 times in distilled water
Submit sample of mycorrhizal for acceptance by the Landscape Architect.
10. Use slow release, long-lasting, 20-10-5 Planting Tablets plus minors during planting per manufacturer's specifications.
11. Use super-absorbent long-lasting medium or course planting hydrogel, (Potassium Polyacrylamide acrylate Copolymer) in conjunction with planting on all palms and trees.
Signs:
All present traffic signs and delineator posts are to remain in place and are not to be removed nor impacted, including temporarily, in any way as a result of the construction activities by the contractor.
ENVIRONMENTAL MANAGEMENT NOTES:
The following Federal and State listed animal species could inhabit or migrate through the construction area: Roseate Tern, Piping Plover, American Oystercatcher, Stock Island Tree Snail, and Red Knot. The contractor shall comply with all Federal and State requirements regarding endangered and threatened species and State listed species of special concern. Should these species be encountered, the Contractor shall contact the Project Engineer within 24 hours of each encounter.
No staging or other activities for this project will be allowed within or adjacent to the Florida Keys Overseas Heritage Trail or the Florida Keys National Marine Sanctuary. Access to the Florida Keys Overseas Heritage Trail must be maintained at all times.
GENERAL LANDSCAPE NOTES
OVERSEAS HWY (S.R. 5)
EXISTING SEA GRAPE SHRUB TO REMAIN
(2) EXISTING COCONUT PALMS TO REMAIN
(5) EXISTING COCONUT PALMS TO REMAIN
REMOVE ALL EXISTING GROUNDCOVER / SHRUBS AND TURF
R/W LINE (TYP.)
END PROJECT
STA. 29+08.30
MP 4.100
COW KEY CHANNEL
MATCHLINE - SEE SHEET LD-5
REVISIONS
| DATE | DESCRIPTION |
|------|-------------|
| | |
| DATE | DESCRIPTION |
|------|-------------|
| | |
KEISH OROPEZA, PLA
LICENSE #L40000123
GAI CONSULTANTS, INC.
601 E. SOUTH STREET, SUITE 700
ORLANDO FL 32801
STATE OF FLORIDA
DEPARTMENT OF TRANSPORTATION
ROAD NO. | COUNTY | FINANCIAL PROJECT ID
---------|-------|---------------------
SR 5 | MONROE| 450501-174-01
TREE DISPOSITION PLANS
SHEET NO.
LD-6
THE OFFICIAL RECORD OF THIS SHEET IS THE ELECTRONIC FILE DIGITALLY SIGNED AND SEALED UNDER RULE 610D018(B)(1), F.A.C.
BEGIN PROJECT
STA. 20+33.17
MP 3.927
N / S ROOSEVELT BLVD.
EXISTING TABEBUIA TREE
AG 221
FM 395
SS 661
CR 3
FM 186
HD 203
S 227
EXISTING SABAL PALMS
2' LATERAL OFFSET (MAINTENANCE BUFFER)
COORDINATE FIELD LOCATION WITH CITY TO AVOID CONFLICT WITH SIGNAGE
OVERSEAS HWY (S.R. 5)
R/W LINE (TYP.)
RELOCATED SABAL PALMS (9)
OUTSTANDING FLORIDA WATERS
PL Pleronia / Frangipani
AD Adenidia merrillii / Christmas Palm
CG Caesalpinia gillesii / Paradise Tree
CF Cassia fistula / Apple Blossom
DR Delonix regia / Royal Poinciana
BX Bougainvillea 'Alabama Sunset' / Alabama Sunset Bougainvillea
CC Capparis cynophallophora / Jamaica Caper
CR Crinum asiaticum / Crinum Lily
FM Ficus microcarpa / Green Island Fig
HD Helianthus debilis / Dune Sunflower
SJ Streptoziza juncea / Bird of Paradise
AG Arachis glabrata / Perennial Peanut
SS Stenotaphrum secundatum St. Augustine Grass
DESIGN SPEED 40 MPH
PLANT LEGEND
STATE OF FLORIDA
DEPARTMENT OF TRANSPORTATION
ROAD NO. COUNTY FINANCIAL PROJECT ID
SR 5 MONROE 450501-174-01
LANDSCAPE PLANS
SHEET NO.
LD-7
THE OFFICIAL RECORD OF THIS SHEET IS THE ELECTRONIC FILE DIGITALLY SIGNED AND SEALED UNDER RULE 610.020(8), FAC.
DESIGN SPEED 40 MPH
PLANT LEGEND
| Symbol | Plant Name |
|--------|----------------------------------|
| PL | Plumeria / Frangipani |
| AD | Adonidia merrillii / Christmas Palm |
| CG | Caesalpinia gillesii / Paradise Tree |
| CF | Cassia fistula / Apple Blossom |
| DR | Delonix regia / Royal Poinciana |
| BX | Bougainvillea x 'Alabama Sunset' / Alabama Sunset Bougainvillea |
| CC | Capparis cynophallophora / Jamaica Caper |
| CR | Crinum asiaticum/ Crinum Lily |
| FM | Ficus microcarpa / Greece Island Fig |
| HD | Helianthus debilis / Dune Sunflower |
| SJ | Strelitzia juncea / Bird of Paradise |
| AG | Arachis glabrata / Perennial Peanut |
| SS | Stenotaphrum secundatum / St. Augustine Grass |
STATE OF FLORIDA
DEPARTMENT OF TRANSPORTATION
ROAD NO. | COUNTY | FINANCIAL PROJECT ID
---------|-------|----------------------
SR 5 | MONROE| 450501-174-01
LANDSCAPE PLANS
SHEET NO. | LD-8
2 1/2" TO 6" CALIPER TREE PLANTING
**PLAN**
- Tree Canopy
- Straps
- Stakes (TYP.)
- Spaced at 120° Apart
- Football
- Tree Trunk
**ELEVATION**
- Straps Positioned Between ½ To ¾ of Tree Height
- Straps Securely Fastened to Tree (Typ.)
- Safety Flags
- Straps, Add Fourth Strap for Trees Over 4" Cal.
- Mulch, Remove Existing Vegetation Prior to Planting
- Straps Securely Fastened to Stakes
- 6" topsoil Rotted into existing soil
- Stake, Driven in at Angle
- Existing Soil
- Soil Ring for Water Collection
- Soil Backfill
1"-6" Min. Embedment Depth
**ELEVATION**
- 2 x 4 Wood Braces (Minimum of Three Wood Braces) Spaced at 120° Apart. Saw Cut Ends at Proper Angle to Allow for Flush Connection to Batten.
- Nail or Screw Wood Braces Securely to Wood Batten or Manufactured Tree Bracing
For Palms Over 24" Clear Trunk, Increase Wood Braces to 4" x 4". Minimum, Use a Minimum of Four Braces With Minimum Length of 16" Spaced.
Mulch, Remove Existing Vegetation Prior to Planting
6" topsoil Rotted into existing soil
Soil Ring for Water Collection
Wood Stake (Typ.)
Existing Soil
Soil Backfill
1/2 of Trunk Height Min.
2"-6" Min. Embedment Depth
**PALM PLANTING**
NOTE: May be used on large caliper canopy trees, 6" or larger, adjust banding every 6 months or as needed (for fast growing species) to prevent girdling.
**DETAIL "A"**
- Burlap Layers (Five For Palms, Six For Large Caliper Canopy Trees)
- Bands, 2 Min.
- Nails or Screws
- 2" x 4" Wood Brace
- 2" x 4" Wood Brace
- 2" x 4" x 12" Wood Batten or Manufactured Tree Bracing System
- With Boards Positioned Face to Face, Nail or Screw Brace Securely to Wood Stake
NOTE: Install bands and couplings that are rated a min. 900lb. tensile strength, and are corrosion and UV resistant.
**DETAIL "B"**
NOTE: Stake Into Firm, Existing Soil.
**LANDSCAPE DETAILS**
| REVISIONS | DATE | DESCRIPTION |
|-----------|------|-------------|
| | | |
KEISH OROPEZA, PLA
LICENSE #L40000123
GAI CONSULTANTS INC.
86 E. DOWNEY STREET SUITE 700
ORLANDO FL 32801
STATE OF FLORIDA
DEPARTMENT OF TRANSPORTATION
ROAD NO. | COUNTY | FINANCIAL PROJECT ID
---------|-------|----------------------
SR 5 | MONROE| 450501-174-01
SHEET NO. | LD-9
GENERAL NOTES:
1. Staking guidelines are based on standard horticultural requirements and are provided for plant establishment purposes only. Details not intended to apply when bracing is intended to address safety considerations. When bracing for safety, refer to Engineer generated staked and sealed details. These guidelines are not intended to apply when the tree or palm is within falling distance of a roadway, pedestrian or bicycle route, under extreme wind loads, non-standard soil properties, non-standard plant dimensions, or when rootball is anticipated to be greater than 4 feet diameter and planted on 1:3 slope or steeper.
2. All dimensions 6" and less are exaggerated for illustrative purposes only. Dimensions shown for wood materials are nominal. Slopes shown are Vertical/Horizontal.
3. Remove plant containers prior to planting. Remove a minimum of the top 1/3 of burlap, fabric, or wire mesh for plants not grown in containers.
4. Allow no more than 1" of soil to cover the uppermost root on all trees. Set the top of root ball 1"-2" above finish grade after settling and set plumb to the horizon.
5. Backfill with loosened existing soil or as shown in the plans. Remove rocks, sticks, or other deleterious material greater than 1" in any direction prior to backfilling. Water and tamp to remove air pockets. Contact Engineer prior to planting if existing soils contain excessive sand, clay, or other material not conducive to proper plant growth.
6. Construct soil rings at the outer edge of the planting pit with a height of 3" and gently sloping sides unless a permanent, subsurface or drip irrigation system is provided. Do not pile soil on top of rootball.
7. Construct a 2"-3" deep layer of mini pine bark nugget mulch in all planting beds and tree wells. No cypress mulch shall be utilized in this project.
8. Install guying with minimum 1" wide nylon or polypropylene straps with a minimum 600 lb. break strength. Check straps monthly and adjust as required to eliminate girdling of tree. Locate all wood stakes beyond the edge of soil ring in existing soil and embed a minimum of 18" below finished grade unless otherwise specified. Alternate tree bracing and guying systems specified or approved by the Engineer may be used in lieu of the tree bracing and guying methods detailed on the Index.
9. Use 2" X 2" minimum wood stakes unless otherwise shown in the Plans or directed by the Engineer. Use wood meeting #2 Common or better in accordance with the Standard Grading Rules for Southern Pine. Use 4"x4" for larger palms.
10. Drive stakes into existing, undisturbed soil. Localized compaction may be provided to prevent displacement of the stakes for previously disturbed existing soils that do not provide sufficient stability.
11. Provide 6" topsoil (organic material) Rototilled into top 6" of existing soil.
NOTE: CONTRACTOR SHALL ASSURE PERCOLATION OF ALL PLANTING PITS / BEDS PRIOR TO INSTALLATION
SHRUB & GROUNDCOVER PLANTING
An application was received requesting the removal of (2) Geiger and (1) Sapodilla tree. A site inspection was done and documented the following:
**Tree Species:** Geiger (Cordia sebestena)
Photo showing location of Geiger trees.
Photo of Tree #1 showing whole tree and location.
Photo of whole tree.
Photo of tree canopy.
Diameter: 7.6”
Location: 80% (in a median planter area, very visible)
Species: 100% (on protected tree list)
Condition: 60% (overall condition is fair—appears to be having a common health issue with bugs that is usually easily treatable)
Total Average Value = 80%
Value x Diameter = 6 replacement caliper inches
Tree #2
Photo of whole tree, view 1.
Photo of whole tree, view 2.
Photo of tree canopy.
Photo of trunk and base of tree.
Diameter: 4.7”
Location: 40% (growing in planter media, very visible, growth close to high traffic area)
Species: 100% (on protected tree list)
Condition: 50% (overall condition is fair to poor, poor structure with sideways growth toward road, also appears to be impacted by bugs)
Total Average Value = 63%
Value x Diameter = 2.9 replacement caliper inches
Tree Species: Sapodilla (Manilkara zapota)
Photo showing location of tree in the median.
Photo of base and trunks of tree, view 1.
Close up photo of decay in one trunk.
Photo of tree canopy, view 2.
Photo of whole tree, view 1.
Photo of whole tree, view 2.
Photo of base and trunks of tree, view 2.
Photo of tree canopy, view 2.
Photo of whole tree, view 3.
Diameter: 23.2”
Location: 70% (Growing in narrow planter median, very visible tree)
Species: 100% (on protected tree list)
Condition: 50% (overall condition is fair poor, lots of decay especially in one of the three main trunks, poor structure, good healthy leaf growth)
Total Average Value = 73%
Value x Diameter = 16.9 replacement caliper inches
A total of 25.8 caliper inches of approved trees is required to be planted if all requested trees are approved for removal. This project proposes to plant (2) Royal Poinciana, (1) Plumeria, (1) Apple Blossom, (1) Paradise tree, (1) Jamaican Caper, and 19 Christmas Palms. A total of 30 caliper inches of approved trees is being replanted as part of the proposed landscape plan.
Recommend approval of the removal of (2) Geiger trees and (1) Sapodilla tree and approval of the proposed landscape plan for the triangle area.
Below are photos of the rest of the median/triangle area:
Palms in this area are to remain.
Sapodilla tree to be removed and Sabal Palms to be transplanted.
Sabal Palms in this area to be transplanted.
Yellow Tabebuia and Sabal Palms to remain.
Area where Sabal Palms are to be transplanted (Area 1).
Area where Sabal Palms are to be transplanted (Area 2).
BEGIN PROJECT
STA. 20+33.17
MP 3.927
(7) EXISTING SABAL PALMS TO REMAIN
EXISTING CONCRETE STRIPS TO REMAIN
EXISTING WELCOME SIGN TO BE REMOVED BY OWNER (CITY OF KEY WEST). COORDINATE WITH CITY FOR DISPOSITION
(5) EXISTING SABAL PALMS TO BE RELOCATED
REMOVE ALL EXISTING GROUNDCOVER / SHRUBS AND TURF
(2) EXISTING SABAL PALMS TO BE RELOCATED
EXISTING CONCRETE STRIP TO REMAIN
EXISTING OEGER TREES TO BE REMOVED (2)
(2) EXISTING SABAL PALMS TO BE RELOCATED
GRIND TWO (2) EXISTING STUMPS
EXISTING SAPODILLA TREE TO BE REMOVED
AREA FOR RELOCATED SABAL PALMS (EXACT LOCATIONS TO BE FIELD LOCATED BY CITY STAFF)
AVOID EX. POWER LINES & DBI, DO NOT OBSTRUCT EXISTING SIGNS
NORTH OF FLORIDA
DEPARTMENT OF TRANSPORTATION
ROAD NO. COUNTY FINANCIAL PROJECT ID
SR 5 MONROE 450501-174-01
TREE DISPOSITION PLANS
SHEET NO.
LD-5
REVISIONS
DATE DESCRIPTION DATE DESCRIPTION
KEITH DROPEZA, MLA
LICENSE #LA0000173
GAI CONSULTANTS, INC.
688 E. SOUTH STREET - SUITE 700
ORLANDO, FL 32801
Jennifer Weisner 10/31/2012 12:14:52 PM
2-7/2012-R120107.00 Key West Entrance Signplan-LD-ACAD-FS2001-E-Landscape-TROP001.rwv
OVERSEAS HWY (S.R. 5)
(2) EXISTING COCONUT PALMS TO REMAIN
(5) EXISTING COCONUT PALMS TO REMAIN
EXISTING SEA GRAPE SHRUB TO REMAIN
REMOVE ALL EXISTING GROUNDCOVER / SHRUBS AND TURF
R/W LINE (TYP.)
COW KEY CHANNEL
END PROJECT
STA. 29+08.30
MP 4.100
MACHINE SEE SHEET LD-5
REVISIONS
| DATE | DESCRIPTION | DATE | DESCRIPTION |
|------|-------------|------|-------------|
KEITH OROPEZA, RLA
LICENSE #L40000173
GAI CONSULTANTS, INC.
688 E. SOUTH STREET - SUITE 700
ORLANDO, FL 32801
STATE OF FLORIDA
DEPARTMENT OF TRANSPORTATION
ROAD NO. COUNTY FINANCIAL PROJECT ID
SR 5 MONROE 450501-1-74-01
TREE DISPOSITION PLANS
SHEET NO.
LD-6
**EXISTING Trees + Palms**
**DESIGN SPEED 40 MPH**
**PLANT LEGEND**
- **PL** Plumeria / Frangipani
- **AG1** Adonidia merrillii / Christmas Palm
- **LCF** Caesalpinia gillesii / Paradise Tree
- **CF** Cassia fistula / Apple Blossom
- **DR** Delonix regia / Royal Poinciana
- **BX** Bougainvillea x 'Alabama Sunset' / Alabama Sunset Bougainvillea
- **CJ** Capparis cynophallophora / Jamaica Caper
- **CR** Crinum asiaticum/ Crinum Lily
- **FM** Ficus microcarpa / Green Island Fig
- **HD** Helianthus debilis / Dune Sunflower
- **SJ** Strelitzia juncea / Bird of Paradise
- **AG** Arachis glabrata / Perennial Peanut
- **SS** Stenotaphrum secundatum St. Augustine Grass
---
**KEITH MORRIZA MLA**
LICENSE #LA000133
GAI CONSULTANTS INC.
618 E. SOUTH STREET - SUITE 700
ORLANDO, FL 32806
**N.CATM OF FLORIDA DEPARTMENT OF TRANSPORTATION**
| ROAD NO. | COUNTY | FINANCIAL PROJECT ID |
|----------|--------|----------------------|
| SR 5 | MONROE | 450501-1-74-01 |
**LANDSCAPE PLANS**
**SHEET NO.**
LD-7
**EXISTING Trees + Palms**
**DESIGN SPEED 40 MPH**
| REVISIONS | DATE | DESCRIPTION |
|-----------|------|-------------|
| | | |
| KEITH ORDEZA PLA |
| LICENSE #LA000123 |
| GAI CONSULTANTS, INC. |
| 618 E. SOUTH STREET - SUITE 700 |
| ORLANDO, FL 32801 |
| SCAP OF FLORIDA DEPARTMENT OF TRANSPORTATION |
| ROAD NO. | COUNTY | FINANCIAL PROJECT ID |
| SR 5 | MONROE | 450501-1-74-01 |
**PLANT LEGEND**
- **PL** Plumeria / Frangipani
- **CR** Crinum asiaticum/ Crinum Lily
- **FM** Ficus microcarpa / Green Island Fig
- **HD** Helianthus debilis / Dune Sunflower
- **SJ** Strelitzia juncea / Bird of Paradise
- **AG** Arachis glabrata / Perennial Peanut
- **SS** Stenotaphrum secundatum St. Augustine Grass
**EXISTING COCONUT PALMS**
**LINE OF CLEAR SIGHT**
**OVERSEAS HWY (S.R. 5)**
**COW KEY CHANNEL**
**END PROJECT**
STA. 29+08.30
MP 4.100
**R/W LINE (TYP.)**
**OUTSTANDING FLORIDA WATERS**
**MATCHLINE SEE SHEET ID-7**
**Dv = 330'**
**0 10 50 Feet**
Application
Tree Permit Application
Please Clearly Print All Information unless indicated otherwise. Date: January 25, 2023
Tree Address
US 1 Triangle Median
Cross/Corner Street
List Tree Name(s) and Quantity
2 Orange Gieger, 1 Sapodilla, 16 sabal palms for transplant
Species Type(s) check all that apply
( ) Palm (X) Flowering ( ) Fruit ( ) Shade (X) Unsure
Reason(s) for Application:
( ) Remove (X) Tree Health ( ) Safety (X) Other/Explain below
( ) Transplant ( ) New Location ( ) Same Property ( ) Other/Explain below
( ) Heavy Maintenance Trim ( ) Branch Removal ( ) Crown Cleaning/Thinning ( ) Crown Reduction
Additional Information and Explanation
Part of the design effort for landscape beautification at the Triangle median along US 1 and Roosevelt Blvd.
Property Owner Name
DOT- Contact: Monica Rodriguez
Property Owner email Address
email@example.com
Property Owner Mailing Address
1000 NW 111th Ave, Room 6251
Property Owner Phone Number
305 470 5452
Property Owner Signature
See attached letter from DOT for project approval
Representative Name
Keith Oropeza/Karen DeMaria/ Karen Wilman
Representative email Address
firstname.lastname@example.org
Representative Mailing Address
GA Consultants, 618 E South Street, #700 Orlando, FL 32801
Representative Phone Number
407 222 9583
NOTE: A Tree Representation Authorization form must accompany this application if someone other than the owner will be representing the owner at a Tree Commission meeting or picking up an issued Tree Permit. Tree Representation Authorization form attached ( )
Sketch location of tree in this area including cross/corner Street
Please identify tree(s) with colored tape
See submitted plans
If this process requires blocking of a City right-of-way, a separate ROW Permit is required. Please contact 305-809-3740.
Karen D.
Attached is the revised form. I spoke with my DOT contact Monica and she will be sending me a letter that states the drawings and project is approved by the State with her signature. Please confirm that will work for this application.
Once approved, does this project need to pay for a permit with the City of Key West?
Let’s talk tomorrow if you have any question.
Thanks,
Karen Wilman
Senior Construction Manager
Engineering Department
City of Key West
(305) 809-3963
email@example.com
From: Karen DeMaria <firstname.lastname@example.org>
Sent: Wednesday, January 25, 2023 3:29 PM
To: Keith Oropeza <email@example.com>
Cc: Karen Wilman <firstname.lastname@example.org>
Subject: RE: [EXTERNAL] RE: [EXTERNAL] Triangle Tree Commission Application
Well somebody needs to get the FDOT signatures on the proper forms or this item will not be heard by the Tree Commission. I can not accept and application unless the owner has given approval.
Sincerely,
Karen
From: Keith Oropeza <email@example.com>
Sent: Wednesday, January 25, 2023 3:24 PM
To: Karen DeMaria <firstname.lastname@example.org>
Cc: Karen Wilman <email@example.com>
Subject: [EXTERNAL] RE: [EXTERNAL] Triangle Tree Commission Application
Karen,
Attached please find the landscape drawings approved by FDOT for submittal to tree commission. I’ve attached an application as well.
Thanks, KO
Keith Oropeza, PLA, ASLA
Landscape Architecture Director
618 E. South Street, Suite 700
Orlando, Florida 32801
T 407.423.8398 | D 321.445.8034 | M 407.222.9583
firstname.lastname@example.org
A GAI Consultants, Inc. Service Group |
Historian Howard Zinn on Abraham Lincoln and the eventual abolition of slavery in the US. Which shows that Spielberg's new film, *Lincoln*, is far from historically accurate.
John Brown\(^1\) was executed by the state of Virginia with the approval of the national government. It was the national government which, while weakly enforcing the law ending the slave trade, sternly enforced the laws providing for the return of fugitives to slavery. It was the national government that, in Andrew Jackson's administration, collaborated with the South to keep abolitionist literature out of the mails in the southern states. It was the Supreme Court of the United States that declared in 1857 that the slave Dred Scott could not sue for his freedom because he was not a person, but property.
Such a national government would never accept an end to slavery by rebellion. It would end slavery only under conditions controlled by whites, and only when required by the political and economic needs of the business elite of the North. It was Abraham Lincoln who combined perfectly the needs of business, the political ambition of the new Republican party, and the rhetoric of humanitarianism. He would keep the abolition of slavery not at the top of his list of priorities, but close enough to the top so it could be pushed there temporarily by abolitionist pressures and by practical political advantage.
Lincoln could skillfully blend the interests of the very rich and the interests of the black at a moment in history when these interests met. And he could link these two with a growing section of Americans, the white, up-and-coming, economically ambitious, politically active middle class. As Richard Hofstadter puts it:
Thoroughly middle class in his ideas, he spoke for those millions of Americans who had begun their lives as hired workers—as farm hands, clerks, teachers, mechanics, flatboat men, and rail-splitters—and had passed into the ranks of landed farmers, prosperous grocers, lawyers, merchants, physicians and politicians.
Lincoln could argue with lucidity and passion against slavery on moral grounds, while acting cautiously in practical politics. He believed "that the institution of slavery is founded on injustice and bad policy, but that the promulgation of abolition doctrines tends to increase rather than abate its evils." (Put against this Frederick Douglass's statement on struggle, or Garrison's "Sir, slavery will not be overthrown without excitement, a most tremendous excitement") Lincoln read the Constitution strictly, to mean that Congress, because of the Tenth Amendment (reserving to the states powers not specifically given to the national government), could not constitutionally bar slavery in the states.
When it was proposed to abolish slavery in the District of Columbia, which did not have the rights of a state that was directly under the jurisdiction of Congress, Lincoln said this would be Constitutional, but it should not be done unless the people in the District wanted it. Since most there were white, this killed the idea. As Hofstadter said of Lincoln's statement, it "breathes the fire of an uncompromising insistence on moderation."
Lincoln refused to denounce the Fugitive Slave Law publicly. He wrote to a friend: "I confess I hate to see the poor creatures hunted down ... but I bite my lips and keep quiet." And when he did propose, in 1849, as a Congressman, a resolution to abolish slavery in the District of Columbia, he accompanied this with a section requiring local authorities to arrest and return fugitive slaves coming into Washington. (This led Wendell Phillips, the Boston abolitionist, to refer to him years later as "that slavehound from Illinois.") He opposed slavery, but could not see blacks as equals, so a constant theme in his approach was to free the slaves and to send them back to Africa.
In his 1858 campaign in Illinois for the Senate against Stephen Douglas, Lincoln spoke differently depending on the views of his listeners (and also perhaps depending on how close it was to the election). Speaking in northern Illinois in July (in Chicago), he said:
Let us discard all this quibbling about this man and the other man, this race and that race and the other race being inferior, and therefore they must be placed in an inferior position. Let us discard all these things, and unite as one people throughout this land, until we shall once more stand up declaring that all men are created equal.
Two months later in Charleston, in southern Illinois, Lincoln told his audience:
I will say, then, that I am not, nor ever have been, in favor of bringing about in any way the social and political equality of the white and black races (applause); that I am not, nor ever have been, in favor of making voters or jurors of negroes, nor of qualifying them to hold office, nor to intermarry with white people...
And inasmuch as they cannot so live, while they do remain together there must be the position of superior and inferior, and I as much as any other man am in favor of having the superior position assigned to the white race.
Behind the secession of the South from the Union, after Lincoln was elected President in the fall of 1860 as candidate of the new Republican party, was a long series of policy clashes between South and North. The clash was not over slavery as a moral institution-most northerners did not care enough about slavery to make sacrifices for it, certainly not the sacrifice of war. It was not a clash of peoples (most northern whites were not economically favored, not politically powerful; most southern whites were poor farmers, not decisionmakers) but of elites. The northern elite wanted economic expansion-free land, free labor, a free market, a high protective tariff for manufacturers, a bank of the United States. The slave interests opposed all that; they saw Lincoln and the Republicans as making continuation of their pleasant and prosperous way of life impossible in the future.
So, when Lincoln was elected, seven southern states seceded from the Union. Lincoln initiated hostilities by trying to repossess the federal base at Fort Sumter, South Carolina, and four more states seceded. The Confederacy was formed; the Civil War was on.
Lincoln's first Inaugural Address, in March 1861, was conciliatory toward the South and the seceded states: "I have no purpose, directly or indirectly, to interfere with the institution of slavery in the States where it exists. I believe I have no lawful right to do so, and I have no inclination to do so." And with the war four months on, when General John C. Fremont in Missouri declared martial law and said slaves of owners resisting the United States were to be free, Lincoln countermanded this order. He was anxious to hold in the Union the slave states of Maryland, Kentucky, Missouri, and Delaware.
It was only as the war grew more bitter, the casualties mounted, desperation to win heightened, and the criticism of the abolitionists threatened to unravel the tattered coalition behind Lincoln that he began to act against slavery. Hofstadter puts it this way: "Like a delicate barometer, he recorded the trend of pressures, and as the Radical pressure increased he moved toward the left." Wendell Phillips said that if Lincoln was able to grow "it is because we have watered him."
Racism in the North was as entrenched as slavery in the South, and it would take the war to shake both. New York blacks could not vote unless they owned $250 in property (a qualification not applied to whites). A proposal to abolish this, put on the ballot in 1860, was defeated two to one (although Lincoln carried New York by 50,000 votes). Frederick Douglass commented: "The black baby of Negro suffrage was thought too ugly to exhibit on so grand an occasion. The Negro was stowed away like some people put out of sight their deformed children when company comes."
Wendell Phillips, with all his criticism of Lincoln, recognized the possibilities in his election. Speaking at the Tremont Temple in Boston the day after the election, Phillips said:
If the telegraph speaks truth, for the first time in our history the slave has chosen a President of the United States. . . . Not an Abolitionist, hardly an antislavery man, Mr. Lincoln consents to represent an antislavery idea. A pawn on the political chessboard, his value is in his position; with fair effort, we may soon change him for knight, bishop or queen, and sweep the board. (Applause)
Conservatives in the Boston upper classes wanted reconciliation with the South. At one point they stormed an abolitionist meeting at that same Tremont Temple, shortly after Lincoln's election, and asked that concessions be made to the South "in the interests of commerce, manufactures, agriculture."
The spirit of Congress, even after the war began, was shown in a resolution it passed in the summer of 1861, with only a few dissenting votes: "... this war is not waged . . . for any
purpose of... overthrowing or interfering with the rights of established institutions of those states, but... to preserve the Union."
The abolitionists stepped up their campaign. Emancipation petitions poured into Congress in 1861 and 1862. In May of that year, Wendell Phillips said: "Abraham Lincoln may not wish it; he cannot prevent it; the nation may not will it, but the nation cannot prevent it. I do not care what men want or wish; the negro is the pebble in the cog-wheel, and the machine cannot go on until you get him out."
In July Congress passed a Confiscation Act, which enabled the freeing of slaves of those fighting the Union. But this was not enforced by the Union generals, and Lincoln ignored the nonenforcement. Garrison called Lincoln's policy "stumbling, halting, prevaricating, irresolute, weak, besotted," and Phillips said Lincoln was "a first-rate second-rate man."
An exchange of letters between Lincoln and Horace Greeley, editor of the New York Tribune, in August of 1862, gave Lincoln a chance to express his views. Greeley wrote:
Dear Sir. I do not intrude to tell you—for you must know already—that a great proportion of those who triumphed in your election ... are sorely disappointed and deeply pained by the policy you seem to be pursuing with regard to the slaves of rebels.... We require of you, as the first servant of the Republic, charged especially and preeminently with this duty, that you EXECUTE THE LAWS. ... We think you are strangely and disastrously remiss ... with regard to the emancipating provisions of the new Confiscation Act....
We think you are unduly influenced by the councils ... of certain politicians hailing from the Border Slave States.
Greeley appealed to the practical need of winning the war. "We must have scouts, guides, spies, cooks, teamsters, diggers and choppers from the blacks of the South, whether we allow them to fight for us or not.... I entreat you to render a hearty and unequivocal obedience to the law of the land."
Lincoln had already shown his attitude by his failure to countermand an order of one of his commanders, General Henry Halleck, who forbade fugitive Negroes to enter his army's lines. Now he replied to Greeley:
Dear Sir: ... I have not meant to leave any one in doubt. . . . My paramount object in this struggle is to save the Union, and is not either to save or destroy Slavery. If I could save the Union without freeing any slave, I would do it; and if I could save it by freeing all the slaves, I would do it; and if I could do it by freeing some and leaving others alone, I would also do that. What I do about Slavery and the colored race, I do because it helps to save this Union; and what I forbear, I forbear because I do not believe it would help to save the Union. . . . I have here stated my purpose according to my view of official duty, and I intend no modification of my oft-expressed personal wish that all men, everywhere, could be free.
Yours. A. Lincoln.
So Lincoln distinguished between his "personal wish" and his "official duty."
When in September 1862, Lincoln issued his preliminary Emancipation Proclamation, it was a military move, giving the South four months to stop rebelling, threatening to emancipate their slaves if they continued to fight, promising to leave slavery untouched in states that came over to the North:
That on the 1st day of January, AD 1863, all persons held as slaves within any State or designated part of a State the people whereof shall then be in rebellion against the United States shall be then, thenceforward and forever free. . . .
Thus, when the Emancipation Proclamation was issued January 1, 1863, it declared slaves free in those areas still fighting against the Union (which it listed very carefully), and said nothing about slaves behind Union lines. As Hofstadter put it, the Emancipation Proclamation "had all the moral grandeur of a bill of lading." The *London Spectator* wrote concisely: "The principle is not that a human being cannot justly own another, but that he cannot own him unless he is loyal to the United States."
Limited as it was, the Emancipation Proclamation spurred antislavery forces. By the summer of 1864, 400,000 signatures asking legislation to end slavery had been gathered and sent to Congress, something unprecedented in the history of the country. That April, the Senate had adopted the Thirteenth Amendment, declaring an end to slavery, and in January 1865, the House of Representatives followed.
With the Proclamation, the Union army was open to blacks. And the more blacks entered the war, the more it appeared a war for their liberation. The more whites had to sacrifice, the more resentment there was, particularly among poor whites in the North, who were drafted by a law that allowed the rich to buy their way out of the draft for $300. And so the draft riots of 1863 took place, uprisings of angry whites in northern cities, their targets not the rich, far away, but the blacks, near at hand. It was an orgy of death and violence. A black man in Detroit described what he saw: a mob, with kegs of beer on wagons, armed with clubs and bricks, marching through the city, attacking black men, women, children. He heard one man say: "If we are got to be killed up for Negroes then we will kill every one in this town."
The Civil War was one of the bloodiest in human history up to that time: 600,000 dead on both sides, in a population of 30 million—the equivalent, in the United States of 1978, with a population of 250 million, of 5 million dead. As the battles became more intense, as the bodies piled up, as war fatigue grew, the existence of blacks in the South, 4 million of them, became more and more a hindrance to the South, and more and more an opportunity for the North. Du Bois, in *Black Reconstruction*, pointed this out:
... these slaves had enormous power in their hands. Simply by stopping work, they could threaten the Confederacy with starvation. By walking into the Federal camps, they showed to doubting Northerners the easy possibility of using them thus, but by the same gesture, depriving their enemies of their use in just these fields....
It was this plain alternative that brought Lee's sudden surrender. Either the South must make terms with its slaves, free them, use them to fight the North, and thereafter no longer treat them as bondsmen; or they could surrender to the North with the assumption that the North after the war must help them to defend slavery, as it had before.
George Rawick, a sociologist and anthropologist, describes the development of blacks up to and into the Civil War:
The slaves went from being frightened human beings, thrown among strange men, including fellow slaves who were not their kinsmen and who did not speak their language or understand their customs and habits, to what W. E. B. DuBois once described as the general strike whereby hundreds of thousands of slaves deserted the plantations, destroying the Smith's ability to supply its army.
Black women played an important part in the war, especially toward the end. Sojourner Truth, the legendary ex-slave who had been active in the women's rights movement, became recruiter of black troops for the Union army, as did Josephine St. Pierre Ruffin of Boston. Harriet Tubman raided plantations, leading black and white troops, and in one expedition freed 750 slaves. Women moved with the colored regiments that grew as the Union army
marched through the South, helping their husbands, enduring terrible hardships on the long military treks, in which many children died. They suffered the fate of soldiers, as in April 1864, when Confederate troops at Fort Pillow, Kentucky, massacred Union soldiers who had surrendered—black and white, along with women and children in an adjoining camp.
It has been said that black acceptance of slavery is proved by the fact that during the Civil War, when there were opportunities for escape, most slaves stayed on the plantation. In fact, half a million ran away—about one in five, a high proportion when one considers that there was great difficulty in knowing where to go and how to live.
The owner of a large plantation in South Carolina and Georgia wrote in 1862: "This war has taught us the perfect impossibility of placing the least confidence in the negro. In too numerous instances those we esteemed the most have been the first to desert us." That same year, a lieutenant in the Confederate army and once mayor of Savannah, Georgia, wrote: "I deeply regret to learn that the Negroes still continue to desert to the enemy."
A minister in Mississippi wrote in the fall of 1862: "On my arrival was surprised to hear that our negroes stampeded to the Yankees last night or rather a portion of them.... I think every one, but with one or two exceptions will go to the Yankees. Eliza and her family are certain to go. She does not conceal her thoughts but plainly manifests her opinions by her conduct—insolent and insulting." And a woman's plantation journal of January 1865:
The people are all idle on the plantations, most of them seeking their own pleasure. Many servants have proven faithful, others false and rebellious against all authority and restraint. . . . Their condition is one of perfect anarchy and rebellion. They have placed themselves in perfect antagonism to their owners and to all government and control. . . . Nearly all the house servants have left their homes; and from most of the plantations they have gone in a body.
Also in 1865, a South Carolina planter wrote to the New York Tribune that
the conduct of the Negro in the late crisis of our affairs has convinced me that we were all laboring under a delusion.... I believed that these people were content, happy, and attached to their masters. But events and reflection have caused me to change these positions. . . . If they were content, happy and attached to their masters, why did they desert him in the moment of his need and flock to an enemy, whom they did not know; and thus left their perhaps really good masters whom they did know from infancy?
Genovese notes that the war produced no general rising of slaves, but: "In Lafayette County, Mississippi, slaves responded to the Emancipation Proclamation by driving off their overseers and dividing the land and implements among themselves." Apteker reports a conspiracy of Negroes in Arkansas in 1861 to kill their enslavers. In Kentucky that year, houses and barns were burned by Negroes, and in the city of New Castle slaves paraded through the city "singing political songs, and shouting for Lincoln," according to newspaper accounts. After the Emancipation Proclamation, a Negro waiter in Richmond, Virginia, was arrested for leading "a servile plot," while in Yazoo City, Mississippi, slaves burned the courthouse and fourteen homes.
There were special moments: Robert Smalls (later a South Carolina Congressman) and other blacks took over a steamship, The Planter, and sailed it past the Confederate guns to deliver it to the Union navy.
Most slaves neither submitted nor rebelled. They continued to work, waiting to see what happened. When opportunity came, they left, often joining the Union army. Two hundred thousand blacks were in the army and navy, and 38,000 were killed. Historian James McPherson says: "Without their help, the North could not have won the war as soon as it did, and perhaps it could not have won at all."
What happened to blacks in the Union army and in the northern cities during the war gave some hint of how limited the emancipation would be, even with full victory over the Confederacy. Off-duty black soldiers were attacked in northern cities, as in Zanesville, Ohio, in February 1864, where cries were heard to "kill the nigger." Black soldiers were used for the heaviest and dirtiest work, digging trenches, hauling logs and camion, loading ammunition, digging wells for white regiments. White privates received $13 a month; Negro privates received $10 a month.
Late in the war, a black sergeant of the Third South Carolina Volunteers, William Walker, marched his company to his captain's tent and ordered them to stack arms and resign from the army as a protest against what he considered a breach of contract, because of unequal pay. He was court-martialed and shot for mutiny. Finally, in June 1864, Congress passed a law granting equal pay to Negro soldiers.
The Confederacy was desperate in the latter part of the war, and some of its leaders suggested the slaves, more and more an obstacle to their cause, be enlisted, used, and freed. After a number of military defeats, the Confederate secretary of war, Judah Benjamin, wrote in late 1864 to a newspaper editor in Charleston: ". . . It is well known that General Lee, who commands so largely the confidence of the people, is strongly in favor of our using the negroes for defense, and emancipating them, if necessary, for that purpose. . . ." One general, indignant, wrote: "If slaves will make good soldiers, our whole theory of slavery is wrong."
By early 1865, the pressure had mounted, and in March President Davis of the Confederacy signed a "Negro Soldier Law" authorizing the enlistment of slaves as soldiers, to be freed by consent of their owners and their state governments. But before it had any significant effect, the war was over.
Former slaves, interviewed by the Federal Writers' Project in the thirties, recalled the war's end. Susie Melton:
I was a young gal, about ten years old, and we done heard that Lincoln gonna turn the niggers free. Ol' missus say there wasn't nothin' to it. Then a Yankee soldier told someone in Williamsburg that Lincoln done signed the 'mancipation. Was wintertime and mighty cold that night, but everybody commenced getting ready to leave. Didn't care nothin' about missus - was going to the Union lines. And all that night the niggers danced and sang right out in the cold. Next morning at day break we all started out with blankets and clothes and pots and pans and chickens piled on our backs, 'cause missus said we couldn't take no horses or carts. And as the sun come up over the trees, the niggers started to singing: *Sun, you be here and I'll be gone*
*Sun, you be here and I'll be gone*
*Sun, you be here and I'll be gone*
*Bye, bye, don't grieve after me*
*Won't give you my place, not for yours*
*Bye, bye, don't grieve after me*
*Cause you be here and I'll be gone.*
Anna Woods:
We wasn't there in Texas long when the soldiers marched in to tell us that we were free. ... I remembers one woman. She jumped on a barrel and she shouted. She jumped off and she shouted. She jumped hack on again and shouted some more. She kept that up for a long time, just jumping on a barrel and back off again.
Annie Mae Weathers said:
I remember hearing my pa say that when somebody came and hollered, "You niggers is free at last," say he just dropped his hoe and said in a queer voice, "Thank God for that."
The Federal Writers' Project recorded an ex-slave named Fannie Berry:
Niggers shoutin' and clappin' hands and singin'! Chillin' runnin' all over the place beatin' time and yellin'! Everybody happy. Sho' did some celebratin'. Run to the kitchen and shout in the window:
"Mammy, don't you cook no more.
You's free! You's free!"
Many Negroes understood that their status after the war, whatever their situation legally, would depend on whether they owned the land they worked on or would be forced to be semislaves for others. In 1863, a North Carolina Negro wrote that "if the strict law of right and justice is to be observed, the country around me is the entailed inheritance of the Americans of African descent, purchased by the invaluable labor of our ancestors, through a life of tears and groans, under the lash and yoke of tyranny."
Abandoned plantations, however, were leased to former planters, and to white men of the North. As one colored newspaper said: "The slaves were made serfs and chained to the soil. . . . Such was the boasted freedom acquired by the colored man at the hands of the Yankee."
Under congressional policy approved by Lincoln, the property confiscated during the war under the Confiscation Act of July 1862 would revert to the heirs of the Confederate owners. Dr. John Rock, a black physician in Boston, spoke at a meeting: "Why talk about compensating masters? Compensate them for what? What do you owe them? What does the slave owe them? What does society owe them? Compensate the master? . . . It is the slave who ought to be compensated. The property of the South is by right the property of the slave. . . ."
Some land was expropriated on grounds the taxes were delinquent, and sold at auction. But only a few blacks could afford to buy this. In the South Carolina Sea Islands, out of 16,000 acres up for sale in March of 1863, freedmen who pooled their money were able to buy 2,000 acres, the rest being bought by northern investors and speculators. A freedman on the Islands dictated a letter to a former teacher now in Philadelphia:
My Dear Young Missus: Do, my missus, tell Linkum dat we wants land - dis bery land dat is rich wid de sweat ob de face and de blood ob we back. . . . We could a bin buy all we want, but dey make de lots too big, and cut we out.
De word cum from Mass Linkum's self, dat we take out claims and hold on ter um, an' plant um, and he will see dat we get um, every man ten or twenty acre. We too glad. We stake out an' list, but fore de time for plant, dese commissionaries sells to white folks all de best land. Where Linkum?
In early 1865, General William T. Sherman held a conference in Savannah, Georgia, with twenty Negro ministers and church officials, mostly former slaves, at which one of them expressed their need: "The way we can best take care of ourselves is to have land, and till it by our labor. . . ." Four days later Sherman issued "Special Field Order No. 15," designating the entire southern coastline 30 miles inland for exclusive Negro settlement. Freedmen could settle there, taking no more than 40 acres per family. By June 1865, forty thousand freedmen had moved onto new farms in this area. But President Andrew Johnson, in August of 1865,
restored this land to the Confederate owners, and the freedmen were forced off, some at bayonet point.
Ex-slave Thomas Hall told the Federal Writers' Project:
Lincoln got the praise for freeing us, but did he do it? He gave us freedom without giving us any chance to live to ourselves and we still had to depend on the southern white man for work, food, and clothing, and he held us out of necessity and want in a state of servitude but little better than slavery.
The American government had set out to fight the slave states in 1861, not to end slavery, but to retain the enormous national territory and market and resources. Yet, victory required a crusade, and the momentum of that crusade brought new forces into national politics: more blacks determined to make their freedom mean something; more whites—whether Freedman's Bureau officials, or teachers in the Sea Islands, or "carpetbaggers" with various mixtures of humanitarianism and personal ambition—concerned with racial equality. There was also the powerful interest of the Republican party in maintaining control over the national government, with the prospect of southern black votes to accomplish this. Northern businessmen, seeing Republican policies as beneficial to them, went along for a while.
The result was that brief period after the Civil War in which southern Negroes voted, elected blacks to state legislatures and to Congress, introduced free and racially mixed public education to the South. A legal framework was constructed. The Thirteenth Amendment outlawed slavery: "Neither slavery nor involuntary servitude, except as a punishment for crime whereof the party shall have been duly convicted, shall exist within the United States, or any place subject to their jurisdiction." The Fourteenth Amendment repudiated the prewar Dred Scott decision by declaring that "all persons born or naturalized in the United States" were citizens. It also seemed to make a powerful statement for racial equality, severely limiting "states' rights".
Excerpted from [A People's history of the United States](#)
- **1.** Libcom note: John Brown was an American abolitionist who attempted to lead a violent uprising against slavery. |
Long term spatio-temporal modeling for action detection
Makarand Tapaswi* Vijay Kumar* Ivan Laptev
Inria Paris
Abstract
Modeling person interactions with their surroundings has proven to be effective for recognizing and localizing human actions in videos. While most recent works focus on learning short term interactions, in this work, we consider long-term person interactions and jointly localize actions of multiple actors over an entire video shot. We construct a graph with nodes that correspond to keyframe actor instances and connect them with two edge types. Spatial edges connect actors within a keyframe, and temporal edges connect multiple instances of the same actor over a video shot. We propose a Graph Neural Network that explicitly models spatial and temporal states for each person instance and learns to effectively combine information from both modalities to make predictions at the same time. We conduct experiments on the AVA dataset and show that our graph-based model provides consistent improvements over several video descriptors, achieving state-of-the-art performance without any fine-tuning.
1. Introduction
Understanding human actions involves analyzing how a group of people interact with each other over a period of time. People are often motivated by a goal, and their actions at any time may depend on their previous actions as well as actions of other people around them. For instance, a person entering their home usually follows this sequence: first opens the door, enters, and then closes it; actions such as handshake or kiss require two people; or in a conversation where someone is talking, other people are (hopefully) listening. Fig. 1 presents how a scene between two characters evolves over time. We see that a woman enters the kitchen, prepares a drink and walks along with a man before sharing a drink.
The range of human activities is fairly complex and is best presented as a hierarchy. In particular, atomic actions [11] such as simple body movements or object manipulation (e.g. pour water) are composed to create complex activities that are often described using the goal (e.g. bake a cake). We are interested in studying the interplay between people performing such atomic actions as they are a fundamental aspect of visual understanding. In particular, we are interested in analyzing actions from three categories: person movement such as stand or walk; person-object manipulation such as carry (an object) or text-using-a-cellphone; and person-person interactions such as hug or listen-to. We study atomic actions performed by characters in videos obtained from old films.
Modeling context has an important standing in visual recognition tasks for both humans and machines [35, 47]. For example, in scene understanding, evidence of a car can help disambiguate the presence of a sidewalk [37], or presence of a blue sky may indicate that the foreground object is an airplane or a bird [7]. Classically, context has been modeled with Conditional Random Fields (CRFs) [23], but in the past few years, we see a transition towards simultaneously learning feature representations [69]. A variety of neural architectures that operate on graph structures, Graph Neural Networks (GNNs) [19, 29, 59, 62] have been introduced. A typical GNN initializes latent state vectors for each of its nodes and performs several steps of message propagation before producing node-level or graph-level outputs.
In this paper, we propose to jointly infer the actions performed by several people at multiple time steps with graph neural networks. We explicitly model the interactions between people appearing in a single frame and the evolution of actions for each character within a video shot (consecutive frames from the same camera). A video shot is decomposed into a graph. Each node corresponds to a short temporal segment (typically one second) for each person, and edges between these nodes represent their spatial (within keyframe) and temporal (across keyframe) relationships. We propose a novel graph message passing mechanism to encode different contextual information through explicit separation of hidden states. Our model analyzes and makes predictions for all characters in the shot, typically ranging from 2 to over 10 seconds.
Compared to existing works that model short-term interactions with graph networks (e.g., [68, 2]), our approach has following benefits. Our method jointly predicts actions performed by all people in a video shot as opposed to predictions for single person/keyframe from an arbitrarily long video input (LFB [57]) or fixed 3-sec clips [8, 10, 49]. This allows us to better model interactions and leverage long term context as opposed to short term relations. Our model is a unified framework that properly integrates both spatial and temporal context into a single graph as opposed to separate networks in [68]. To the best of our knowledge, shot-level joint prediction of multi-person actions in a unified graph framework has not been attempted before.
In summary, we make the following key contributions: (i) we propose a novel method for jointly inferring actions performed by several people using Graph Neural Networks that incorporates spatio-temporal context (Sec. 3); (ii) we show that modeling and learning dependencies between people at the shot level learns long range patterns not available at the frame level; and (iii) we present thorough evaluation and ablation studies demonstrating consistent improvements for different feature backbones, achieving a new state-of-the-art performance on the challenging AVA dataset (Sec. 4).
2. Related Work
We survey related works in action recognition, methods that perform spatio-temporal action localization on the Atomic Visual Actions (AVA) dataset, and those that incorporate context. We also review works that employ GNNs, especially in the context of action recognition.
Action recognition A very popular and broad field in computer vision is classifying and localizing human actions. The goal of action classification is to predict the action category of a short video clip typically of a few seconds (e.g., Kinetics [4], UCF-101 [42], HMDB-51 [21]). On the other hand, action localization is more challenging and aims at localizing each action instance either spatially [11], temporally [15] or both [56]. Early action classification methods employed handcrafted video descriptors [24, 51]. However, in recent years, deep convolutional neural networks (CNN) that learn spatio-temporal patterns either with two streams for appearance and motion [8, 40, 52], or with an end-to-end 3D CNN [4, 48, 60, 8] are showing improvements in performance.
Previous methods on action detection estimate temporal boundaries directly [66], refine temporal proposals [61], or produce tracklet/frame level predictions with a post-processing module [41]. Spatial localization is achieved by detecting actors with stand-alone person detectors [8, 49] or with region proposal network (RPN) modules [9, 10, 11] in an end-to-end CNN architecture.
Methods on AVA Existing approaches on spatio-temporal action localization such as [9, 10, 11, 44, 49, 64] extend state-of-the-art video classification networks (e.g. 13D, often pre-trained on Kinetics [4]), for spatial localization. The typical pipeline consists of a CNN backbone that generates spatio-temporal feature maps, an actor proposal network to detect and generate actor tubes, a region-of-interest (ROI) pooling layer to extract actor features from the shared feature maps, and a final 3D tail network to classify these tubelet features.
Gu et al. [11] use 13D head (up to Mixed_4e) to make predictions without an 13D tail, while features are pooled and passed on to another CNN block in [9]. Improved tubelet linking algorithms are proposed in [26, 28]. Recently, long-range patterns in videos are exploited by creating a feature bank [57], or appearance and motion cues are modeled effectively with a two stream architecture that operates at slow and fast frame rates [8]. Our work is complementary to these as we focus on joint modeling of spatio-temporal relations between multiple people using features from pre-trained models.
Modeling context Group activity recognition in videos has gained interest in recent years [58]. Previous work in this direction jointly estimates the correlation matrix with multi-label training for individual persons [18] or uses generative models [70] to reconstruct the scene and estimate group activities. A probabilistic soft logic is also used by [52] to express actions performed by a group, where Hinge-loss Markov Random Fields are used to reason over them.
Another interesting direction in action recognition models interactions between people and objects appearing in the scene [10, 44, 49, 55, 17, 34, 16]. In the absence of object level annotations, Actor Centric Relation Network [44] considers each cell in the feature map as a potential object. The joint representation of people and objects is then used
Figure 2. Normalized label correlation heat maps between atomic actions from the AVA dataset. Darker colors indicate higher correlation. From left-to-right: (a) **Within Box**: explores correlations in the multi-label setting; (b) **Within Frame**: explores actions that are performed simultaneously; (c) **Within Shot**: presents longer temporal correlations between actions by the same character. Please see the supplementary material for all actions. Best viewed on screen.
to learn interactions. More sophisticated attention modules are employed to learn such relations by Girdhar et al. [10] or Ulutan et al. [49]. Treating box proposals as queries and shared feature maps as a memory bank, a (self-)attention scheme is employed to update proposal features based on the context information containing other people and objects in the scene. Biswas et al. [7] combine a recurrent network on scene features with a graph neural network to model inter-person relations, however, predict actions at only one timestep. Our work is related to these approaches, but we operate on long-term spatio-temporal contexts.
**Graph neural networks** The basic idea in graph networks is to iteratively update the hidden representation of each node based on the aggregated information propagated from its neighborhood. Many variants of graphs networks exist in the literature that differ primarily on how the information is propagated between nodes. Node states are updated using convolutional [20] or recurrent feed-forward [29] operations on its neighborhood. Attention mechanism is also used to weight incoming messages [50].
Graph networks have been successfully applied for many computer vision tasks including image captioning [65], visual question answering [46], situation recognition [27, 43], and action recognition [38, 39, 54, 63, 68]. To recognize human actions using skeletons, spatio-temporal graphs learn the relationships between human joints in space and time [38, 39, 63]. Recurrent networks have also been applied on a graph for action forecasting by modeling spatio-temporal relations [45]. Graph (or tree) structures have been used to: discover a hierarchy of body structures for understanding actions [33]; model object-object interactions by encoding their spatial extent [14], or model human-object interactions through factors [16].
Perhaps most similar to our work, Zhang et al. [68] also use a graph to model spatio-temporal relations between people. Their model (a) predicts actions in a single keyframe; (b) involves a Graph Convolution Network that computes actor representations inside a 3 second window; and (c) features a separate attention-based model for person-person and person-object interactions. In contrast, we present a unified framework that (a) jointly infers actions of all actors in a video shot, (b) updates GNN states using a gated recurrent model (GRU), (c) uses dense temporal connections, and (d) effectively combines spatial and temporal information through a modified message passing mechanism.
### 3. Modeling Spatio-Temporal Context
We begin this section by motivating our idea based on correlations in the AVA dataset. Sec. 3.1 introduces notation and discusses how we link person detections across time. Our graph-based approach to model spatio-temporal context is presented in Sec. 3.2.
**Motivation** We are interested in modeling correlations between actions performed by multiple people in a video shot. To justify our goal further, we analyze correlations and dependencies among different action categories in the AVA dataset [11]. Within the multi-label setting (Fig. 2 left), people perform multiple actions simultaneously. For example, *driving* and *answering* the phone, or *lying/sleeping* and *texting* have high correlations. Similarly, different people often perform the same (*swim*) or complementary (*give* and *take*) actions within a frame (Fig. 2 center). When analyzing how actions of different people change over the long-term, we notice a strong diagonal indicating that most atomic actions last longer than one second (Fig. 2 right), sometimes for entire shot duration. We observe correlations between certain action sequences such as *enter* and *close* (*door*) or *sing*, *dance*, and *play musical instrument*.
Preliminaries Each video is divided into shots – contiguous frames captured from the same viewpoint. We denote person bounding boxes at a particular time $t$ within a shot as $\mathcal{B}_t = \{b^j_t\}_{j=1}^{J}$, where $J$ is the total number of boxes at time $t$. A feature encoding method $\Omega : \mathcal{B}_t \rightarrow \mathcal{X}_t$ (e.g. an I3D network [4]) is used to represent these boxes. Each person at any time $b^j_t$ is performing multiple actions denoted as $\mathcal{Y} \subseteq \{y_1, \ldots y_L\}$, $y_i \in \{0, 1\}$ where $L$ is the number of action categories. In contrast to most previous work [8, 9, 28, 57], our emphasis is on developing a model $\Phi : \mathcal{X}_t \rightarrow \mathcal{Y}$, independent of various feature backbones $\Omega$.
3.1. Linking people across time
Extending context to time requires linking person bounding boxes from the same character within a shot. Given person detections at every keyframe, we use a simple appearance based tracker to link them over time (spatial overlap may be used if detections are available at every frame). We perform tracking by associating high confidence person boxes across two consecutive keyframes successively. To learn appearance features, we train a deep Siamese CNN using the triplet loss [13] that ensures that images of the same person have a lower Euclidean distance as compared to images of different people. While training, we select a batch of person detections randomly, and compute the loss over hard positive and negative pairs for each anchor [13].
During inference, we first compute distances between all pairs of boxes in two successive keyframes and merge them in an online fashion. We solve the assignment problem using the Hungarian algorithm [22] (ensuring 1:1 mappings) and retain matches whose distance is lower than a threshold (chosen on validation set). Finally, the associated boxes are merged with active tracks while the unassociated boxes either create a new track or end an existing track.
3.2. Modeling context as a graph
Given person detections $\mathcal{B}$ at several keyframes in a shot and temporal links across these boxes, we construct an undirected graph $G = (\mathcal{N}, \mathcal{E})$. Each person detection is considered as a node, and we create two types of edges between them: (i) spatial edges are created between boxes (nodes) that appear in the same keyframe; and (ii) temporal edges connect boxes that correspond to the same person over time using the tracking described earlier. Note that these edges create fully-connected graphs in space and time respectively. Fig. 3 presents an overview of our method.
Graph Neural Network Each box (node) is associated with a localized video representation $\mathbf{x}_k \in \mathbb{R}^d$ (e.g. I3D), where $k = \{1, \ldots, |\mathcal{N}|\}$, and $|\mathcal{N}|$ is the number of boxes in the shot or nodes in the graph.
We initialize the hidden states of each node in $\mathbb{R}^D$ as
$$\mathbf{h}^0_k = \text{ReLU}(U(\mathbf{W}_{\text{init}} \mathbf{x}_k)),$$
where $\mathbf{W}_{\text{init}}$ embeds local region-pooled representation features $\mathbf{x}_k$ into the node state vector. Note that we expect the correlations between multiple labels associated with each box to be captured by this feature vector. Different from classical GNNs, we split the hidden state $\mathbf{h}^0_k$ into two parts: $\mathbf{h}^0_{k,C_s} \in \mathbb{R}^{D/2}$ is reserved to represent information from the spatial context ($C_s$), while $\mathbf{h}^0_{k,C_t} \in \mathbb{R}^{D/2}$ from temporal context ($C_t$).
**Message propagation** In the next step of the GNN, nodes create and send messages to their neighbors via a message propagation scheme for multiple iterations. Typically, each node of a GNN collects messages from all its neighbors. We modify this process to maintain separate spatial and temporal messages. In particular, the spatial and temporal messages accumulated by a node $k$ at the $p^{th}$ propagation step are
$$m^p_{k,C_s} = \frac{1}{|N_S(k)|} \sum_{i \in N_S(k)} W_S \cdot h^{p-1}_i,$$
$$m^p_{k,C_t} = \frac{1}{|N_T(k)|} \sum_{j \in N_T(k)} W_T \cdot h^{p-1}_j.$$
(2) (3)
Here $N_S(k)$ and $N_T(k)$ is the set of spatial and temporal neighbors of node $k$, and $W_S, W_T$ are linear layers that extract useful information to pass to the spatial and temporal neighbors respectively. We ignore writing biases for brevity.
Note that the messages are generated by utilizing the complete hidden states $h^{p-1} \in \mathbb{R}^{D'}$, thus allowing communication between spatial and temporal contexts.
As the temporal window considered for atomic actions is small (one second), we see that many actions persist over several keyframes (see Fig. 2 right). To model this behavior, we load the diagonal of $W_T$ with an identity matrix, as it encourages averaging state representations for the same person over time and empirically helps improve performance.
**State update** Node hidden states are updated using separate gated recurrent cells (GRU) [5, 29] for spatial and temporal contexts, whose parameters are shared at each node. They are concatenated to form the final state as
$$h^p_{k,C_s} = \text{GRU}_S(m^p_{k,C_s}, h^p_{k,C_s}),$$
$$h^p_{k,C_t} = \text{GRU}_T(m^p_{k,C_t}, h^p_{k,C_t}),$$
$$h^p_k = [h^p_{k,C_s}; h^p_{k,C_t}].$$
(4) (5) (6)
Message propagation and update steps are performed $P$ times.
**Computing action predictions** We use a combination of initial $h^0_k$ and final hidden states $h^P_k$ to allow the model to effectively predict actions that do not need spatio-temporal context (*e.g.* work on a computer) along with actions that benefit from such context (*e.g.* hug a person). This also follows studies on including residual connections in graph networks [3]. We combine the states and max-pool across spatial and temporal cues to obtain final node representations
$$\phi_{k,C_s} = W^P_S(h^P_{k,C_s} + h^0_{k,C_s}),$$
$$\phi_{k,C_t} = W^P_T(h^P_{k,C_t} + h^0_{k,C_t}),$$
$$\phi_k = \max(\alpha_S \cdot \phi_{k,C_s}, \alpha_T \cdot \phi_{k,C_t}).$$
(7) (8) (9)
Here, $\alpha_S = \sigma(W^{\text{attn}}_S \phi_{k,C_s})$ and similarly $\alpha_T$ are self-attention factors that trade-off importance of spatial and temporal cues, and $\sigma(\cdot)$ is the sigmoid function. Finally, the joint node representation $\phi_k$ is passed through a linear classifier to obtain a probability for the presence of label $l$,
$$p_{lk} = \sigma(W^l_{\text{cls}} \phi_k),$$
where $W^l_{\text{cls}} \in \mathbb{R}^{D}$ is a linear classifier for each label $l = \{1, \ldots, L\}$.
As mentioned before, we are primarily interested in learning the mapping $\Phi$ from feature to label space. To prevent overfitting, we apply dropout after computing the initial and final states $h^0_k$ and $h^P_k$. We also balance the GNN messages by applying LayerNorm [1], and ensure that the $\ell_2$ norm of the hidden states does not decay at each step of propagation.
**Loss function and class weights** As each person box is associated with several actions, we use the Binary Cross-Entropy loss to train our model. The loss is computed simultaneously on all nodes of the graph
$$L = \frac{1}{L \cdot |N|} \sum_{k=1}^{|N|} \sum_{l=1}^{L} \alpha_l \cdot y_{lk} \cdot \log p_{lk} + (1 - y_{lk}) \cdot \log(1 - p_{lk}),$$
(11)
where $\alpha_l$ are weights used to balance the positive instances ($y_{lk} = 1$) against the negative, $y_{lk}$ is ground-truth indicating whether box $k$ is performing action $l$, and $p_{lk}$ is the predicted probability. We set $\alpha_l = \max(1, \log(|D_l|/|D_l|))$ where $|D|$ is the total number of training samples, and $|D_l|$ is the number of samples where action $l$ is observed ($y_{lk} = 1$).
**Action detection inference** The joint probability of a person $k$ with detection score $p_{\text{det},k}$ performing an action $l$ is $p_{lk} \cdot p_{\text{det},k}$. We find that simply multiplying the two scores performs better than selecting detections based on some threshold. This approach is used to compute evaluation metrics for all methods.
### 4. Experiments and Results
We first present a short overview of the dataset, followed by some implementation details. Results and discussions on a variety of ablation studies, comparison against state-of-the-art, and qualitative results are included thereafter.
#### 4.1. AVA dataset
We evaluate our model on the “Atomic Visual Actions” (AVA) benchmark [11] for multi-person, multi-label spatial action localization. The dataset consists of 430 15-minute movie clips sourced from YouTube, and is split into 235 train, 64 validation and 131 test videos. Annotations
are available at one second intervals for all people in the keyframes. Each person is annotated with multiple action labels concerning their pose and interactions with other people and objects. The annotations also include person identifiers (ID)\(^1\) that associate boxes within a short time interval. We follow the standard evaluation protocol and predict actions at every one second interval on 60 classes. Performance is reported using mean average precision (mAP) with an IoU threshold of 0.5.
### 4.2. Implementation Details and Context-free Baseline
**Shot detection** We perform shot detection on the videos by computing the displaced frame difference [67], and using a simple threshold. Examples of shots are provided in the appendix. While we detect most hard cuts (abrupt changes in viewpoint), dissolves and slow fades that are popular in older movies are missed. Nevertheless, as temporal links across such missed detections are unlikely (due to differences in appearance), the graphs are disconnected and do not suffer from misinformation.
**Clip representations** Our method is complementary to approaches that train or fine-tune deep CNNs [8, 9, 10, 26, 28, 57] on the AVA dataset. Specifically, we demonstrate that our model effectively captures spatio-temporal context for various representations. We evaluate our method on several features extracted from publicly available models: (i) **pre13D**: an I3D model, pre-trained on the Kinetics dataset [4]; (ii) **I3D**: a model fine-tuned on AVA, provided by Ulutan et al. [49]; (iii) **ACAM**: an I3D model that has been extended to incorporate scene context via attention [49]; and (iv) **SlowFast**\(^2\): a state-of-the-art video representation model fine-tuned on AVA [8].
We extract a box feature \(x_k\) using 3D CNNs that implicitly analyze durations longer than a single frame. For models based on I3D, we follow [49] and represent the video clip around the keyframe using I3DHead. We compute box representations by ROI-Pooling these video features followed by an I3DTail. To each box feature, we append a max-pooled frame representation to capture global frame context. For SlowFast, we extract features from the second-last layer, and use ROI-Align to represent boxes. We notice that SlowFast box features do not see additional benefits from scene context.
As we will show, our model is able to achieve consistent improvements in performance without requiring heavy computational efforts of further fine-tuning the backbone CNNs. Training our model only takes a few hours on a single Titan-X GPU.
**Person detection** For a fair comparison, we use person detections provided on the AVA dataset by Wu et al. [57]. The detector is a Faster-RCNN model [36] with ResNeXt-101-FPN [30] backbone pre-trained on ImageNet [6] and COCO [31] datasets and fine-tuned on AVA bounding boxes. The detections achieve 93.9AP @0.5IoU on the validation set [57]. We extract features on the predicted person boxes and use them for evaluation as well as training. For each ground-truth box, we assign its label to a predicted detection with highest IoU overlap. This ensures that bounding boxes are consistent across train and test.
**Temporal linking of person detections** We fine-tune a ResNet-50 [12] CNN to compute feature representations for person boxes in consecutive frames. The input is a person detection crop resized to \(160 \times 80\). The embedding layer has an output dimension of 128, and is obtained through a linear layer after the global average pooling. We adopt hard-negative mining within a batch for computing the triplet loss, and use a margin of 0.5 [13]. We fine-tune the CNN with the Adam optimizer for 25 epochs, a batch size of 50, an initial learning rate of 0.0002 decreased by a factor of 0.1 after 15 and 22 epochs. While linking, we associate only those boxes that have a similarity score greater than \(\tau = 0.35\). Our temporal links on the AVA validation set obtain 96.4% precision and 73.5% recall.
**Context-free baseline** As a baseline that does not use any context, we propose to use a two-layer perceptron (MLP) to predict the actions performed by each person independent from one another. Specifically, for any box with feature \(x_k\), we compute the probability for action class \(l\) as
\[
p_{lk} = \sigma(W^l_{cls} \cdot \text{ReLU}(W_{box} x_k)) .
\]
(12)
**Action detection** Both the MLP and our model use a hidden dimension of 512. We use a batch size of 50 for the MLP corresponding to 50 individual person detections, while a batch size of 5, corresponding to all people appearing in 5 video shots is used for the Spatio-Temporal GNN. During training, we construct batches with video shots limited to a maximum duration of 10 seconds. However, our model can be applied on entire shots at test time. We find that the number of GNN propagation steps \(P = 2\) works well for our task. We train the models for 250K iterations with SGD, a learning rate of 0.01, and adopt multi-step decay by a factor of 0.1 after 150K and 200K iterations. We implemented our model in PyTorch and will release the code and shot boundaries.
**Computational costs** We report wall clock time for our Pytorch 1.0.1 implementation on an Intel(R) Xeon(R) CPU E5-2650 v3 @ 2.30GHz and a GTX Titan X (12 GB RAM)
GPU. One training epoch takes roughly 200s (50s to load pre-computed features and 150s for the forward and backward passes). During validation, our model loads necessary features and computes predictions over all graphs in about 27s, averaging ~3ms for each video shot (graph).
4.3. Results: Ablations and Comparisons
We conduct several ablation studies to justify the proposed modifications to GNNs. We also show improvements obtained at various levels of contextual information. *GNN Spatial* (GNN-S) considers inter-person interactions in one keyframe (a 3s feature extraction window); *GNN Temporal* (GNN-T) considers long-term temporal context across the entire video shot; and *GNN Spatio-Temporal* (GNN-ST) considers both within-keyframe and across-time contexts. Unless mentioned otherwise, all the ablation studies are conducted with SlowFast features [8] on the AVA v2.1 validation set. Finally, in this section, we compare our model against state-of-the-art and present some qualitative results.
**Learning details for AVA** In Table 1, we show the impact of two modifications that improve performance for both the baseline and our final model (GNN-ST). We adopt both these modifications for all following experiments.
(i) **Det*Act**: Person detections are often filtered using a low threshold to obtain a high recall on action detection. However, we noticed that such low confidence boxes present varying action scores that degrade overall performance. While [8, 57] only keep detections $> 0.9$, computing a joint detection and action probability provides a considerable performance improvement. (ii) **PosW**: refers to the class balancing weights for the positive class ($\alpha_1$) in the loss function. As the dataset is highly imbalanced, we observe noticeable improvements using the weights during learning.
Table 1. Ablation study showing the impact of learning details that improve both our baseline and proposed model.
| Det*Act | PosW. | MLP | GNN ST |
|---------|-------|-------|--------|
| - | ✓ | 27.19 | 28.31 |
| ✓ | - | 26.46 | 28.88 |
| ✓ | ✓ | 28.13 | 29.61 |
**Effect of propagation steps** Our GNN models propagate messages and update hidden node representations $P$ times. We study the effect of $P$ on our models in Fig. 4. Since our graphs are fully connected in both space and time, we observe that $P = 2$ is a good choice.
**Variations in the GNN architecture** We perform experiments to measure the impact of edge connections and separate hidden state representations for spatial and temporal contexts (see Table 2). Comparing row 2 with row 5 suggests that having separate hidden states (spatial and temporal) that are combined through attention is beneficial. In fact, without this separation, we see that temporal context dominates spatial, and they do not complement each other (Table 2 row 2 is comparable to Table 3 row 3). Furthermore, the obtained benefits are not merely due to the increased model capacity (Table 2 row 3, $2D$ has twice the capacity). Secondly, fully connected temporal edges help improve message flow compared to connections between adjacent nodes (see Table 2 rows 1 vs. 2, and 4 vs. 5).
**Consistent improvement across features and detections** The first set of columns in Table 3 presents results using alternative feature backbones with person detections provided by Wu et al. [57]. The second set of columns shows performance with ground-truth detections. The last column reports results for AVA version v2.2.
Table 4. Ablation study with SLOWFAST features showing the performance improvement for each action group defined by the AVA dataset. Numbers indicate mAP (%). The last column corresponds to numbers shown in Table 3.
| Model | Pose | PObj | PPer | Overall |
|------------------------|--------|-------|-------|---------|
| 1 MLP | 48.76 | 19.46 | 28.75 | 28.13 |
| 2 GNN Spatial | 49.41 | 19.61 | 29.94 | 28.65 |
| 3 GNN Temporal | 50.17 | 20.10 | 29.99 | 29.09 |
| 4 GNN Spatio-Temporal | **50.99** | **20.25** | **31.03** | **29.61** |
Across the rows of Table 3, we compare our models against the MLP baseline. Note that the results indicated in MLP match their original papers. Rows 2 and 3 show the benefits of spatial and temporal context as compared to the MLP and indicate that long-range temporal context outperforms spatial context within a keyframe. Row 4 shows that our model effectively combines the two contexts to achieve a consistent 1.5–1.8% absolute gain in mAP, on a variety of features and detections.
**Person-person interactions see largest improvement**
The action labels in the AVA dataset stem from three main categories: (i) Pose groups actions related to person pose, (ii) PObj groups actions related to person-object interactions, and (iii) PPer groups actions related to person-person interactions. We present improvements by our models in each of these three categories in Table 4. Overall, we observe larger improvements for person-person (+2.3%) and person-pose (+2.2%) action classes, and less gain for person-object actions (+0.8%). This is consistent with our expectations since our model is specifically designed to handle multi-person actions and interactions performed in groups, e.g. martial art.
The number of training samples differs greatly for classes from the AVA dataset – few hundred to hundreds of thousand instances. We observe higher gains for classes with more training samples, i.e. +2% on average for classes with >1K samples vs. +0.9% for others. This further indicates the potential for improvement if our model is trained with additional data, for example, using the recently released annotations on the Kinetics dataset, AVA-Kinetics [25].
**Structured Model [68]** Previous work on using context works within a 3-second window. Actor representations are obtained by pooling features within that window, and action predictions are made by attending to other people and objects in the keyframe. As the code for [68] is not available, and owing to differences in detections and backbones, we are unable to reproduce results. [68] is comparable to GNN Spatial (Table 3 row 2) that also uses temporally pooled features, followed by message passing on nodes within the keyframe. Different from [68], the goal of our paper is to incorporate long-term temporal context over the course of a video shot.
**Shot duration** To analyze whether our model truly benefits from long-term context, we separate shots based on their durations into two groups: short (1-5s) and long (6-10s). Table 5 shows the difference in performance between several pairs of models, i.e. the gain in performance for GNN Spatio-Temporal against the MLP baseline is 2.1% for longer shots, and 1.27% for shorter ones. Across all models, we see that modeling long-term context in shots with multiple keyframes shows higher improvement.
**Performance on ground-truth boxes** The quality of person detections play a large influence in action detection performance on the AVA dataset. While we use detections provided by Wu et al. [57] for a fair comparison, we also presented results on ground-truth detections in the last two columns of Table 3. A large gap between results with ground-truth (GT) vs. predicted boxes hints towards the complexity due to localization.
In Table 6, we further analyze the influence of our automatic tracking method. In particular, our approach results in reliable tracks as we see negligible differences in performance while using ground-truth or automatically predicted tracks.
**Per-class accuracy** We show the performance improvement for each action label as a bar graph in Fig. 5. In TaFigure 5. Per class performance comparison between the MLP and our GNN Spatio-Temporal model. Columns are sorted and categorized based on AVA action groups: person-object interactions, person-person interactions, and person-pose related actions.
Figure 6. Keyframes with action labels bend/bow, play musical instrument, and hug a person where our GNN Spatio-Temporal model is able to use the context to achieve a better prediction rank (see discussion). Note that we present the improvement in rank for a single action, for a single person to improve clarity. Our models predict all actions of all actors in the video shot at once.
Table 7. We list the top 5 actions that benefit most with different kinds of context. Our spatial model benefits from the presence of other people in the scene performing similar (martial art) or complementary actions (listen to). For our temporal model, we observe improvements for actions that last longer (e.g. sing, play instrument), but also actions that follow a sequence (e.g. close (a door)). We see a combination of these factors help our spatio-temporal model.
Comparison with state-of-the-art
We report performance of our model with state-of-the-art (SOTA) approaches in Table 8. Different choices for CNN architectures and different detectors make direct comparison difficult in most cases. We also note that advances in video representation models (LFB [57] and SlowFast [8]) can benefit multi-label spatial action localization. While several methods [10, 44, 49, 68] have used context at varying degrees, most of them are limited to a short temporal span covered by modern 3D CNNs. When applied with features such as SlowFast [8] (28.2% v2.1, 29.0% v2.2), our model achieves a new state-of-the-art on the AVA benchmark (29.6% v2.1, 30.0% v2.2).
Table 8. State of the art comparison on AVA dataset. FRCNN: Faster RCNN [30] detections; RPN: region proposal network; Inc-V1: Inception-V1; NL: non-local network [53]; 2S: two-stream, S3D: gated separable 3D network [60]; GCN: Graph Convolutional Network [20]; GNN ST (Ours) is on features from SlowFast model trained on v2.1.
| Method | Backbone | v2.1 val | test | v2.2 val | test |
|-------------------------------|---------------------------|----------|------|----------|------|
| Single frame | FRCNN-R-50 | 14.7 | - | - | - |
| AVA | I3D, FRCNN-R-50 | 15.6 | - | - | - |
| Better Baseline | I3D Inc-V1, RPN | 22.8 | 21.9 | - | - |
| Deformable Tubes | 3D R-50, RPN, DTRN | 25.8 | - | - | - |
| LFB | 13D-R101-NL, FRCNN-101 | 27.7 | 27.2 | - | - |
| SlowFast Networks | SlowFast-R-101 8x8, NL | 28.2 | - | 29.0 | - |
| Methods that explicitly use spatial or temporal context |
| ACRN | S3D, R-50 | 17.4 | - | - | - |
| Action Transformer | I3D Inc-V1, Transf. | 25.0 | 24.9 | - | - |
| Recurrent Tubes | 2S VGG-16, LSTM | 21.9 | - | - | - |
| Structured Graphs | I3D-R50-NL, GCN | 22.2 | - | - | - |
| ACAM | I3D Inc-V1, FRCNN R-101 | 22.7 | - | - | - |
| GNN-ST (Ours) | SlowFast-R-101 8x8, NL | 29.6 | - | 30.0 | 29.9 |
Qualitative Results
We visualize some results from our models in Fig. 6. As the evaluation metric is mAP, we compare the rank at which a positive sample (when action is in ground-truth) appears for that class. We present ranks for the baseline MLP, and our models: GNN Spatial, GNN Temporal, and GNN Spatio-Temporal. Note that lower rank is better. The figure shows increase in rank for a single action and for a single actor to improve clarity, however, note that our models predict actions for all people over the entire video shot. Additional examples are in the supplementary material.
5. Conclusion
We presented an approach to jointly model and predict actions performed by several people in a video shot. In particular, a graph structure was used to represent person detections in keyframes, and fully connected spatial and temporal edges were used to model context. We presented a Graph Neural Network that explicitly models spatial and temporal contexts by tracking the states separately, performs a couple steps of message propagation, and produces outputs by effectively combining the contextual information. We performed experiments on the Atomic Visual Actions (AVA) dataset, achieving consistent gains in performance across multiple video descriptors and detection types, and set a new state-of-the-art on the dataset.
Acknowledgements This work was funded in part by the French government under management of Agence Nationale de la Recherche as part of the “Investissements d’avenir” program, reference ANR-19-P3IA-0001 (PRAIRIE 3IA Institute), the Louis Vuitton ENS Chair on Artificial Intelligence and the DGA project DRAAF.
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Table 9. Hyperparameters used in different stages of our model
| Pre-processing | Temporal linking | Action detection: Graph Neural Network |
|----------------|------------------|---------------------------------------|
| Shot detection threshold | Similarity threshold 0.35 | #Propagation steps 2 |
| | Training time 25 epochs | Training time 250,000 iterations |
| | Optimizer Adam | Optimizer SGD |
| | Scheduler ×0.1 at 15, 22 epochs | Scheduler ×0.1 at iter 150K, 200K |
| | Triplet loss margin 0.5 | # propagation steps (P) 2 |
| | | Graph hidden state (D) 1024 |
A. Hyperparameters
Table 9 presents a summary of all hyperparameters used in this work.
B. Qualitative Results
We present qualitative results for predicting actions using SlowFast features and ground-truth person boxes as we use detections from previous work. We compare the rank at which a positive (action is in ground-truth) sample appears for each class as the primary metric for evaluation is mean average precision. We present ranks for our baseline MLP, and all our models: GNN Spatial, GNN Temporal, and GNN Spatio-Temporal. Note that lower rank is better. As indicated in the main paper, note that our models predict actions for all people over the entire video shot, even if the figure shows increase in rank for a single action and for a single actor. This is done to improve clarity.
We show examples of success and failure cases for six classes from each AVA action group – Fig. 7 for person movement or pose classes; Fig. 8 for person-object interactions; and Fig. 9 for person-person interactions. Columns 1 and 2 show improvement in rank, while column 3 shows the failure cases where the rank increases. Most failure cases correspond to poor image resolution, presence of only a single person in the frame, or are often dominated by other action labels.
C. Data Insights
We present a few example shot boundaries and complete label correlation matrices that provide additional insights into the dataset used in this work.
Example shot detections. Fig. 10 shows example of shot detection on the AVA videos. In most cases we are able to detect the shot boundary precisely. The average shot duration is 5.46 seconds. We will release these annotations for future works.
In the figure, we show a temporal span of several YouTube videos (id indicated above), with keyframes that belong to the same shot. The temporal extent of each shot is indicated in seconds below it. The last row shows a failure case where a smooth dissolve makes it hard to find the abrupt cut transitions typically used to create video shots. Nevertheless, as our temporal links are unlikely to join these people across a failed boundary, we operate on spatio-temporal graphs that only span the extent of each shot.
Label correlations. Fig. 11 shows normalized correlations between labels from all classes. These are similar to Fig. 2 of the main paper that showed correlations between manually selected classes. We see a similar trend as before. Within box correlations show that multiple labels occur together simultaneously. Within frame correlations indicate that multiple people in a frame are likely to perform the same activity, except for a few classes such as give object to person, carry/hold, listen to, or talk to. Across two simultaneous frames, we see a very strong diagonal correlation, indicating that even though the actions are atomic (small and localized), they occur for more than 1 second (keyframe). Finally, we see a slightly weaker diagonal, and more cross-label correlations in the shot. For example, sit, stand, talk to, and watch all show correlations with almost all other classes in the dataset.
Figure 7. Example predictions for classes from AVA action group concerning **person movement or pose actions**. Each row shows: *bend/bow at the waist; dance; get up; jump/leap; sit;* and *swim* (from top to bottom). Columns 1 and 2 show improvements in rank (action probability scores) using our GNN Spatio-Temporal model, while the last column shows some failure cases.
Figure 8. Example predictions for classes from AVA action group concerning **person-object interactions**. Each row shows: *answer phone*; *cut*; *play musical instrument*; *smoke*; *pull an object*; and *read* (from top to bottom). Columns 1 and 2 show improvements in rank (action probability scores) using our GNN Spatio-Temporal model, while the last column shows some failure cases.
Figure 9. Example predictions for classes from AVA action group concerning **person-person interactions**. Each row shows: *hand clap; hand shake; hug a person; listen to; sing to; and talk to* (from top to bottom). Columns 1 and 2 show improvements in rank (action probability scores) using our GNN Spatio-Temporal model, while the last column shows some failure cases.
Figure 10. Example shot boundaries for few videos from the AVA dataset (YouTube video id indicated above the example frames). Each shot has the corresponding duration in seconds indicated below. Black separating lines are correctly detected examples, the red line is a dissolve transition, and is missed by our shot boundary detection approach.
Figure 11. Normalized label correlations between atomic actions from the AVA dataset. Darker colors indicate higher correlation. From left-to-right, top-to-bottom: (a) Within a box: explores correlations in the multi-label setting; (b) Within a frame: explores what actions people perform simultaneously; (c) Across two frames: explores local temporal correlations between actions performed by the same character; (d) Within a shot: presents longer temporal correlations between actions by the same character. Best viewed on screen, please zoom in to read the labels. |
May 2012
Showing the Way Out
Youth Support Partners Use their Personal Experiences to Support Other Youth
by Bruce Barron
On a pleasant spring day in suburban Pittsburgh, a young, relatively new staff member attempting to bond with a troubled teenager took the boy to a nearby ball field. At one point, when the boy smashed a ball over the fence, the two went into the woods to retrieve it.
In the privacy of the woods, the boy disclosed that he had once been sexually assaulted in that very spot. “And if you ever say anything about it,” he added, brandishing his baseball bat, “I’ll club you.”
It would be a tense moment for even the most seasoned worker. But what if the young worker himself had a long history of oppositional behavior and mental health problems? Would he be able to effectively address such a situation?
To that question, the Allegheny County Department of Human Services (DHS) has answered an emphatic yes. For three years it has employed young graduates of the DHS system as Youth Support Partners (YSPs), or peer-to-peer mentors and advocates for youth currently in the system. Other jurisdictions have placed one or two capable young adults in a similar role, but no other county in the United States has set up a whole unit of 15 YSPs.
It was a risky move into largely uncharted territory. But today these YSPs are becoming polished professionals, valued for their ability to connect with struggling young people in a way that conventional workers usually cannot. Along the way they are healing themselves and drawing on the lessons of their own painful pasts to make a unique impact on others’ futures.
No Map to Follow
The idea of using individuals with lived experiences as positive role models, even as professional staff, is not new. Alcoholics Anonymous relies on leaders who are in recovery; former gang members generally do the best anti-gang work. DHS successfully implemented a similar concept on a smaller scale, pairing youth in the behavioral health system with peer partners. The success of this earlier model was one of the key reasons that DHS decided to take the idea to the next level, working with youth in involuntary placement. But sending 20-year-olds in recovery from their own difficult past – with experiences including trauma, abuse, neglect or illness – into one-on-one meetings with difficult teenagers was still a daring proposition, partly because no one had done it before.
Once the agency committed to hiring YSPs as part of its implementation of the service model known as High Fidelity Wraparound, outside consultants were hired to provide staff training. Jacki Hoover of DHS’s executive staff recalls what happened during this training. “They had job descriptions for facilitators and coaches,” Hoover said of the training materials provided. “Then I turned to the YSP page and it was blank.”
When the first four YSPs were hired in November 2008, questions persisted. How would the YSPs be oriented to DHS and its various systems, what roles would they play with the young people, and would they be accepted within the culture of the child-serving system? How could these green employees make a good impression on colleagues who, just a few years ago, might have been their caseworkers?
Hoover and her colleagues started cautiously; the YSPs attended trainings, observed meetings, and completed special projects, but were not assigned cases for four months. “I wasn’t sure if it was going to work,” said Aaron Thomas, one of those first YSPs, “since they were paying us rather nicely and we weren’t doing anything. It seemed like we were putting a lot of time and effort into behavioral rehearsals.”
While the YSPs wondered if they had been hired just to make DHS look good, others criticized the decision to employ young people with limited professional backgrounds. A low point came when Hoover took a YSP to observe a meeting held to explain the principles of High Fidelity Wraparound to caseworkers. When the meeting shifted to an unpleasant discussion of the approaching contract negotiations, the YSP spoke up—and only provoked the workers further. “I had to ask him to be quiet, and he was very upset as we had been coaching him to use his voice,” Hoover recalled.
A key turning point came when DHS staff decided that the YSPs needed dedicated supervision by someone without other executive responsibilities. In October of 2009, Thomas was promoted to supervise his colleagues and Amanda Hirsh was hired as the full-time manager of the YSP unit. Now Hirsh oversees four supervisors who in turn manage the 15 YSPs.
“Through our administrative meetings, we realized that supporting the YSPs had to be a full-time job,” said Keith Solomon, who had initially supervised the YSPs along with his other duties in DHS’s executive office. “This was a group of young adults who had been through the system, with setbacks and personal life challenges, and were now taking on the responsibility of helping others, often in their first professional job. They needed more support than you would typically give to a group of professionals.”
Rising Above the Challenges
The YSPs have exhibited remarkable resilience, making effective transitions into professional roles and helping other young people to carve out a positive pathway for themselves, while continuing to address their own significant personal struggles. Here are a few of their stories.
Hazel calls herself a “chameleon” because she has passed through so many home settings. Placed in foster care at age three due to her mother’s drug addiction, she gave birth to her own daughter at age 14. An abusive relationship left her thinking that “every man was going to molest me.” She managed to graduate from Pittsburgh’s Carrick High School, and a classmate who had become a YSP in 2009 recruited her the following year.
“I know how it feels to have nobody to talk to you or show you another way so that you don’t follow your parents’ footsteps,” Hazel said. “I want to show other females a way out.” Her twin sister has chosen to follow Hazel’s footsteps, becoming one of the first YSPs in another Pennsylvania county.
James—the YSP who was threatened with a baseball bat—landed in residential treatment by age 14 due to extreme hyperactivity and defiance. He vividly remembers the case planning meeting at which, when he tried to object to negative comments about him, a therapist silenced him, saying, “You’re not allowed to talk.” After making it through high school in alternative education, he worked several years at a grocery store and was feeling a desire to do “something where I help people” when his mother, a social worker, told him that the county was looking for YSPs. (Incidentally, James responded calmly to the young man’s disclosure and went on to build a highly productive relationship with him.)
Tasha, raised by her grandparents because of her mother’s inability to provide adequate stability, says she was a YSP “unofficially” to her siblings as they fell into juvenile delinquency. She turned to “drink, drugs and guys” at age 16, but seven years later she had a spiritual awakening and “faced reality.” Now, at age 26, she has custody of her younger sister. “I saw myself living like my mother, and it was not good,” she said.
Initially told that she could not become a YSP because she had no direct personal experience in a child-serving system, Tasha protested vigorously and successfully. “I have a lot of experience,” she insisted—“CYF (Children, Youth and Families), juvenile probation, placement. I’ve been through it all with my siblings.”
Marvin, a YSP promoted to a supervisory position, didn’t meet his father until he was age 17. His mother moved out when he was three years old, and he was mistreated by a relative at a young age. Eventually, his paternal grandmother gained custody and helped him through college. After graduating, Marvin worked at a group home, becoming disillusioned by his belief that the facility was more interested in filling beds than in helping youth. Since joining DHS, he has completed a master’s degree and is now working toward a doctorate in organizational leadership. Eventually, he hopes to direct his own program for at-risk youth.
Clair, one of the original four YSPs, had a life-altering experience at age 12. Because her mother was dying of multiple sclerosis and was unable to care for her, she had to move from her comfortable rural home to an impoverished urban housing project. Shortly after her mother died, so did her father. She moved in and out of seven foster homes, some of them quite dysfunctional. Even while attending a local college and living in a dorm, she was virtually homeless during school breaks. Clair had just signed up for a court reporter training program when a youth advocacy organization told her about the YSP openings.
These five and the other YSPs share several common characteristics and goals: the resilience needed to enable them to move beyond their challenging upbringings, a burning desire to reach troubled youth and make a difference in their lives, and the desire to make the system better for those who come after them. Some continue to harbor anger toward the system while others feel that they were well served, but all believe that they can contribute toward better outcomes for the youth they encounter.
Respected
Not surprisingly, the YSPs are convinced of the value of their role (see sidebar), but in fact, plenty of independent corroboration supports their belief. Judges in the Allegheny County Courts’ Family Division who have observed YSPs in their courtrooms frequently request the involvement of a YSP in their cases involving adjudicated teens.
“The youth whom we see in court often have limited relationships with healthy adults who can empathize with their current situation, yet offer realistic, practical advice for having a healthy life,” said Administrative Judge Kathryn Hens-Greco of the Family Division. “Youth Support Partners take the time to connect with their youth, provide clear-sighted insights to the judge about the youth’s current needs, and, by their example, display a future path to the youth they mentor. The relationships between the YSPs and the youth they mentor are examples of the community we wish we all lived in, where the vulnerable are cared for in lasting relationships by those who have gone before them and successfully negotiated the treacherous path to healthy adulthood.”
Laurie Fowler Beckel has overseen the training and coaching of YSPs in several Pennsylvania counties as a credentialing coach for the state’s Youth and Family Training Institute. She said the value of YSPs is most quickly noticed “when youth in the system who have been silent are, thanks to the skillful support of their YSP, suddenly not so silent, so that the youth’s needs can be understood and the response to those needs can be much more effective.”
Some colleagues who had initially been skeptical of the YSPs’ capabilities now express appreciation for their effectiveness in communicating with and motivating their consumers. “The YSPs are tireless in their efforts to meet with youth,” observed CYF caseworker Zachary Stewart. “And the families immediately recognize that having these young people talking to their children is something different. For me, getting a monthly home visit in can be like pulling teeth, but when the YSP comes they don’t mysteriously fail to answer the door.”
Sometimes the admiration has gone awry; for example, other staff have asked YSPs to use the trust they have developed with youth to encourage them to reveal personal information. One colleague who suspected that a girl was engaging in prostitution asked Hazel to find out; she graciously declined, saying, “I like to get to know the person first.”
Steve Freas, facilitator/coach for a behavioral health provider that collaborates with DHS, said that the initial uncertainty about the YSPs’ role has given way to admiration. “It’s a problem when families don’t want to interact,” Freas stated. “[With the YSP] you have this person on your team who can share his or her story and sympathize with the youth’s lack of trust in providers and lack of support, but then say ‘give this team a try.’”
“I Want To Be Just Like Her”
Monique was one of those intractable youth. Fights with her mother led to CYF involvement with the family; when Monique refused to participate in meetings, she was labeled rebellious and spent most of the next four years in shelters and residential placements. “I used to hate CYF,” she said. “I couldn’t believe I was in the system.”
After Monique moved back home at age 15, her caseworker suggested getting her a YSP. Jen came into her life—at all hours. No 9-to-5 employee, Jen is known for sending late-night text messages to encourage her consumers.
“I never liked counselors telling me what to do when they haven’t been in my shoes,” Monique said. “But Jen knew what it was like to have problems at home or people turning against you.”
Monique credits Jen’s inspiration with helping her complete the Job Corps GED program, obtain her driver’s license, and get through a teenage pregnancy. Jen, a teen mother herself, helped Monique explore her options and accompanied her to medical appointments during the pregnancy. Jen and her supervisor even came to visit on delivery day, snapping photos that would soon grace the YSP office’s display board. Monique is now studying social work at a community college and wants to be a YSP someday. “I look at Jen,” she said, “and think I want to be just like her: young, motivated, and inspirational.”
Morgan, a 17-year-old whose home life was marred by addiction and sexual abuse, is now on Tasha’s caseload. “I never had stable relationships,” Morgan stressed. “Having someone I can trust can help me more than I can explain. There’s nothing that we don’t discuss.” Like Monique, she envisions perhaps becoming a YSP herself: “I’ve had a pretty messed-up life and I’m trying to turn it into something better to help people.”
The stories of YSPs’ dramatic impact on consumers share several common themes. Most notably, YSPs’ similar personal experiences enable them to empathize more effectively and build bridges of trust with the youth. In addition, YSPs sound authoritative when talking about the likely consequences of their behavior. Statements like “you can choose to act that way, but you will probably end up in placement or at Shuman” (Allegheny County’s juvenile detention center) come off as credible, not condescending, from someone who has been there himself.
Showing they’re professionals
There are some limits on a YSP’s relationship with the young people. YSPs explain during the initial visit that they are mandated reporters, meaning that they have to report certain types of information (e.g., sexual abuse) if they become aware of it. They also explain that their role is to help connect the youth to their own natural supports and to community resources, because the YSPs themselves cannot become a long-term fixture in each individual’s life. The YSPs’ goal is to help youth and their families actively participate in planning their futures and to increase their self-sufficiency so that they can handle future challenges more effectively and know where to turn for help.
Boundary setting is another important issue for YSPs, as they tend to identify so closely with their consumers’ struggles and to invest so much time and energy in the youth assigned to them. For help in this sensitive area, YSP unit members meet monthly with Walter Smith, a trained psychologist and Special Projects Manager at DHS, for clinical supervision and emotional support.
“YSPs will often say,” Smith explained, “that they are trying to help a consumer attend school more regularly or get up on time and that they are frustrated when the problems persist. I try to help the YSPs understand why the consumer is doing this and to become more accepting of the consumer’s struggle. You can’t be effective when you are angry and frustrated.”
Smith perceives that the YSPs are tempted to become overinvolved in trying to change the youth whom they serve. Ultimately, he noted, “consumers decide for themselves how much change they are going to make. Boundaries for helpers have to do with where our responsibility ends and the consumer’s responsibility begins.”
Smith also supports the YSPs in their sometimes difficult quest for acceptance by other professionals. “We have unwittingly designed our human service systems following the medical model, where the professional knows and the consumer doesn’t,” he said. “YSPs have the ability to remind us that there’s not a great separation between those who help and those who are helped.
“Psychiatrists, therapists and case managers tend to view themselves as knowing more than youth, and so YSPs’ voices are not heard as much as I would like. But they are at the table, speaking up and connecting with the youth’s concerns in ways that others cannot do. They are earning respect, and that itself is changing the system.”
**Clair:** I had a North Side girl assigned to me at age 11. She was overweight and her eyes were crossed. She would talk about how people called her names on the bus. I made this “comeback list” of positive, strength-based responses for her to use, things like “Thank you for acknowledging me.” After a while she started telling me that she had used the comeback list and it worked. Then it was time to focus on her weight, so we went to Giant Eagle, picked out all the things she liked to eat that were healthy, and created a list of things that her mom could cook. She used to go in the store and buy Twinkies; now it’s peanut butter and fruit cups. After two years with me she has lost weight, feels secure and can handle negative situations.
**Marvin:** I have a 15-year-old boy in whom I see a lot of similarities to myself. When I first met with him, for about three or four months this guy would not open his mouth. I’d say “hi,” he’d say “hi.” “How was your day?” “All right.” That was it. But as time went on, he opened up and now he tells me everything—so much that sometimes I say I wish we could go back to the old way! He’s actually expressing himself to his mom, to me, and to the judge. He’s about to get out of placement, so the big issue for him is to get reengaged at home without falling back into negative vibes. He went into placement for stealing. I used to steal, but he was pretty bad—stealing cars. I hope he has the right idea now.
James: I had a kid who started on cocaine at age 10. He told his psychiatrist at age 11, and the psychiatrist told him not to lie any more. So he thought service providers didn’t care. He made a comment that I picked up on, and when I confronted him he told me about his drug use. He knew that although our conversations are confidential, I had to report his drug use. I told him that he should be dead with the stuff he was using, it was extremely dangerous, and that I did not want to be a tattletale so he needed to come to the team meeting and say what he’d been using. It worked out nicely. He went through withdrawal for three weeks; after he sobered up, being extremely intelligent and a good writer, he was able to win a $3,000 scholarship to a summer writing camp. He loved it because he was sober and able to think again.
Tasha: I had a girl who was in placement for nine years and came home at age 15. She was very scared of the public, thinking everyone knew her story, not wanting to go to school. When we first got involved she would break out in a sweat whenever she had to go outside. I talked with her about why she felt that way, took her to various places, and saw an amazing transformation. I helped her so much that she became almost overly independent—taking a night class, learning by herself, making friends, getting a job at the Kennywood amusement park. What built the bridge to her was my being confident in myself, honest with her, and on her level. In placement there are a lot of kids and they don’t get to open up much about their individual needs. Calling her every week offered that consistency and gave her a voice.
We Are Family
The YSPs may have had rocky experiences with their birth families, but they have found a new family with their colleagues.
Drop in on a YSP team event and it doesn’t take long to realize that you’re among a community of professionals with tight emotional connections. The energetic, youthful culture (“Tell us your name and your favorite rap song,” supervisor Aaron Thomas asked one observer) is intertwined with a deep concern for each other’s personal and professional lives.
YSP supervisor/coach Marieke Johnson noted the stark contrast between this unit and the mental health setting where she previously worked. There, “I didn’t know my staff’s personal lives,” she said. “If someone was late for work four days in a row, I couldn’t ask what was going on—I could only give them the number for the Employee Assistance Program. One staff member had an ill mother, but I had no idea until she quit. Here, I still set boundaries with staff, but they know me and I know them.”
Tragedy and celebration have helped to knit the unit together. Colleagues know what’s happening in each other’s lives. They planned one team member’s wedding and comforted others when a parent passed away. They mourned together when a former YSP was gunned down in a drive-by shooting.
Staff changes have a particularly emotional impact on this tight-knit community. When a staff member was leaving the unit, Hirsh used to call an emergency meeting to announce the departure, but she asked for better ideas after seeing how traumatic the experience was for some staff. Now the YSPs are informed individually by their supervisors.
Happily, there has been minimal staff turnover. One reason is the thorough interviewing process, which includes role playing (usually with Thomas impersonating a troublesome youth) along with an exercise on prioritizing responsibilities. Passion for reaching youth is a valued credential, and candidates also need to show that they can take on emotionally demanding relationships and still take care of themselves when things hit close to home.
The YSPs come from diverse backgrounds and have much to learn from each other. This diversity is a definite part of the group’s success, as they share and have come to respect their different life experiences, cultures and vocabulary.
If anyone might have tested the YSP unit’s level of acceptance, it would have been James, a white man from the suburbs who admittedly lacked “street knowledge” and who readily shares his sometimes unpopular conservative values. But he has endeared himself to the group with unpretentious comments like “I don’t understand what you just said; I’m the white guy in the room.”
James won respect not just for his willingness to admit ignorance of inner-city slang but also through his openness to learning from his colleagues; now the inner-city dudes “have his back.” On one visit to a youth in a relatively high-crime neighborhood, he arrived early and, while preparing to exit his car, noticed a group of kids approaching. Unnerved, he phoned Thomas, who suspected that James had stumbled into a drug deal. “They’re checking you out. Hit the gas and go,” Thomas said. James did.
**Training, Training and More Training**
Training and supervision of YSPs is an extremely tricky process. The YSPs have to learn professional behavior, but they also have to relate to youth as peers. They can’t use slang in court, but they need to use it with the young people. (As Hoover commented: “They say things that would sound ridiculous if I said them, and that’s part of why they are here.”) Often they have to change clothes during the day, because business attire appropriate for office meetings would hinder their relationship-building with young people.
How does the YSP unit pull it off? “We wing it all the time,” Hirsh laughed. But joking aside, oversight of YSPs has become extremely structured. Extensive training and videotaped behavior rehearsals occur before YSPs gradually take on their own caseloads, which range from 12 to 18 youths. All YSPs complete DHS’s Family Development Credentialing process and learn to apply the principles and philosophies of High Fidelity Wraparound. YSPs receive “super-supervision,” in that both Hirsh and the direct supervisors meet with each YSP individually to review strengths and needs. Support from colleagues throughout DHS and partner agencies also plays a key role in supporting, educating and strengthening the YSPs’ work with youth and families.
Each incoming YSP has an individualized professional development plan, which can often be quite candid in stipulating agreed-upon areas of personal growth. One YSP’s plan included learning not to bite his fingernails. Improving grammar and writing effective case notes are other common goals. Another got her driver’s license and quit smoking (Having a license and a car within six months is now a requirement for all YSPs.) The always gregarious and talkative Tasha got a development plan with the acronym SOUL—silence, observation, understanding and listening.
But these clear expectations are accompanied by plenty of love. Recognizing that the YSPs need stability in their own lives in order to perform effectively, supervisors go beyond traditional boundaries to help staff shop for a car, select an apartment, file for a child support or protection from abuse (PFA) order, or practice for a driving test.
Two of the most important messages YSPs hear are (1) be honest and (2) no surprises, please. If unsure whether a supervisor needs to know something, they are instructed to share the information and let the supervisor help make the decision on the most appropriate way to handle the situation. Such directives reduce the risk that YSPs will make independent judgments that get themselves and their unit in trouble. Unit leadership consistently reinforces that the safety of staff and the youth served is the top priority.
“I thought there would be more challenges with young people so new to the workforce,” said Jeanine Rasky of the DHS executive office, to whom Hirsh reports. “They require unique supervision and life coaching. Our current success speaks to the quality of the YSPs, the supervisors, and Amanda. Amanda’s style of leadership offers a significant amount of structure, within which the supervisors then provide a level of flexibility. It is a good mix!”
Shannon Fagan, director of Pennsylvania’s Youth and Family Training Institute (YFTI), suggested that DHS’s decision to establish a distinct unit devoted to the development and supervision of YSPs has been integral to the program’s success, giving the young adults a chance to learn together about various aspects of career development.
Of course, a ratio of four or five YSPs to one supervisor/coach may seem expensive. Traditional human services workers may have a caseload of 30 or 40 youth, not the 12 to 18 assigned to YSPs. But YSPs “need much more than one supervisor for every eight or ten of them,” said Steven Freas. “They need reassurance when they are doing a good job.”
Marieke Johnson thinks the YSPs, with their entry-level salaries, are an economic winner: “They are helping to reduce the services a family needs by building up the youth’s natural support system. And they do a lot that’s not on the time sheet, like answering the phone at 9 p.m. when someone calls.”
**Shining Stars**
The YSP unit has become stable enough to take its show on the road. YSPs have been presenters at professional conferences around the country, and the YFTI has looked to Allegheny County as a model for other counties seeking, perhaps somewhat more cautiously, to hire youth in similar roles.
Tasha, who gave a presentation at a professional conference last year, commented afterwards, “People were amazed that Allegheny County was hiring people who had been in the system themselves. It shocked me because this seems so natural to me. That’s when I realized we need to take this across the nation. Start a YSP unit and give youth opportunities to give back, and you’re going to see change.”
Beckel, the YFTI consultant, has seen admiration for the YSPs conquer fears about the potential for problems caused by their youth and inexperience. “When I first met with the unit’s coaches, concerns about risk were predominant in the conversation,” she said. “But as we have developed a credentialing system that equips these young people to do their jobs well, conversation about risk has gone way down and conversation about what they are achieving with youth has gone way up.”
DHS’s bold move to create a whole unit of YSPs rather than hiring just a few may actually be a key factor in its success, because the unit’s size has made it easier to provide dedicated supervision, intensive training, and uniquely structured performance expectations, as well as to build a community of enthusiastic staff who reinforce each other’s passion.
From a system perspective, DHS is extremely proud of the YSPs’ performance and frequently highlights them during visits from dignitaries, such as foundation executives or Pennsylvania’s Secretary of the Department of Public Welfare. Their experiences, candor and eagerness to suggest new approaches and innovations have been instructive to fellow staff and have provided a fuller understanding of Allegheny County’s rapidly evolving youth culture.
“The YSPs have positively impacted our responsiveness to youth needs, permitting better results,” said DHS director Marc Cherna when describing them to his “Children’s Cabinet” advisory board. “Who better to teach us than those who have firsthand experience?”
The YSPs are also increasingly valued for their insights into the system itself. “They can bridge the gap between the youth currently in the system and those who are trying to help, but who never had the experience of being in the system and have no way of knowing what it is like,” said Patricia Valentine, DHS Executive Deputy Director for Integrated Program Services. “They have pointed out the impact of procedures and red tape on youth, or ways in which the system can demean youth without meaning to, treating them as though we expect them to be irresponsible.”
While others may remain incredulous that Allegheny County took the risk to hire and train so many YSPs, those within the unit frequently express amazement at the wonderful opportunity for which their difficult childhoods prepared them.
“When you take a group of former recipients of the system who have life experiences,” Clair declared, “and pair them up with youth from all different areas of life, they like us. They talk to us, because we understand youth culture and we understand them. It is so empowering for both of us. When I’m talking with that youth, it’s my therapy too. I am very passionate about this work and I wouldn’t trade it for the world.”
Rich Fitzgerald, Allegheny County Executive
Marc Cherna, Director, Allegheny County Department of Human Services
Allegheny County Department of Human Services • One Smithfield Street • Pittsburgh, PA 15222
Phone: 412.350.5701 • Fax: 412.350.4004 • www.alleghehnycounty.us/dhs |
EXERCISE OF PREPARATION FOR DEATH
By St. John Eudes (1601–1680)
Ten Days to an Optimal Approach to Your Own Mortality
EXERCISE OF PREPARATION FOR DEATH
By St. John Eudes (1601–1680)
Extracted from *The Life and the Kingdom Of Jesus: A Treatise on Christian Perfection for Use by Clergy or Laity*, Translated from the French by A Trappist Father in The Abbey of Our Lady of Gethsémani, P. J. Kenedy & Sons, New York 1947, Available at www.liberius.net
XVIII. PREPARATION FOR A HAPPY DEATH.
Death is usually preceded by such violent throes or intense weakness that the dying person is unable to direct his thoughts to God and cannot pay Him the homage owed to His divine majesty at that crucial time.
Therefore, it is extremely advisable to anticipate this disability by setting aside a few days each year to carry out now what one ought rightfully to render to God at the hour of death. St. Gertrude tells us that when she had once performed this exercise, Our Lord revealed that it was most pleasing to Him, and He promised to set aside her preparation and keep it for the day of her death. You should be confident that in His goodness He will give this grace to you also, if you make use of the same exercise. For this purpose it would be well to devote ten days to a series of ten meditations and spiritual exercises in preparation for a Christian and holy death. I now present them in due order, showing how they are to be carried out.
First Day
XIX. MEDITATION ON SUBMISSION TO THE DIVINE WILL.
1. O my Lord Jesus, behold me prostrate at Thy feet, adoring my Judge and Sovereign, as Thou dost pronounce on me the sentence of death, pronounced to Adam and in his person to all sinners, by, Thy words:
"Dust thou art, and into dust thou shalt return" (Gen. 3, 19). In honor of Thy exceeding great love and most profound humility as, prostrate upon the ground at Pilate’s feet, Thou didst hear and accept the sentence of death, spoken by the Roman Governor but willed by Thy Eternal Father, in
honor of and in homage to His divine justice, I submit with my whole heart to the sentence of death Thou didst pass upon me even at the beginning of the world, recognizing that I have deserved it not only by original sin, but each time I have committed sin.
2. O my God, I recognize that even if I were guilty of no sin, whether original or actual nevertheless, by Thy absolute sovereignty and power over me Thou couldst in all holiness take away my life, annihilate me and do with me as Thou wilt.
And so in honor of the very great love and in union with the deep submission with which the Blessed Virgin, Thy Mother, accepted death even though she was not obliged to die, by reason of any sin, original or actual, I, too, accept death in homage to Thy sovereignty, abandoning myself entirely into Thy hands, that Thou mayest dispose of me in time and in eternity, according to Thy holy will, for Thy greater glory.
3. O Jesus, Thou art eternal and immortal; Thou art the source of all life, and yet Thou dost will to die on the Cross the most cruel and ignominious of all deaths in homage to the justice and sovereignty, the divine and eternal life of Thy Father, and to give me a token of Thy love. And so, my Saviour, even if I were not obliged to die on account of my sins, and even if (to suppose the impossible) I depended in no way upon Thy sovereignty, and even indeed if Thou hadst not died for me in particular, I ought not only to accept death, but even to desire to die, in order to honor Thy holy death, which is so exalted and worthy of honor that all living creatures ought to subject themselves to death voluntarily even if they were not already obliged to die, in homage to the death of their Creator made Man.
But even if Thou hadst not died, O my God, all living things ought most willingly to sacrifice their very existence to pay homage to Thy supreme and eternal being, and to bear witness by this sacrifice that Thou alone art worthy to live, and that no other being or life has any right to show itself, but should be annihilated in Thy presence as the stars of heaven are extinguished in the light of the sun.
Thy death is so worthy of honor and homage, Thy life is most worthy to be adored. With excessive love Thou didst will to die, not only to satisfy the justice of Thy Father and to honor His sovereignty, but also to sacrifice
Thy human and temporal lift for the glory of the divine and eternal life with Thy Father and Holy Spirit. By this sacrifice Thou didst bear witness before heaven and earth, that there is none but the divine life alone that is worthy of existence, and all other created life, however noble and excellent, should be extinguished in the sight and in the presence of this supreme and uncreated life. Therefore, in honor of Thy death, in homage to Thy life, in union with the infinite love with which Thou didst thus will to die, for such great and divine intentions, and also in honor of the burning love with which Thy Blessed Mother and all Thy saints, especially Thy holy martyrs, embraced death with a very ready will for the same intentions, I accept and embrace death with my whole heart, in whatever form it may please Thee to send it to me, that is, in the place, time, manner, and under all the circumstances it shall please Thee to decree.
And so if Thou dost order me to die a painful or even a shameful death, or that I be left desolate and abandoned by all human help, or if I am to be deprived of the use of my senses and reason, provided Thou art always with me, Thy holy will be done. I desire to accept and embrace all this in honor of Thy most sorrowful and ignominious death, in honor of the unspeakable desolation Thou didst suffer on the Cross, abandoned even by the All-loving Father. I accept it in homage to the surrender of Thy senses Thou didst make in earliest childhood. I honor Thee in the humiliation Thou didst suffer, being treated as a madman by Thy own people, at the beginning of - the preaching of the Holy Gospel, and by Herod and his court during Thy Passion.
Finally, my Dear Jesus, I place myself entirely in Thy hands. I abandon myself so completely to Thy good pleasure that I no longer desire to have any other will or desire, save to let Thee will, desire and choose for me, in this and in everything else. Thou dost possess infinite wisdom and power and Thou hast a far greater knowledge and power and will to further Thy glory than I ever could have. One thing alone I beg of Thee, and it is that, since Thou didst die in love, by love and for love, if I am not worthy to die for Thy love or by that love, at least Thou mayest permit me to die in Thy dear love.
4. O my Jesus, I implore that, just as Thou didst perform all Thy actions and functions for Thyself and for all men, especially for Thy
children and friends, I may be permitted, in honor of and in union with Thy love, to perform all these actions and render unto Thee all due homage not only for myself but for all men, especially for all those for whom Thou knowest that I am both bound and anxious to pray with particular fervor.
O Mother of Jesus, surely it would seem that thou shouldst not have died, since thou art the Mother of the Eternal and Immortal Son of God, who is life itself! Yet thou didst willingly submit to death, in homage to the most adorable death of thy Son. Thus, thy death is so exalted and worthy of honor that all creatures ought to subject themselves to death by their own free will, in order to honor the death of their Sovereign Lady, the Mother of their Creator. Therefore, O holy Virgin, even if I were not obliged to die, I should, nevertheless, wish to accept death freely, and offer it to thee together with the death of each one who is dear to me, and of all mankind, in homage to thy most holy death. I most humbly implore thee, O Mother of Life, to unite my death to thine in honor of the death of thy Son and to obtain from Him the grace to die in His favor and in His love.
Second Day
XX. THANKSGIVING FOR ALL THE BENEFITS OF YOUR WHOLE LIFE.
After you have made the solemn act of acceptance, you should prepare for a holy death, first by thanking Our Lord for all the favors you have received from Him in your whole lifetime. And it is very wise to devote a day to this exercise as follows:
1. O Jesus, I contemplate and adore Thee as the principle and source of all good things and all temporal and eternal graces, past, present and future, in heaven and on earth, especially those I have received from Thee. I refer all these graces to Thee, for Thou art their source and Thy glory is their destiny. O Good Jesus, who could ever describe all the favors Thou hast done me? They are numberless and I am utterly incapable of thanking Thee for them as Thou dost deserve. O dearest Lord, may all that ever was, is, or shall be in me, may all earthly and heavenly creatures, all the angels and saints, Thy Holy Mother, Thy Holy Spirit, Thy Eternal Father, all the powers of Thy divinity and humanity, and all the graces and mercies which emanated from Thee, may all these be employed in praising Thee forever. May they be entirely transformed into everlasting praise of Thee,
of all that Thou art together with Thy Father, Thyself and Thy Holy Spirit, and of all the graces Thou didst ever impart to Thy sacred humanity, Thy Blessed Mother, the angels and saints, and all creatures, and especially the graces Thou hast given me, or would have given me if I had not stood in Thy way.
O Father of Jesus, Holy Spirit of Jesus, Mother of Jesus, angels of Jesus, Saints of Jesus, and all creatures of Jesus, bless and give thanks to Him for me forever. O Divine Jesus, do Thou glorify Thyself for me and return to Thyself a hundredfold all the thanks I ought to render to Thee.
2. O Good Jesus, Thou knowest how many favors and benefits I have received from Thy Blessed Mother, the angels and saints in heaven, and from many persons on earth. Thou knowest also how incapable I am of acknowledging them and giving thanks for them as I ought. And so I have recourse to Thee, imploring Thee most humbly to make up for my deficiencies and to give, on my behalf, to all those souls, both in heaven and on earth, all that I ought to render to them for the benefits I have received at their hands.
3. O Mother of Grace, Mother of my God, it is through thy intercession that I have received all the graces ever bestowed on me from heaven. May heaven and earth bless thee for them all, on behalf of myself and of all the thoughtless persons who have received favors from thee and give thee no thanks whatever.
Third Day
XX1 CONFESSION AND SATISFACTION.
Having set aside one day to thank God for all the graces He has given you in your lifetime, it is most necessary that you devote another day to ask forgiveness for your sins and to make satisfaction to Him. To that end, you ought on this day to make a good confession, either an extraordinary confession or one marked by unusual contrition and self-abasement, with as much care and preparation as if it were to be your last confession. The acts of contrition and other exercises for confession in «Part Two» will serve your purpose here also. Besides doing this, you would do well to set aside a little time during the day to meditate on this matter, in the presence of God, in the following way:
1. O Most Lovable Jesus, infinitely worthy of all service and love, to whom I owe debts without number, Thou didst create me only to love and serve Thee. Yet I have done scarcely anything but offend Thee by thought, word and deed, by all my bodily senses and spiritual faculties, by my misuse of Thy creatures, against all Thy commandments, in countless different ways. O what sins! What ingratitude! What betrayals! Lord Jesus, I cast all my offenses upon Thy divine love, into the abyss of Thy mercies. Grant that I may be utterly changed into sorrow and contrition, with tears of blood to detest and wipe out the sins I have committed against that immense Goodness, so deserving of love and honor! My God, what is there that I could ever do to make reparation for my sins? But even if I were to suffer all the torments and martyrdom in the world, I still could not of myself alone repair the insult given Thee by even the least of my faults.
2. O Good Jesus, I offer Thee instead all the glory, love and service given Thee by all the saints and Thy most Blessed Mother, by their holy thoughts, words and actions, by holy use of their bodily senses and their spiritual powers, by their eminent virtues and sufferings, in satisfaction for the failures of my lifetime. I offer Thee likewise all the honor given Thee forever by all the angels, by the Holy Spirit, by Thyself, and by the Eternal Father, in reparation for the dishonor I have given Thee all my life.
3. O Heavenly Father, O Holy Spirit, O ye angels and saints, offer up for me, to my Saviour, all the love and glory you ever gave Him, in satisfaction for the wrong I have done Him by my offenses.
4. Miserable sinner that I am, by offending my God I have offended all things. I have offended the Father, the Son, the Holy Ghost, the Mother of God, all the angels and saints, and all creation, for all are concerned and offended in offense to their Creator. How, O my God, how can I make reparation for so many offenses, make satisfaction to so many persons and pay off so many debts? I know what I will do: I have my Jesus who is in Himself an infinite wealth of virtues, merits and good works. He has been given me to be my riches, my virtue, my sanctification, my redemption and reparation. I shall offer Him to the Eternal Father, to the Holy Ghost, to the Blessed Virgin, to all the angels and all the saints in reparation and satisfaction for all the faults I have committed. O Holy Father, O Divine Spirit, I offer all the love and honor that my Jesus gave you by all His
divine thoughts, words and actions, by His divine employment of all the members of His body and of His soul, by all His glorious virtues and heroic sufferings, in satisfaction for all the offenses I have committed against you all my life long.
O holy Virgin, O holy angels, O blessed saints, I offer you my treasure and my all, my Saviour Jesus Christ. I conjure you to draw upon His infinite storehouse of merit whatever you require in payment and satisfaction for all the debts I owe you, by reason of my sins and negligences.
5. O my Jesus, my divine Redeemer, do Thou make reparation for all my faults, and by Thy very great mercy atone for all my sins committed against the Eternal Father, Thyself the Son, the Holy Spirit, Thy most Blessed Mother, the angels and saints and all persons I have offended. I give myself to Thee to do and suffer in atonement whatsoever may be pleasing to Thy holy will, accepting now all the sufferings of body or spirit that I may have to bear, whether in this world or in the next, in satisfaction for my sins.
6. O most holy Virgin, I have so many obligations to serve and venerate thee; yet I have so little honored and so greatly offended thee by offending thy Son! I beg thy forgiveness, O Mother of Mercy, and I offer Thee in satisfaction all the honor ever accorded thee in heaven and on earth. I implore all the angels and saints, the Holy host, thy Son, and the Eternal Father to supply for my deficiencies, and fill up the measure of glory I ought to have rendered to thee all my life long.
Fourth Day
XXII. HOLY COMMUNION.
Holy Communion is the most precious and effective means given you by God to render to Him all the honor and service you owe to Him. To prepare for a holy death, you should make a point of taking one day of this exercise to dispose yourself for an exceptionally well prepared Communion, marked by extraordinary devotion and approached with as much care and recollection as if it were to be your last. The exercise I drew up for Holy Communion, in Part Two of this book, will prove sufficient for this purpose, provided you use it profitably.
Let me merely tell you that you should offer this special Communion to Our Lord: 1. in honor of all that He is in Himself and towards You; 2. in thanksgiving for all the effects of His love for His Father and for all creatures, but especially for You; 3. in satisfaction for all the dishonor and pain given Him by all the sins of the world, especially by your own; and 4. for the fulfilment of the plans of His Divine Providence for all men, especially for you.
Offer yourself to the Eternal Father, begging Him to unite you with the surpassing love of His paternal heart when He received His Son Jesus Christ into His bosom on the day of the Ascension. Give yourself to Jesus and beg Him to unite you with the most ardent love and profound humility with which He instituted the Holy Sacrament of the Altar, on the eve of His death. Offer yourself to the Blessed Virgin, to St. John the Evangelist, to St. Mary Magdalen and St. Mary of Egypt, and all the other saints, praying that they may cause you to participate in the love and fervor, the humility, purity and sanctity with which they received Holy Viaticum.
After you have received Communion and made the usual thanksgiving to Our Lord with unusual fervor, adore His divine plans from all eternity for you. Beg Him to forgive all the obstructions you have ever placed in the way of their operation. Fervently beg Him not to let you die until He has completed the plans of His goodness and the work of His grace in your soul. Give yourself to Him with a great desire and mighty resolution to work manfully to consummate His work in you, and to destroy in yourself everything that might stand in His way, so that you may be able to repeat to Him, on the last day of your life, His words to the Heavenly Father On Good Friday: *Opus consuminavi quod dedisti mihi ut faciam*, I have finished the work which thou gayest me to do" (John 17, 4).
**Fifth Day**
XX111. EXTREME UNCTION.
You do not know whether you will be able to concentrate on God when you receive the Sacrament of Extreme Unction, (assuming that it may please Him to grant this grace). It would, therefore, be a good thing to devote the fifth day to acquit yourself of the obligations to Our Lord to this
holy Sacrament and to prepare for a meritorious reception of Extreme Unction.
1. O Jesus, I adore Thee as the author of the Holy Sacrament of Extreme Unction, and as the source of its priceless graces, which Thou hast acquired and merited for us by the shedding of Thy Precious Blood.
I refer to Thee all the graces Thou didst ever produce in souls through Extreme Unction. I bless Thee a thousand times for all the glory Thou hast given to Thyself by this last Sacrament. I adore the infinite design of Thy Providence in the institution of Extreme Unction and I surrender myself to the accomplishment of Thy divine Plan for me according to Thy holy will. I implore Thee most humbly to grant me the grace of receiving this Sacrament at the end of my life. And if I should not be able to receive it, I implore Thee to produce in MY soul, by Thy great mercy, the same graces I would acquire by its reception.
2. O Jesus, I adore Thee in the holy anointing of Thy sacred body in the last days of Thy life by St. Mary Magdalen, and at Thy burial by St. Nicodemus and St. Joseph of Arimathea. I offer Thee all the holy unctions ever performed, in this last Sacrament, upon the bodies of all Christians who have received it or ever shall do so, in boner of and homage to the divine anointing of Thy deified body.
3. O Good Jesus, I adore Thee as High Priest to whom, before all others, belongs the right of conferring all the Sacraments. I give myself to Thee as High Priest and implore Thee to inspire in my soul all the dispositions required for the fruitful reception of Extreme Unction and to produce in me all the graces represented by its consoling ceremonies.
In order to dispose myself for its reception, O my Saviour, behold I cast myself down at Thy feet, accusing myself before Thee and Thy heavenly court of all my sins, most humbly begging Thy forgiveness with all the humility and contrition I can muster, with my whole heart imploring Thee, together with Thy Blessed Mother and all the angels and saints, to ask forgiveness from Thy Eternal Father, and to offer to Him in satisfaction for my sins the full measure of Thy infinite merits and sufferings.
O Good Jesus, come into my soul and into my heart. Come to bring me Thy holy peace and to destroy in me all that might disturb the peace
and repose of my spirit. Come unto me, and with Thy Precious Blood purify me of the foulness of my sins. Come to grant me full and total absolution, indulgence and remission of all my sins.
O Most Kind Jesus, I offer Thee all the senses and members of my body and all the powers of my soul. Anoint me, I beg Thee, with the sacred oil that ever flows from Thy divine Heart, that is, with the oil of Thy grace and mercy and, by this heavenly anointing, cleanse me of the evil effects of my sins. O Dearest Jesus, I offer Thee the holy employment of bodily senses and spiritual powers ever made by Thy Divine Self, by Thy Blessed Mother and all the saints, in satisfaction for my abuse or misuse of the members and senses of my body and the faculties of my soul. May it please Thee to grant me the grace to employ them in future only for Thy pure glory.
Finally, O Most Amiable Jesus, may it please Thee to give me Thy holy blessing. Ask the Beneficent Father and the Holy Spirit to bless 'me with Thee, so that this divine and mighty benediction may destroy in me all that displeases Thee, and transform me utterly into eternal benediction and praise of the Father, the Son, and the Holy Spirit.
Sixth Day
XXIV. CHRIST'S LAST WILL AND TESTAMENT, AND THE WILL YOU SHOULD MAKE IN ITS HONOR.
On this day you should prepare to make a will, in imitation and honor of the final testament of Jesus Christ on earth. In the presence of God you should meditate on the infinitely adorable legacy left by Christ and consider how to make your own will in the same spirit with similar dispositions. This may be done in the following manner:
O Jesus, I adore Thee in the last days of Thy life. I adore every aspect and event of these last days, but especially Thy divine Testament pronounced in the Cenacle, on Mount Olivet and from the Cross. I adore, bless and glorify the supreme love for Thy Father, the most burning charity towards us and all the other holy dispositions of Thy last Testament to mankind.
In Thy last will there are five bequests:
The first bequest is to Thine enemies, for, O wonder of wonders, O immensity of goodness, Thy first word and first prayer on the Cross is for
Thine enemies, begging the Father to pardon them, in the very hour when they were crucifying Thee.
The second bequest is to the Heavenly Father, the final gift of Thy holy soul with these words: "Father, into thy hands I commend my spirit" (Luke 23, 46). These words were uttered not only with reference to Thy deified soul, but to my soul and to the souls of all who belong to Thee, which were all at that moment before Thy sight, and Thou didst look upon them as Thy own possession, forming all together but one soul with Thine, by virtue of their most intimate union. When Thou didst say to the Father: Pater, in manus tuas commendo spiritum meum, Thou didst speak for Thyself and for me; Thou didst commend my soul together with Thine into the hands of Thy Father, addressing this prayer to Him who is at once Thy Father and mine, in Thy Name and my own, against the hour when my soul shall leave my body. And Thou didst make the offering of my soul with the same love with which Thou didst say Pater or Father in general, not My Father in particular, to show that Thou didst regard Him not only as Thy own Special Father, but as the common and universal Father of all Thy brethren and members.
Thou didst pray to Him not only for Thyself in particular, but also in general for all who belong to Thee, with filial confidence and love, as much for Thyself as for them, for which mayst Thou be loved and blessed forever.
The third bequest in Thy will concerns the Blessed Mother, to whom Thou didst give that which was most dear to Thee after herself, the beloved disciple, St. John the Evangelist. At the same time there were represented in the person of St. John all the other disciples and children, until the end of time. When Thou didst say to Mary the words, "Woman, behold thy son" (John 19, 26), Thou didst give her not 'only St. John, but all other Christians to be her children. Reciprocally, in saying to St. John the words "Behold thy Mother?" (John 19, 27), Thou didst give to him and also to all Christians, represented in his person, Thy most precious possession in the order of created beings, namely, Thy most Blessed Mother. Thou didst give her to them to be their Mother just as she was Thy Mother, imparting to them Thy precious relationship and character with her. That was the reason Thou didst call her no longer Thy Mother, but Mulier, "woman," to show the
transfer to us of Thy relationship to her as Son, and the gift to us, as Mother, of her who was about to cease to be Thy Mother for a time by reason of her Son's death. And so, good Jesus, Thou didst bequeath me in Thy will to Thy Blessed Mother, not only as a servant and subject, but actually as a son: Mulier, ecce filius tuus. Thou didst give her to me not only as my Queen and Lady, but in the most honorable and lovable character there is—that of a Mother. O love! O excess of goodness! May the whole world be transformed into love for so great a goodness!
The fourth bequest in Thy will is particularly ours and concerns us so diversely that it seems to have been made for us alone.
1. During Thy last days on earth, O Jesus, Thou didst express a surpassing and extraordinary love, assuring us that Thy Father loves us as He loves Thee (John 17, 23), and that Thou lovest us as Thy Father loves Thee (John 15, 9). And Thou dost consequently urge us to love one another as Thou hast loved us (John 13, 34).
2. Thou didst likewise commend us with most particular affection to the most exalted and powerful persons most dear to Thee, by whom Thou art most loved in heaven and on earth—that is, Thy Eternal Father and Thy divine Mother. To the Father just before setting out on the road to Calvary, Thou didst address a beautiful prayer: "Holy Father, keep them in thy name whom Thou hast given me. Not for them only do I pray but for them who through their word shall believe in me" (John 17, 11-20). While hanging on the Cross, Thou didst place our souls in His hands together with Thine own, as has been said. Thou didst also commend us to Thy divine Mother.
3. We share in Thy will because in Thy last, solemn and public prayer, Thou didst obtain from the Heavenly Father the greatest favors that could have been asked of Him, or that He could have given us. Here are the prayers Thou didst address to Him for us: 'Father, I will that where I am, they also whom thou hast given me may be with me" (John 17, 24), that is, that they should have their dwelling and take their rest with Me forever in Thy bosom and Thy Fatherly Heart. "Just Father, may the love wherewith Thou hast loved me, be in them" (John 17, 25-26), that is to say: love them as Thou lovest Me, love them with the greatest, the most burning and most divine love that could ever possibly exist. Look upon them as
Thou dost regard Me; love them with the very heart with which Thou lovest Me; treat them as Thou dost treat Me; give them all that Thou givest Me. "That they may be one, as thou, Father, in me and I in thee; that they also may be one in us ... I in them, and thou in me: that they may be made perfect in one" (John 17, 21-23). O dearest Lord, what love! What more couldst Thou ask the Father for us?
4. We share in Thy will because Thou didst give us the most rare and precious gift, Thy Eternal Father to be our Father, praying Him to love us as He loves Thee, as His children with sublime paternal love. Thou didst give us Thy Blessed Mother to be our Mother. Thou didst give us Thy most Holy Body in the Eucharist, Thy holy soul on the Cross in death with the words: I lay down my life for my sheep" (John 10, 15). Thou didst give Thy Precious Blood to the very last drop, Thy life, merits, sufferings, humanity and divinity, as expressed in these words: "The glory which thou hast given me, I have given to them" (John 17, 22). Thou didst give up all without reserve. O dearest Lord, how admirable is Thy goodness, poured forth for us in the very hour when we were causing Thee to suffer so many evils! How can we love Thee so little and think so seldom of Thee? How can so great a love be held so cheap and be so despised by those whom Thou so lovest? The filth and last bequest in Thy will was made on Mount Olivet when, departing from the apostles and ascending into heaven, Thou didst give them Thy holy blessing. We share in this bequest also, for in imparting Thy blessing to the holy apostles and disciples Thou didst bless all of us, each one in particular, for we were all just as much present in Thy sight then as we are now. May heaven and earth bless Thee, O Author of all gifts, and may all things in heaven and earth be transformed into eternal blessings of Thee.
Such, good Jesus, are the five clauses of Thy admirable will, in honor of which I desire, if it please Thee, to draw up my own testament as follows:
XXV. LAST SPIRITUAL WILL AND TESTAMENT.
1. O Most Kind Jesus, in honor of and in union with the love with which Thou didst shed Thy Blood and die for Thy enemies and pray to Thy Father to pardon those who crucified Thee, with my whole heart I fully
forgive all those who have ever offended or injured me, and I implore Thee to grant them full pardon.
I offer myself to Thee to do and suffer whatever may please Thee for their sake, even to shed my blood and die for them, if necessary. So, too, in all the humility I can muster, I beg all whom I have ever offended or displeased in my whole life to forgive me, and I give myself to Thee to make whatever satisfaction to them Thou mayest desire.
2. In honor of and in union with the exceeding great love, the most perfect confidence and all the other dispositions with which Thou didst commend Thy soul and all the souls that belong to Thee into the hands of Thy Father, I surrender my soul, with the souls of all those for whom I am bound to have special concern, into the gentle hands and the most loving heart of the Divine Father, who is my God, my Creator and my Most Lovable Father, that He may dispose of them according to His good pleasure. I trust that His infinite goodness will place them with Thy soul, good Jesus, in His Fatherly Bosom, there to love and bless Him eternally with Thee, according to the desire of Thy soul, expressed in the words: "Father, I will that where I am, they also whom thou hast given me may be with me" (John 17, 24).
3. In honor of and in union with Thy great charity in giving all Thy friends and children to Thy most Blessed Mother, I resign into her hands all those entrusted to my care, imploring Thee, Good Jesus, to commend them Thyself to Thy Virgin Mother. I implore her with my whole heart, by Thy very great love for her and hers for Thee, and by the same love with which Thou didst give her Thy friends and children, to look upon them henceforth as her children in a more special way, and to be their Mother.
4. In honor of and in union with the exceedingly powerful love whereby Thou didst commend me to Thy Father on Thy last day, and didst beg Him, on my behalf, for such great favors, giving me all that was most dear to Thee, with such extraordinary tokens of that love, urging me also to love my neighbor as Thou didst love me: I commend to Thee all those whom Thou knowest I should commend particularly to Thee, and I beg Thee on their behalf for all that Thou didst ask for me from Thy Eternal Father on Good Friday. I abandon myself to Thee to love Thee as Thou lovest the Father and as the Father loves Thee. I give myself also to Thee to
love my neighbor as Thou didst love me, and to shed my blood and give my life for him, if it is Thy holy will.
5. O Jesus, God of all blessings, I adore Thee in the last moment of Thy sojourn on earth, upon Mount Olivet, as Thou didst leave the earth to ascend into heaven. I adore Thee giving Thy most holy blessing to Thy Blessed Mother, Thy apostles and disciples; I adore the exceeding great love and all the other dispositions which filled Thy divine soul when Thou didst impart this supreme blessing as is related in the Holy Gospel (Luke 24, 5O).
O Good Jesus, behold me prostrate at Thy feet, in union with the humility and the other holy dispositions of the Blessed Mother and the holy apostles and disciples as they received Thy blessing. I most humbly implore Thee, by all Thy love for them, and theirs for Thee, to give now to me and to all I have commended to Thee, Thy most holy blessing, so that by the power of that divine blessing all that displeases Thee in me may be destroyed and I may be altogether transformed into everlasting praise, love and benediction of Thee.
Seventh Day
XXVI. THE AGONY AND THE MOMENT OF DEATH.
You shall consider this day as if it were to be your last. You must strive to spend it with as much care and devotion as if you had only this one day in which to love God. For this purpose, you should apply yourself to the contemplation and adoration of Our Lord in the last day of His life on earth, and to do everything in union with the holy and divine dispositions of His last actions. With the last day of your life in view, you should implore Jesus to unite you to his dispositions and foster them in your heart, that you may be of the number of those of whom it is said: "Blessed are the dead who die in the Lord" (Apoc.14, 13) that is, who die in the dispositions of the death of our Lord Jesus Christ.
Similarly you should consider and honor the Blessed Virgin on the last day of her life, uniting yourself to her dispositions, offering her the last day of your life. The prayers addressed to Jesus Christ and His Blessed Mother for the end of the year should also serve your purpose here.
I may also add at this point that it is a good thing on this day to adore Jesus and honor His most holy Mother in their agony and death, offering your agony and death in union with theirs, imploring them to bless and sanctify your death by their own. It is also most beneficial to adore the infinite power of the divine love that caused the death of Jesus and of His most holy Mother, for they both died of love and by love.
You should implore that divine love to cause you to die with Jesus and His divine Mother, and to consume and sacrifice your life in its sacred flames. You should also honor the holy martyrs and all saints in their agony and death; offer them your agony and death, in union with their own, begging them to unite you with their holy dispositions as they prepared for death. Implore them specially to associate you with all the love and glory they gave to Our Lord on the last day of their life and at the moment they died for Him.
You should pray specially to St. John the Evangelist, St. Mary Magdalen and the good thief who died with Jesus, and all the other saints who were present at the death of the Son of God, that through the merits of their privilege in being near Him in death, they may give you special assistance at the hour of your own death.
On this same day it would be most advisable to read the Passion of Our Lord, the seventeenth chapter of St. John, containing His last words and prayers before setting forth to be crucified, as well as the prayers of Holy Mother Church for the agonizing soul, which are to be found at the end of the Breviary. For you do not know whether you will be in a fit state on the last day of your life to complete these preparations for a holy death. Hence, it is a good thing to anticipate that day, and to read the Passion of Our Lord and the above-mentioned prayers with all the devotion you would wish to put into them at the hour of death, and all the devotion with which they have ever been read by the whole Church.
But above all, when you read the seventeenth chapter of St. John, which contains the last words and prayers of Jesus, give yourself to Him in a sincere effort to pronounce these words and prayers in union with His love, dispositions and intentions when He spoke them, imploring Him to foster in your heart these sublime dispositions in preparation for the last day of your life and to produce the effects of these holy words. -
Finally, cast yourself down at the feet of Jesus and His most holy Mother, to implore them to give you their most holy blessing. "O Jesus, O Mother of Jesus, give me your holy blessing for the last moment of my life. By your great goodness, grant that the last moment of my life may be consecrated to the glory of the last moment of yours, and that my last breath may be an act of most pure love for you!"
Eighth Day
XXVII. THE PARTICULAR JUDGMENT.
It is a most holy practice, when present at a deathbed, to kneel down at the moment the person dies, to adore the advent of the Son of God, who comes to judge that soul right there in the body, where it remains until it is consigned elsewhere by His judgment. It would be quite easy to prove that the Son of God thus comes to judge the soul at the hour of death, because several passages of Holy Scripture clearly speak of it.
This is not, however, the place to do so. All I have to say for the present is that if it is beneficial to adore the Son of God in the exercise of His judgment upon others at the hour of death, how much more should you adore Him in His coming for you and His judgment~ merit at the hour of your death. Therefore, you must render to Him now, freely and out of love, the honor that shall be obligatory when your end comes. Hence, this day shall be spent in this exercise, performed as follows:
1. O Jesus, Thou art the Saint of saints and Sanctity Itself, infinitely above all sin and imperfection. Yet, I behold Thee prostrate with Thy face to the earth at the feet of the All-just Father in the Garden of Olives, and the following day at the feet of Pilate, where the Eternal Father contemplates Thee as the Victim who has taken upon Himself all the sins of the world, giving Himself without reserve for the ransom of mankind. Thou hast taken the place of all sinners and borne the heavy judgment of our sins by dying on the Cross for our salvation. Thou dost accept that judgment with most perfect submission, most profound humility and most ardent love for Thy Father and for us. O Jesus, I adore and glorify Thee in this judgment and in all the holy dispositions of humiliation, contrition, submission and love with which Thou didst suffer to be judged and condemned to save us.
2. In honor of and in union with these dispositions, behold me prostrate at Thy feet, great Jesus, adoring Thee as my sovereign judge. I most willingly submit myself to Thy supreme power. I infinitely rejoice that Thou hast sovereign power over me and over all men and angels. A thousand times I bless the Eternal Father for having given Thee this power. I affirm sincerely that if, to imagine the impossible, Thou didst not have this power, and I did have it, I would want to strip myself of it to give it to Thee; if I were not subject to Thy power to judge me, I should wish to subject myself voluntarily to that power, out of homage to Thy divine justice and to the condemnation Thou didst undergo from Thy Father during Thy holy Passion.
3. O Jesus, I adore Thee in Thy coming at the hour of my death and at the moment of Thy judgment of my soul. I adore now every aspect and detail of my particular judgment. May it please Thee to grant me now some measure of the divine light by which Thou wilt clearly show me every event of my whole life, compelling me to give an account of everything. Grant me a share in the zeal for justice with which Thou wilt be avenged for my offenses, so that I may from now on see my sins clearly and make reparation by perfect contrition, horror and detestation for these same sins.
4. O my God, how many sins I have committed against Thee all my life, by thought, word and deed, in every way! They can not be numbered, I confess; and I accuse myself before Thee, Thy Blessed Mother, before all the angels and saints, and, if it be Thy holy will, before the whole world. I accuse myself of my sins just as they are in Thy sight, as Thou knowest them. If only I could see my offenses as Thou seest them!
If only I knew myself as Thou knowest me, and as I shall see and know myself in Thy light at the moment of judgment! How I shall be confounded and humiliated then by the realization of what I am! What horror my crimes will awaken in me! What regret, what anguish at having so little loved and so greatly offended so transcendent a goodness as Thine! How quickly will I then accuse and condemn my own self! Indeed there will be no need of any other judge, for I shall be the first to pass sentence upon my own misdeeds and ignominy.
5. But why wait until that final hour? Lord, at this very moment I surrender myself to the zeal of Thy divine justice and to the spirit of Thy
just hatred and righteous horror for sin. In honor of and in union with Thy extreme hatred of sin, I hate and detest all my sins; I hold them in abhorrence; I renounce them forever; I offer myself to Thee to suffer for them all the penance Thou shalt order. Casting myself down before Thy face, in the ultimate depths of abjection, to which, O great God, I have deserved to be reduced by my sins, I pronounce against myself, in the presence of heaven and earth, that final sentence. Since I, who am nothing but a worm of the earth, a handful of ashes and mere nothingness, have in so many ways offended so exalted and great a majesty, there are no tortures, either on earth, in purgatory or in hell, capable of worthily expiating my sin, without the intervention of Thy mercy and the power of Thy Precious Blood. For all these torments are finite, while the offense of my sins is infinite, since they offend an infinite majesty, and consequently deserve an infinite punishment.
So, my sovereign Judge, falling down once more at Thy feet, and in the nethermost depths of the bottomless pit of my sins, I adore and bless and love Thee with my whole heart, as pronouncing the sentence that Thou shalt pronounce at the hour of my death, and I voluntarily, with all the love possible to me, submit to this sentence, whatever it may be, telling Thee with the Royal Prophet, with all the power of my will: "Thou art just, O Lord, and thy judgment is right" (Ps. 118, 137). And I most obediently accept anything it may please Thee to ordain in my regard, in time and eternity, giving myself to Thee to bear not only all the sufferings of Purgatory, in homage to Thy divine justice, but any other penalty Thou mayest impose upon me. I take no thought of what is to become of me nor of what is to be done to me in time and eternity, provided only that the wrong and dishonor I have done Thee may be made good, no matter what the cost.
And yet, O God of mercy, do not permit that I should be numbered among those who will never love Thee. O most merciful Lord, what am I that Thou deignest to open Thy blessed eyes to look upon me, to summon me into Thy presence in judgment and to exercise Thy justice upon me? It is all too true that I deserve Thy mercy far less than Thy justice. But, O Thou Saviour of my soul, remember that Thou didst will to be judged for me, and that Thou art most worthy that my sins should be forgiven in
Thee, since Thou didst ask the All merciful Father to pardon them for me. And yet, Lord, enter not into judgment with Thy miserable and unworthy servant, but offer for me to Thy Father the judgment Thou didst sustain for my sins, and pray that His divine forgiveness be granted, not to me but to Thee.
O Father of Mercy, I confess that I have deserved to bear the stern weight of Thy judgments, and that I am not worthy that Thou shouldst give me the least grace, nor that Thou shouldst pardon the very smallest of my sins. I offer Thee the terrible judgment Thy Son sustained for my faults, and I implore Thee to pardon them, not to me, but to Thy Beloved Son, who begs Thy forgiveness on my behalf, and to give Him, also, all the graces I need for Thy service. All possible punishments in the world, visited upon me, are incapable of giving Thee fitting satisfaction for the very least of my crimes. Thy Son alone can make perfect reparation for the dishonor I have given Thee. And so I offer to Thee, and I implore Him to offer with me, all that He did and suffered in His whole life, and all the honor He ever rendered to Thee, whether by Himself or through His Blessed Mother, His angels and all His saints.
O Mother of Mercy, Mother of Jesus, O angels and saints of Jesus, offer to God all your merits and works on my behalf and all the glory you ever gave Him, in satisfaction for my offenses and implore Him to treat me not according to the rigor of His justice, but the multitude of His mercies, in order that I may love and bless Him with you forever.
Ninth Day
XXVIII. DEATH AND BURIAL.
Since Jesus Christ, our Lord, willed to pass through all the phases of human life, in order to honor His Eternal Father and to bless and sanctify them for you, you should also have a holy zeal for honoring Him particularly in each of the phases of His life, and to consecrate all the states, in which you have been and are to be, to the honor of each aspect of His mortal life. Following this teaching, after you have adored Him in the last moment of His life, dedicating to Him your own last moment, it is now very appropriate to adore Him in the state of death, in which He remained for three days, and to consecrate to Him the condition of death in which
you are to be from the last moment of your life until the day of the general resurrection, as follows:
1. O Jesus, Thou art eternal life and the source of all life, yet I behold Thee cold in the darkness and shadow of death. I see Thee bid farewell, for a little while, to Thy most lovable Mother, to Thy dearly beloved apostles and disciples, and to all Thy friends left bathed in tears, in the greatest mourning and lamentation of all time. I contemplate Thy holy soul separated from Thy divine Body, with which it had so holy, so close and so sublime a union. I see this same Body, more holy and sacred than all the heavenly bodies (I mean than all those in all the heavens, and more than the empyrean heaven itself), lying in a sepulchre, among the rocks in the dust. O my Jesus, I adore, praise and glorify Thee thus. I offer Thee all the honor rendered to Thee in this state by Thy holy Mother, by St. Mary Magdalen, by the holy apostles and disciples, by the angels, by the holy souls Thou didst free from Limbo and by the whole Church, with all the glory Thy Father gave Thee, and which Thou now enjoyest in heaven, in recompense for that humiliation Thou didst bear on earth. I offer Thee the state of death which will one day be mine, in honor of that state of death in which Thou didst remain before the Resurrection. I offer Thee the separation from the company of my friends and relatives that I shall one day have to bear, in honor of the most bitter separation which Thou didst suffer, torn from the most sweet company of Thy dearest Mother, of Thy dearly beloved apostles and disciples. I offer Thee all the sorrow and the tears of my relatives and friends in honor of the sorrow and tears of Thy harrowed Mother and sorrowing apostles. I offer Thee the separation of my soul from Thy sacred body. I offer Thee all the states of my soul, until its reunion with its body, whatever they may be, in homage to the state in which Thy holy soul existed during the time it was separated from Thy body. I offer Thee the burial of my body and all the actions that shall be done in performing this burial, in honor of the burial of Thy holy body. In honor of and in union with the same love with which Thou, O good Jesus, didst will that Thy sacred body should lie upon the dust within a hollow rock, and by which Thou hast so often given me this same body in Holy Communion, although I am nothing but a worm of the earth, I most willingly surrender my body to the ground and to the worms. I consent to
be reduced to ashes and dust, but only on condition, O crucified Saviour, that all the grains of dust into which my flesh and bones shall crumble, may be so many voices praising and glorifying without interruption the adorable mystery of Thy burial, and that I may thus sing with the holy psalmist: Omnia ossa mea dicent, Domine quis similis tibi? "All my bones shall say: Lord, who is like to thee?" (Ps. 34, 10).
2. O Divine Jesus, even though Thy body and soul were separated, nevertheless they are continually united to Thy divinity. Thus, they never ceased to be worthy of infinite honor and adoration. Therefore, I adore Thy holy soul in its descent into Limbo. I adore all that happened in Thy soul and all the efforts produced in the souls of the Holy Patriarchs in Limbo. I also adore Thy body in the tomb, in all its members, for there is no part of it that is not infinitely adorable. I adore you, O most holy eyes of my Saviour's body. I adore you, O, sacred ears of my God. I adore and praise you, O most blessed mouth and tongue of Him who is the Word and eternal utterance of the Father. I adore and bless you, O most divine hands and feet of my Lord. I adore and love you, O most amiable Heart of Jesus.
Alas, my Beloved, Thy perfect body is lifeless because of my sins! Those sacred eyes, that by their sweet aspect gave joy to all who came in contact with Thee, are now darkened by the shadow of death. Those holy cars, always open to hear the cries and prayers of all unhappy creatures, are now closed and hear no more. Those divine lips, which pronounced the words of life, have become mute and speak no words. Those blessed hands that wrought so many miracles are lifeless and still. Those holy feet, so often wearied for the salvation of the world, are no longer able to walk. But above all, the most loving Heart of my Jesus, the most exalted and noble throne of divine love, is without life or feeling. Ah, my Dear Jesus, who has brought Thee to this pitiable state? My sins and Thy love! Cursed and detestable sin, how I abhor you! O love of my Saviour, may I love you, may I bless you without ceasing!
3. O Good Jesus, I surrender myself completely to the power of Thy holy love. I implore Thee by that love, to reduce me now into a state of death that may imitate and honor Thy state of death. Utterly extinguish in me the life of sin and of the old Adam. Cause me to die to the world, to myself and to all that is not Thee. Mortify my eyes, ears, tongue, hands,
feet, heart and all the other powers of my body and soul, so that I may no longer be able to see, nor hear, speak, taste, act, walk, love, think, will, nor make any other use of all the parts of my body or the faculties of my soul, save in accordance with Thy good pleasure, led by the guidance of Thy divine spirit.
4. O my Well-beloved Jesus, I give myself to Thee to derive the benefits of these words of Thy apostle: "You are dead: and your life is hid with Christ in God" (COL. 3, 3). Hide me utterly with Thee in God. Bury my mind, my heart, my will and my being, so that I may no longer have any thoughts, desires, or affections, any sentiments and dispositions other than Thine own. And just as the earth changes and transforms into itself the bodies buried within it, do Thou change and transform me completely into Thyself. Bury my pride in Thy humility, my coldness and tepidity in the fervor of Thy divine love, and all my other vices and imperfections into Thy holy virtues and perfections so that, just as the earth consumes all the corruption of the body buried in it, so all the corruption of my soul may be consumed and annihilated in Thy divine perfections.
5. O Mother of Jesus, I honor and revere thee in the state of thy death and burial. I offer thee all the honor then given thee by the angels and holy apostles. I thank thee for all the glory thou didst give to the death and burial of Thy Son by thine Own. I offer thee my own death and burial, imploring thee to obtain for me, by thy holy prayers, the grace that every aspect of my earthly end may pay everlasting homage to the death and burial of thy spotless self and of thy beloved Son, our Saviour.
Tenth Day
XX1X. ENTRANCE OF THE SOUL INTO HEAVEN AND UNDYING LIFE.
Even though we are most unworthy to see the face of God and to be admitted into the blessed company of the citizens of heaven, it is, nevertheless, most certain that the Father, the Son, the Spirit, the Blessed Virgin, all the angels and all the saints eagerly desire to behold you soon joined with them, to be overwhelmed as they are in torrents of the heavenly and unspeakable delights of divine love which reigns with fulness in heaven. And we ought to have great trust that, in the goodness of God, this will one day be realized for us. Our greatest consolation in this
world ought to be the thought and expectation of that day when we shall begin to love and glorify God in all perfection. What rejoicings we should voice with the Royal Prophet, at the vision and thought of that blessed day: *Laetatus sum in his quae dicta sunt mihi, in domum Domini ibimus*: I rejoiced at the things that were said to me: We shall go into the house of the Lord" (Ps. 121, 1). 'Blessed are they who dwell in thy house, O Lord: they shall praise thee forever and ever." (Ps. 83, 5).
Surely if you celebrate the day of your birth into the lift of grace by holy Baptism, how much more should you celebrate the feast of your entrance into heaven and your birth into the life of glory! Anticipate that day, and begin now to celebrate that feast by means of the following exercises:
1. O Jesus, I adore, praise and glorify Thee countless times at the moment of Thy triumphant entrance into heaven. I offer Thee all the glory, love and praises that were given to Thee in welcome by the Father, the Holy Spirit, Thy Blessed Mother and all the angels. I also honor Thy Blessed Mother in the moment of her assumption into Paradise. I offer her all the glory and praises that were given her by the Omnipotent Father, by her Beloved Son, Thyself, Thy Holy Spirit, all the angels and all the saints. I offer to Thee and to Thy glorious Mother, my own entrance into Paradise, which, I hope, by Thy great mercy, to make one day, in honor of the glorious and triumphant entry of Thy ascension and her assumption. O my Most Adorable Jesus, I desire to consecrate everything that ever was, is and shall be in me, in time and in eternity, to the honor and homage of Thee and Thy most holy Mother.
2. O Most Admirable and Most Adorable Trinity, I adore, bless and magnify Thee infinitely for all that Thou art in Thy manifold works of mercy and justice toward me and to all Thy creatures, in heaven, on earth and in hell. I offer Thee all the adoration, love, glory, praise and benediction accorded Thee forever. O my God, how I rejoice to behold Thee so full of greatness, of marvels, of glory and joy! It is enough. In desire no other glory, felicity or happiness, in eternity save to behold the incomprehensible glory, felicity and happiness of Him whom I love more than myself. O my glory and my love, may all heaven and earth be transformed into glory and love for Thee! Finally, I sacrifice myself all to
Thee to be sacredly annihilated and consumed forever in the most pure fire of Thy divine love.
3. O Jesus, Thou only object of my love, with what love, with what praises can I ever repay Thee for all that Thou art in Thyself, and for all the innumerable effects of Thy goodness towards all Thy creatures, myself in particular? Lord, may all Thy creatures, all Thy angels and saints, Thy Blessed Mother, and all the powers of Thy divinity and humanity be employed in blessing and loving Thee forever.
4. O Mother of God, O holy angels, O blessed saints, I hail, honor and thank you all in general, and each one in particular, especially those to whom I owe some special obligation and with whom I am to be most closely associated in eternity. In thanksgiving for all the favors I have received from you, and much more for all the glory and services you have rendered to my God, I offer to each one of you the most amiable Heart of my Jesus, source Of all joy, all glory and all praise. I give you my mind and my heart; unite them with your minds and hearts and associate me in your constant chorus of praise to Him who created me, that I may praise and love Him eternally with you. Pray ardently that I may bless and love Him through you, while awaiting the day when it may please Him to unite me with you to love and glorify Him to perfection.
5. O blessed day, when I shall begin to love most purely and perfectly my Lord and Saviour who is infinitely amiable! O thousand times happy day in which I shall begin to be all love for him who is all love for me! O Jesus, my sweet love, how consoled. I am when I think that I shall love and bless Thee eternally! My eyes dissolve in tears and my heart melts with joy at the sweetness of the thought that some day I shall be completely transformed into praise and love for Thee. But, alas, when will it come, this day, so longed for and a thousand times desired?
Will it yet delay for long? Heu mihi quia incolatus meus prolongatus est! "Woe is me, that my sojourning is prolonged" (Ps. 119, 5). Usquequo, Domine, oblivisceris me in finem, usqueque avertis faciem tuam a me? "How long, O Lord, wilt thou forget me unto the end? How long dost thou turn away thy face from me" (Ps. 12, 1)? Quaemadmodum desiderat cervus ad fontes aquarum ita desiderat anima mea ad te, Deus (Ps. 41, 2).
No more the hunted stag desires,
Fleeing in woe and weariness,
Waters to quench his burning thirst,
Than my poor heart with sadness pressed
Sighs after Thee, O Lord, my rest.
My heart is driven nigh to death
By cruel desires, merciless,
And longs for Thee, Lord, Mighty God,
And in its longing, cries apace:
When shall my eyes behold Thy face?
When, ah, when will come that day
To take my earthly woes away
And bring me home at last to Thee?
While waiting for that day, I desire, O my Saviour, to realize in myself St. Paul's words: "Our conversation is in heaven" (Phil. 3, 20), as well as Thy words of reassurance and guidance: "The kingdom of God is within you" (Luke 17, 21). I desire to live on earth as though I were not here, but living by my heart and spirit in heaven. I desire to concentrate all my powers on the establishment of the kingdom of Thy glory and holy love within myself. But Thou knowest, Lord, that of myself I can do nothing; therefore, I give myself to Thee, that Thou mayest destroy every obstacle and perfectly establish the kingdom of Thy pure love in my body, in my soul, and in all my thoughts, words and actions.
XXX. CONCLUSION OF THE EXERCISE.
At the end of these exercises on the subject of death, you should thank Our Lord for the graces He has given you through them, and beg Him to forgive the faults you have committed in their performance. Ask Him to compensate for your deficiencies, and to accomplish in you the fulfilment of His words: "Blessed is that servant, whom when his lord shall come he shall find so doing. Amen I say to you: he shall place him over all his goods" (Matt. 24, 46-47). Pray that He may ever watch within you and
for you, lest you be taken by surprise. Beg Him to keep these exercises and preparations in store for you against the hour of your death and to be Himself your disposition and preparation.
Follow the same procedure proportionately, invoking the Blessed Virgin, the angels and saints, especially the saints on whose feast day the Lord knows you are going to die.
XXXI. SOME OTHER POINTS OF ADVICE AND NECESSARY DISPOSITIONS FOR A HOLY DEATH.
I shall here add a few other suggestions and practices which may prove useful to you, when you sense that your life is approaching its end.
The chief thing for you to do, when you feel that you are nearing the end of your life, is to devote yourself as much as possible to acts of love of Jesus, ever uniting humility with love. There is no more powerful and effective means of quickly wiping out our sins, advancing with great strides along the road to God, and giving Him pleasure than the divine exercise of active love.
If you are worried by the fear of death or by qualms of mistrust by reason of your past sins, ask some kind person to read to you the passages about confidence contained in 'Part One' of this book.
If you are not too sick to listen to reading aloud, ask some kind friend to read to you, from time to time, the foregoing meditations on death, and the exercises of praise and glorification of Jesus which are to be found in 'Part Five' of this book.
Let him also read passages from the Lives of the Saints or some other book of devotion, but particularly the Passion of Jesus Christ, the seventeenth chapter of the Gospel of St. John and the prayers for the agonizing soul, as on the seventh day of the "Exercise of Preparations for Death."
Do not forget, when you are at the end of your life, to remind one of your friends to gain a plenary indulgence for you, not in your own interest but for the pure glory of God, according to the method suggested in 'Part Six,' where indulgences are discussed.
Frequently clasp the Crucifix in your hands, so that you may from time to time make acts of love while kissing the Cross and the Five Wounds, as I explain in 'Part Five.'
Let the Holy Names of Jesus and Mary be ever in your heart and frequently on your lips. Renew the desire to pronounce them with the intentions recommended for the Rosary of Jesus and Mary in 'Part Three.'
Pray with St. Francis: "Lord, release my soul from the prison of this body that I may praise Thy Holy Name with all the just who await me in heaven."
Constantly invoke the Blessed Virgin, using the words of Holy Church: Maria Mater gratiae, Mater misericordiae, tu nos ab hoste protege et hora mortis. Suscipe: "O Mary, Mother of Grace, Mother of Mercy protect us from the enemy and receive us at the hour of death."
O Mother of Jesus, be a mother to my soul. Monstra te esse Matrem. "Show thyself my Mother." Monstra te esse Matrem Jesu. "Show that thou art the Mother of Jesus," by destroying in me, by thy prayers and merits, all that is contrary to the glory of thy Son Jesus, and causing Him to be loved and glorified perfectly in me.
Repeat with St. Stephen: Domine Jesu suscipe spirituum meum: "Lord Jesus, receive my spirit" (Acts 7, 58).
As you say all these words, ever unite yourself with the devotion, the love and die other holy dispositions with which they were first pronounced.
Accept your suffering in union with Jesus, in agony in the garden of Olives: Pater, non mea voluntas sed tua fiat: 'Father, not my will but thine be done" (Luke 22, 42). And again with Jesus agonizing on the Cross, say: Pater, in manus tuas commendeo spiritum meum. 'Father, into thy hands I commend my spirit" (Luke 23, 46).
Constantly lift up your heart to Jesus, saying to Him with the beloved disciple St. John: Veni Domine Jesu: "Come, Lord Jesus" (Apoc. 22, 20).
Repeat with St. Peter: Domine, tu scis quia amo te. "Lord, thou knowest that I love thee" (John 21, 16).
Say with the good thief: Memento mei, Domine, dum veneris in regnum tuum: "Lord, remember me when thou shalt come into Thy Kingdom" (Luke 23, 42). And as you pronounce these words, unite yourself with the,
heartfelt contrition of the good thief, contrition so deep and moving that he merited the infinite grace to hear from the lips of the Son of God: "Amen I say to thee: this day thou shalt be with me in paradise" (Luke 23, 43).
Humbly repeat with the poor publican in the Gospel: *Deus propitius esto mihi peccatori*. "O God, be merciful to me a sinner" (Luke 18, 13).
Let your heart chant with King David: *Miserere mei Deus, secundum magnam misericordiam tuam*: "Have mercy on me, O God, according to thy great mercy" (Ps. 50, 3). *Suscipe me secundum eloquium tuum et vivam, et non confundas me ab expectatione mea*: "Uphold me according to thy word, and I shall live: and let me not be confounded in my expectation" (Ps. 118, 116). *In te Domine speravi, non confundar in aeternum*: "In thee, O Lord, have I hoped, let me never be confounded" (Ps. 30, 1).
You may also make use of these little aspirations: "O Jesus, love Thy Father and Thy Holy Spirit for me." "O Father of Jesus, O Holy Spirit of Jesus, O Mother of Jesus, O angels of Jesus, O saints of Jesus, love Jesus for me." *Volo Domine Jesu te regnare super me*: "Lord Jesus, I will to have Thee reign over me."
*Dominare in medio inimicorum tuorum*: "Lord Jesus, reign over me in the midst of all Thy enemies."
"O my Dear Jesus, be Jesus to me; O my all, be all to me, for the past, present and future."
*Unum necessarium, unum volo, unum amo, unum quaero*: "One thing alone is necessary. Farewell to all things else; speak of them no more to me. I desire but one thing, I seek but one thing, I love but one thing, which is all to me, and all else is nothing to me. It is my sweetest Jesus Whom I desire, my Dearest Jesus whom I seek. Him I love and Him I long to love with all the love in heaven and on earth."
*Jesus meus et omnia*: "My Jesus is all to me. Once more, farewell to all that is not Jesus. My Jesus is sufficient for me. I desire nought but Him in heaven and on earth."
*Veni Domine Jesu*: "Come Lord Jesus, enter into me, there to love Thyself to perfection."
"O Jesus, my all, be Thou my preparation for my death. O Jesus, I give myself to Thee to die with Thee, in Thee and by Thee."
"O Jesus, I give myself to Thee to unite myself, at the moment of death, with all the dispositions of love and sanctity which ennobled the death of Thy divine humanity, Thy holy martyrs and all the other saints."
"O Jesus, O Mary, Mother of Jesus, I implore you to give me your holy blessing."
Finally, try to make your last word be the Holy Name of Jesus and the sweet name of Mary: "Jesus, Mary!" or else, "Live Jesus! or Jesus, be Jesus to me!"
Thus, you may converse with Our Lord with profound devotion and consoling ease by means of frequent ejaculations. But if you wish Him to give you the grace to make these loving aspirations at the hour of your death, you must develop the habit of saying these words and pronouncing these ejaculations frequently during your life, especially at night, lying in bed before falling asleep, using now one, now another, according to the inspiration of the spirit of God.
It would also be well to ask those present around to assist you during your last sickness, to read and reread frequently the above prayers. And if by chance you should lose the power of speech, let them diligently continue to make these acts on your behalf, particularly if it should happen that you lose the use of your senses or your reason. Once you have made the request and expressed to your friends that it is your will for them to make acts of love in your name and for you, Our Lord will accept these precious acts as if you yourself were making them, since they are made at your request and on your behalf.
Pray also to the Blessed Virgin and your special angels and saints to carry out all these things for you, together with everything else they know God expects of you on the last day of your life. But above all, supplicate Jesus Himself to do this for you, and put great trust in His infinite goodness, that He will be your all, and will do on, your behalf everything that is required of you for a holy and happy death. And I pray you to note this last point well.
Even though you should prepare yourself for death with all possible care and devotion, by means of these exercises, none the less, after having done all that has been suggested, you should not rely or rest upon your own acts, exercises and preparations, but rather place all your reliance and
trust in the pure goodness and mercy of our Lord Jesus Christ, ever imploring Him to be your preparation, your virtue, your sanctification and your all. For after all is said and done, to Jesus Christ alone does it belong to be all and accomplish all, in all men and all things that He may have the glory Of all, according to the divine words of St. Paul, with which I began this book, and by which I wish to finish it: *Omnia in omnibus Christus*: "Christ is all and in all" (Col. 3, 11). Oh, Let Him then be all, in time and in eternity!
O Jesus, be all, be all on earth as Thou art in heaven: be all in all men and things. Be all in this little book. Everything it has Of good is all from Thee. It speaks but of Thee and for Thee; it aims only at forming and establishing Thee in the souls of those who use it. Let its readers see in it nothing but Jesus, seek in it nothing but Jesus, and learn from it nothing but to love and glorify Jesus. Be all to him who has written this book and to those who shall read it; for Thou knowest,
O Jesus, my dear all, that it is my will never, in life or in death, to have any other object or desire but to see Thee live and reign in all men and all things. Live then, Jesus, live and reign in us. The wretched Jews cried: *Nolumus hunc regnare super nos*: "We will not have this man to reign over us." We, on the contrary, desire to proclaim in the face of heaven and on earth:
"We want Thee, Lord Jesus, to reign over us." Reign, therefore, O King of Souls, dwell perfectly and absolutely in thy Kingdom in our hearts that we may forever sing the divine canticle: *Omnia in omnibus Jesu*: "Jesus is all in all things!" Live Jesus! Live Live Thou great all! Live great Jesus, Who art all! Live this great all, which is Jesus! Live Jesus! Live Jesus!
LIVE JESUS AND MARY
Prayer for a Sick Person
As St. Gertrude was wishing to pray for a sick person and asked Christ in what manner she should do so, he answered her: “Pray only that I should give him patience and turn every moment to his advantage; and as often as thou prayest thus, thine own merits and those of the sick person will be increased.” (B. iii. ch. 13.)
All-compassionate Jesus! thou who didst truly bear our sickness, and take our pains and infirmities from us: I remind thee of the manifold torture and pains, which for three long hours thou didst endure upon the cross for the salvation of the whole world, and I entreat thee by all that martyrdom, and particularly by the hard thrust of the lance which pierced thy sweet heart, that thou wilt assist this poor sick person and grant him true patience.
I also pray, that thou wouldst grant that every moment that he shall suffer shall tend to thy honor and glory, and to his well-being and salvation, in any way in which thy loving heart has decreed from all eternity. Grant this, O most loving Jesus! through thine infinite goodness and mercy, and through the glorious intercession of thy sweet mother and of all the saints. Amen.
Prayer of One Sick or in Trouble
As St. Mechtildis was once very sick and complained of it, Christ said to her, "Lay all thy pains in my heart, and I will so perfect them and make them so fruitful that they shall bring honor to the saints in heaven, merits to the just, forgiveness to the sinner, refreshment to the poor souls in purgatory." (B. ii. cli. 32.)
Most beloved Jesus! this my sickness, or misfortune, which, thou hast sent me from thy divine heart in token of thy love, I accept with all my heart, and with the same love with which thou hast sent them I offer them in gratitude to thee.
In thy sweet heart I lay all my suffering and pain, with the request that thou shouldst enclose them in thy sufferings and make them perfect. And since I from pain and trouble cannot praise my heavenly Father, God, as I ought to do, I beg of thee that with the same praise with which thou didst once praise him amid thine awful sufferings on the cross, thou wouldst now praise and glorify him in my stead. And even as thou didst thank him for sending thee so many torments and pains, thank him now in like manner for what I suffer. I pray thee also, that with the self-same love, with which thou didst accept and offer to thy heavenly Father all thy sufferings, and the mockeries that assailed thee, thou wouldst offer these my inward and outward calamities, in union with thine own, to his honor and glory. Amen.
An Efficacious Method of Loving and Praising God
While St. Mechtilde was disquieted because she did not worthily honour and love God, our Lord said to her: When you desire to praise me, and cannot praise me as you would, say:
O GOOD Jesus, I praise thee, vouchsafe to supply for me whatsoever is lacking in my praise.
And if you wish to love me, say:
O GOOD Jesus, I love thee: vouchsafe to supply whatever is lacking in my love, and offer the love of thy Sacred Heart to God the Father for me.
Consecrating the Last Two Hours of Your Life
to the Most Holy Virgin by Rev. Fr. Ildefonso M. Izaguirre, O.P.
Prostrated at thy feet, and humiliated by my sins, but full of confidence in thee, O Mary! I beg thee to accept the petition my heart is about to make. It is for my last moments.
Dear Mother I wish to request thy protection and maternal love so that in the decisive instant that thou wilt do all thy love can suggest in my behalf.
To thee, O Mother of my soul, I consecrate THE LAST TWO HOURS of my life. Come to my side to receive my last breath and when death has cut the thread of my days, tell Jesus, presenting to Him my soul, "I LOVE IT". That word alone will be enough to procure for me the benediction of my God and the happiness of seeing thee for all eternity.
I put my trust in thee, my Mother and hope it will not be in vain. O Mary! Pray for thy child and lead him to Jesus! Amen.
PRAYERS FOR THE DYING
Aspirations at the Approach of Death
I believe in Thee, my God,
Who art the very Truth itself.
I hope in Thy boundless mercy. I love Thy infinite goodness.
In Thee, O Lord, have I hoped. I shall not be confounded forever.
May I die, O Lord, for the love of Thee Who wast pleased to die for the love of me.
Suffer me not, O my God, to be separated from Thee. Thee only do I desire. O infinite Goodness, I love Thee, I love Thee, I love Thee.
My Jesus, Thou art about to judge me. Spare and pardon, before Thou judgest me. I love Thee, and because I love Thee I am sorry that I have offended Thee.
My sweetest Jesus, suffer me not to be separated from Thee.
Blood of Jesus, wash me. Passion of Jesus, save me.
Into Thy hands, O Lord, I commend my spirit. I desire to die, O Lord, in order to see Thee.
Mary, Mother of God, pray to Jesus for me. Turn thine eyes of mercy towards us, and after this our exile show unto us the blessed fruit of thy womb, Jesus.
O Mary, now is the time to help thy servant My Mother, forsake me not.
O paradise, O beautiful country, O country of love, when shall I see thee? My God, when shall I behold Thee face to face? When, O my Jesus, shall I be secure of never losing Thee again?
My God, and my All. I willingly give up all in order to gain Thee, my God. O happy suffering, to suffer for God! happy death, to die in the Lord!
O my God, for the love of Jesus have mercy on me. Send me, O Lord, to purgatory for as long as Thou pleasest, but do not send me to hell, where I cannot love Thee.
O eternal God, I hope and desire to love Thee forever in heaven. My Love is crucified. Jesus, my Love, died for me.
O eternal Father, for the love of Jesus Christ, give me Thy grace. I love Thee, I am sorry for having offended Thee.
How can I thank Thee, O my God, for all the blessings Thou hast bestowed upon me? I hope to thank Thee for all eternity in heaven.
Mary, Mother of grace, Mother of mercy, pray for me.
Into Thy hands, O Lord, I commend my spirit My Jesus, I commend to Thee my soul, which Thou hast redeemed by Thy precious blood.
Lord Jesus, receive my soul. My God, help me, allow me to come and love Thee for all eternity in heaven. Jesus, my love, I love Thee, I am sorry for having offended Thee.
O Mary, my hope, help me, pray to Jesus for me. By Thy Passion, O Jesus, save me. My Mother Mary, help me in this hour.
St. Joseph, assist me. St. Michael the archangel, defend me.
My angel guardian, protect me.
My patron saint, N. N., commend me to Jesus Christ. All ye saints of God, intercede for me. Jesus, Jesus, Jesus! Jesus and Mary, I give you my heart and my soul.
May I die consumed by an ardent thirst to see the desirable Face of our Lord and Saviour Jesus Christ.
O MY God, I accept this sickness from Thy hands, whether it be for life or death. Not my will but Thine be done.
Prayer for those in their agony
O MOST merciful JESUS, Lover of souls: I pray Thee, by the agony of thy most Sacred Heart, and by the sorrows of thy Immaculate Mother, cleanse in thine own Blood the sinners of the whole world who are now in their agony and to die this day. Amen. Heart of JESUS, once in agony, pity the dying.
MARY, Mother of GOD and Mother of mercy, pray for us, and for the departed.
JESUS, Mary, Joseph, I give you my heart and my soul.
JESUS, Mary, Joseph, assist me in my last agony.
JESUS, Mary, Joseph, may I breathe forth my soul in peace with you.
ETERNAL FATHER, we offer Thee the Blood, Passion, and Death of JESUS CHRIST, and the sorrows of the most holy Mary and St Joseph, in payment for our sins, in suffrage for the holy souls in purgatory, for the wants of our holy Mother the Church, and for the conversion of sinners. Amen. |
WINE GUIDE
TASMANIA 2021
Your guide to exploring Tassie wine.
with THINGS TO SEE AND DO along the way!
PRESENTED BY WINE TASMANIA
Established in 2006, Wine Tasmania is the peak body assisting the island’s wine producers to be recognised as world leaders.
WINE TASMANIA
Level 5, 29 Elizabeth Street, Hobart TAS 7000
T (03) 6223 3770
E firstname.lastname@example.org
Information regarding the Tasmanian wine sector is also available at WWW.WINETASMANIA.COM.AU
© 2020 Wine Tasmania
Wine Tasmania acknowledges the Aboriginal people as the traditional owners of lutruwita (Tasmania), our island home. We pay our respects to the Tasmanian Aboriginal community, their Elders past, present and emerging, their unique cultural and spiritual relationships to the land, water and community.
DISCLAIMER: Wine Tasmania has made every endeavour to ensure that details are correct at the time of printing (December 2020) but can accept no responsibility for any inaccuracy contained in this publication as a result of information supplied, and can accept no responsibility for subsequent changes or withdrawal of details or services shown.
CREDITS
Design: Futago
Illustrations: The Noun Project
Images courtesy Tourism Tasmania & Andrew Wilson (cover), Rob Burnett and Lisa Kuilenburg. All other images courtesy Barringwood and Wine Tasmania.
Printed in Tasmania.
DISCOVER TASMANIA'S WINE TRAILS
CONTENTS
DISCOVER OUR WINE ........................................ 2
VISITING TASSIE ........................................... 4
NORTH WEST WINE TRAIL ............................. 6
TAMAR VALLEY WINE TRAIL (includes Tamar Valley, Pipers River and Launceston) .................. 10
TASSIE WINE GROWING AREAS & VARIETIES ......................................................... 19
EAST COAST WINE TRAIL ........................................ 20
SOUTHERN WINE TRAIL (includes Coal River Valley, Derwent Valley, Huon Valley/d'Entrecasteaux Channel and Hobart) ........................................ 26
VINØ TASMANIA ............................................ 32
2020 has been a challenging year for many of us and we’ve been delighted and humbled by the support and interest in Tassie wines from so many around the globe.
You—our Tassie wine lovers—have sought out your favourite wine producers, joined wine clubs and ordered wine online. As hospitality and tourism has reopened, you’ve demanded Tasmanian wines in your local wine bars, restaurants and bottle shops. And you’ve chosen (or hopefully will soon) to visit Tasmania and its cellar doors and meet our talented wine producers.
We are biased, we know, but there are a lot of reasons why you should absolutely be applauded for your support! Read on…
**TASSIE WINE IS AWESOME!**
- Tasmania’s wines are among the best on the entire planet
- We only produce a thimbleful of wine (1% of Australia’s total wine), but it’s the best (over 4% of Australia’s wine value)
- Our people – Tasmanians – are the best kind of people, particularly the ones that grow and make things
- Sparkling wine (yum)
- Pinot noir (the “heartbreak” grape)
- Riesling, chardonnay, pinot gris, shiraz (or syrah, for the refined) and all sorts of other wonderful, delicious grape varieties that call Tasmania home
- We drink most of it ourselves – only 5% is exported, the rest is sold in Australia and much of it is only available in Tasmania itself.
Unbelievably, we almost didn’t have a wine sector at all! A lot of people said it couldn’t be done, that Tasmania was too cold for wine grapes, that it would never amount to anything! Despite these detractors, some brave and determined people made sure those people ate their words (and drank our delicious wine).
Tasmania has a whole lot of wine history that most don’t know about – its first recorded vineyard was planted way back in 1823 and Australia’s first sparkling wine was made in Tasmania in 1826. One of the very first experiments with grapevines in Tasmania resulted in a wine that was proudly shown at a Paris exhibition in 1848. There are some great stories about adventurous Tasmanians having a go at growing grapes in different parts of the island throughout the 1800s, with varying success.
However, after this brave early start, the island’s wine production all but disappeared until the 1950s. At that time, some enterprising migrants from Europe recognised the similarities in Tasmania of the soils and climate with the great grape growing regions of their homelands, and began to challenge and disprove the theory that Tasmania was too far south for grapes to ripen.
It’s fair to say that they were right! Today, Tasmania has a global reputation for outstanding wines that well exceeds its modest size, winning high praise from wine lovers, judges and critics around the world.
As an island, we have a cool climate which is moderated by the ocean. We’re about 240 kilometres from the Australian mainland (also known as the “big island”). To our south is Antarctica, there’s no land to our west until you reach South America, while New Zealand is to our east.
We have mild spring and summer temperatures, with warm autumn days and cool nights, which allows our grapes to slowly and steadily ripen without extreme changes in temperature. This means our wines jump out of the glass with their flavour intensity and make your mouth water with their refreshing structure.
Tasmania is a single wine region, but it is incredibly diverse, as you’ll taste in our wines. Vineyards are planted across the south, east and north of the island, broadly located in seven wine growing areas (check out the map on page 19).
Vineyards that are very close to one another can vary quite a lot in terms of when grapes ripen and are harvested, as well as the flavours and characteristics in each individual wine. Every season, every vineyard, every wine is different, and the best way to experience that diversity is to come and visit!
OUR WINE PRODUCERS WOULD LOVE TO HEAR FROM YOU - VISIT THEIR WEBSITE, CHECK OUT THEIR SOCIALS, JOIN THEIR WINE CLUB OR #BUYDIRECT!
Please visit Wine Tasmania’s website WWW.WINETASMANIA.COM.AU for further information on the island’s wine scene, contact details for wine producers and more.
WHEN YOU VISIT TASMANIA, YOU’RE IN FOR A TREAT!
Tasmania (or Tassie, as the locals know it) is one of the most spectacular places in the world. Lush green corners of paradise, picture perfect beaches, snow capped mountains, breathtaking forests, waterfalls and lakes – you’ll find just about every kind of scenery across our landscape. Not to mention our cute, cuddly and curious wildlife.
You’ll quickly find that Tasmania’s vineyards are generally not found on flat land but follow the slope of a hill or the curve of a valley. This makes for diverse and distinctive wines, with no two vineyards and seasons the same. Even wines from the same vineyard will be different across vintages – you’ll be able to taste the results of the season in each glass.
From converted heritage stables to ultra modern cellar doors, chat and kick the dirt with our wine producers to find out why they have chosen to grow grapes and make wine in our extreme conditions on the edge of the world.
Tasmanian wine is crafted to complement our island’s produce, so find a view somewhere and feast like a local! Pair a delicious Tassie pinot noir with slow pulled pork, a glass of sparkling with some freshly shucked oysters, chardonnay with Tassie’s own scallop pies or local cheeses with a late harvest riesling.
Tasmania’s vineyards stretch across the island, with seven distinct areas divided into four wine experiences as shown in this guide. All are within easy reach of major centres and along the journey to some of Tasmania’s iconic attractions and experiences.
VARIETAL WINE TRAILS: FOLLOW YOUR OWN PATH
If you have a favourite wine or two, you can create your own itinerary focusing on your preferred tipples. Create your own Sparkling or Pinot Noir Wine Trail or whatever takes your fancy. All you have to do is visit www.winetasmania.com.au/wine-trails and select your favourite variety/varieties.
OTHER THINGS TO SEE AND DO
You will find some information in this guide on other complementary things you might like to see and do as you’re travelling around. You’ll also find loads of information to help you plan your visit at www.discovertasmania.com. You may also like to explore complementary food and beverage trails during your visit, such as the Tasmanian Cider Trail www.tascidertrail.com, Whisky Trail www.taswhiskytrail.com and Seafood Trail www.tsic.org.au.
PLEASE NOTE
If you’re reading this as you plan your visit and navigate your way around the island’s cellar doors, please note that you need to get in touch with the vineyards you’d like to visit in advance, as opening hours and offerings have changed during the crazy year that has been 2020. Our wine producers would love to give you the best experience they possibly can, which means they need to know when you’re coming! Please touch base to confirm opening hours and – if you really want to avoid any disappointment – book your visit! Cellar door capacities vary and can be limited.
QUALITY, NOT QUANTITY
Don’t be *that* person. In Tasmania, it is all about quality, not quantity – Wine Tasmania encourages responsible consumption of alcohol and recommends the following: don’t drink on an empty stomach, drink plenty of water, use spittoons, take a guided wine tour with one of the many specialists or, if you plan to drive, choose a designated driver.
Take me home!
Wine producers with this icon displayed are participants in the Tasmanian Mixed Dozen freight scheme. This allows you to purchase a bottle or two from different vineyards as you travel around and have wine dispatched to your home address once you’ve reached a dozen bottles. Present your purchased wines (in dozen lots) at the last participating vineyard on your travels from which you purchase wine – they’ll let you know the cost of freight and it will be sent straight to you. Australia Post is our preferred provider for safe delivery of your mixed dozen wines. Your wine can be delivered to your home, Parcel locker or Parcel Collect at your choice of Post Office.
NORTH WEST WINE TRAIL
This way to the Southern, East Coast and Tamar Valley Wine Trails...
BOOK AHEAD!
Cellar door opening hours and offerings have changed during the crazy year that has been 2020. Our wine producers would love to give you the best experience they possibly can, which means they need to know when you’re coming! Some cellar doors may only be open by appointment. So please check their websites or call to confirm opening hours and book your visit to avoid disappointment (but please do the right thing and cancel if your plans change). Cellar door capacities are limited.
Wine producers with this icon displayed participate in the Tasmanian Mixed Dozen freight scheme—see page 5 for details.
1. **GHOST ROCK WINES**
- 1055 Port Sorell Road, Northdown
- 03 6428 4005
- email@example.com
- [GHOSTROCK.COM.AU](http://GHOSTROCK.COM.AU)
2. **LA VILLA WINES**
- 347 Mersey Main Road, Spreyton
- 0418 642 722
- firstname.lastname@example.org
- [LAVILLAWINES.COM.AU](http://LAVILLAWINES.COM.AU)
3. **LAKE BARRINGTON ESTATE**
- 1136 West Kentish Road, West Kentish
- 0435 587 000
- email@example.com
- [LAKEBARRINGTONESTATE.COM.AU](http://LAKEBARRINGTONESTATE.COM.AU)
4. **LEVEN VALLEY VINEYARD**
- 321 Raymond Road, Gunns Plains
- 03 6429 1140
- firstname.lastname@example.org
- [LEVENVALLEYVINEYARD.COM.AU](http://LEVENVALLEYVINEYARD.COM.AU)
Lush. Bountiful. Welcoming. Untamed. And a good dose of fine produce straight from the source. We’re talking farm stalls flanked by rich red soils and crays plucked straight from the ocean by friendly small-town folk. Beneath broad skies, nature’s dance stretches from ancient Cradle Mountain to sandy coves dotting Bass Strait. In these parts, we take our time. Don’t forget to breathe deeply. After all, the Roaring Forties winds deliver some of the freshest air on the planet.
North West Tasmanians are understated but proud of their patch. Its boundaries are fringed with mountain tiers and it’s the gateway to King Island and the West Coast.
After driving through the region’s fertile food growing regions, it’s only natural that you’ll be keen to taste what they’re producing. Local cooks and chefs will present you with the best the region has to offer. They showcase more than nourishment – they’re offering you a link to the growers and the land they love.
And every mouthful you savour in the North West becomes more special when you learn the stories behind the outstanding food and beverages on offer.
Experience first-hand supremely fresh fruit and vegetables sourced from roadside stalls or the paddock to plate experience of eating food that was sourced from local ingredients. Sample seaside berry farms, highland truffles and artisan cheeses and the wine, of course, the wine.
Generosity and token dairy cows come standard.
NORTHWESTTASMANIA.COM.AU
NOTE
SOME CELLAR DOORS, VINEYARDS, VENUES AND ATTRACTIONS HAVE BEEN IMPACTED BY COVID-19. WE STRONGLY RECOMMEND THAT YOU CALL, EMAIL OR RESEARCH WEBSITES AND SOCIALS TO DETERMINE OPENING DAYS AND TIMES FOR EACH AND EVERY PLACE YOU WISH TO VISIT, TO AVOID DISAPPOINTMENT.
THINGS TO SEE AND DO
• Walk to spectacular Dove Lake and take in the stunning wilderness views in the Cradle Mountain National Park.
• Visit the Makers’ Workshop in Burnie, this contemporary structure is a ‘must see’ and supports local artisans, who demonstrate their skills and techniques on site.
• Follow the Cradle Coast Tasting Trail – a flavoursome journey through rolling green fields from Table Cape to seaside berry farms, highland truffles, artisan cheese and tree-to-bottle cideries.
• Marvel at the 1,900 trees of the Tasmanian Arboretum at Eugenana, home to around 80 local bird species. Platypus can be reliably seen most days in Founder’s Lake.
• Stroll the shore in easy going seaside villages of Ulverstone, Penguin and Wynyard. Visit the popular Penguin market.
OUR GRAPES ARE PRECIOUS
Our grapes and vines need to be very carefully nurtured in order to produce the outstanding wines you’ll be enjoying as you travel around. Please do not enter any vineyards, as you may unknowingly be carrying unwanted pests or diseases that could cause great damage.
Take me home!
Wine producers with this icon displayed participate in the Tasmanian Mixed Dozen freight scheme—see page 5 for details.
This way to the North West Wine Trail...
This way to the East Coast Wine Trail...
This way to the Southern Wine Trail...
BOOK AHEAD!
Cellar door opening hours and offerings have changed during the crazy year that has been 2020. Our wine producers would love to give you the best experience they possibly can, which means they need to know when you’re coming! Some cellar doors may only be open by appointment. So please check their websites or call to confirm opening hours and book your visit to avoid disappointment (but please do the right thing and cancel if your plans change). Cellar door capacities are limited.
1. **JOSEF CHROMY WINES**
- 370 Relbia Road, Relbia
- 03 6335 8700
- email@example.com
- [JOSEFCHROMY.COM.AU](http://JOSEFCHROMY.COM.AU)
2. **THE RIDGE NORTH LILYDALE**
- 106 Browns Road, North Lilydale
- 0408 192 000
- firstname.lastname@example.org
- [THERIDGENORTHLILYDALE.COM](http://THERIDGENORTHLILYDALE.COM)
3. **CLOVER HILL WINES**
- 60 Clover Hill Road, Lebrina
- 03 6395 6114
- email@example.com
- [CLOVERHILLWINES.COM](http://CLOVERHILLWINES.COM)
4. **APOGEE TASMANIA**
- 1083 Golconda Road, Lebrina
- 03 6395 6358
- firstname.lastname@example.org
- [APOGEETASMANIA.COM](http://APOGEETASMANIA.COM)
5. **BROOK EDEN VINEYARD & CELLAR DOOR**
- 167 Adams Road, Lebrina
- 0411 525 649
- email@example.com
- [BROOKEDEN.COM.AU](http://BROOKEDEN.COM.AU)
6. **JANSZ TASMANIA**
- 1216B Pipers Brook Road, Pipers Brook
- 03 6382 7066
- firstname.lastname@example.org
- [JANSZ.COM.AU/WINE-ROOM](http://JANSZ.COM.AU/WINE-ROOM)
7. **PIPERS BROOK VINEYARD**
- 1216 Pipers Brook Road, Pipers Brook
- 03 6382 7555
- email@example.com
- [KREGLINGERWINEESTATES.COM](http://KREGLINGERWINEESTATES.COM)
8. **DALRYMPLE VINEYARDS**
- open by appointment only
- 1337 Pipers Brook Road, Pipers Brook
- 03 6382 7229
- firstname.lastname@example.org
- [DALRYMPLEVINEYARDS.COM.AU](http://DALRYMPLEVINEYARDS.COM.AU)
9. **SINAPIUS**
- 4232 Bridport Road, Pipers Brook
- 0488 740 234
- email@example.com
- [SINAPIUS.COM.AU](http://SINAPIUS.COM.AU)
10. **DELAMERE VINEYARDS**
- 4238 Bridport Road, Pipers Brook
- 03 6382 7190
- firstname.lastname@example.org
- [DELAMEREVINEYARDS.COM.AU](http://DELAMEREVINEYARDS.COM.AU)
---
**MEET OUR WINE PEOPLE**
**JOE CHROMY**
**JOSEF CHROMY WINES**
Josef Chromy OAM is an icon of the Tasmanian food and wine scene. After a daring escape from occupied Czechoslovakia in 1950, Joe landed in Tasmania at the age of 20 and worked hard to build a new life. Now 90, Joe still leads his namesake wine business, which has become synonymous with fine wine, food and hospitality.
11 BAY OF FIRES / HOUSE OF ARRAS
40 Baxters Road, Pipers River
03 6382 7622
email@example.com
BAYOFFIRESWINES.COM.AU
12 WATERTON HALL WINES
open by appointment only
61 Waterton Hall Road, Rowella
0417 834 781
firstname.lastname@example.org
WATERTONHALL.COM.AU
13 HOLM OAK VINEYARDS
11 West Bay Road, Rowella
03 6394 7577
email@example.com
HOLMOAKVINEYARDS.COM.AU
14 CHARTLEY ESTATE
open by appointment only
38 Blackwood Hills Road, Rowella
0418 124 690
firstname.lastname@example.org
CHARTLEYESTATEVINEYARD.COM.AU
15 GOATY HILL WINES
530 Auburn Road, Kayena
1300 819 997
email@example.com
GOATYHILL.COM
16 CABBAGE TREE HILL WINES
107 Greens Beach Road, Beaconsfield
0407 705 095
firstname.lastname@example.org
CABBAGETREEHILLWINES.COM.AU
17 MOORES HILL
3343 West Tamar Highway, Sidmouth
03 6394 7649
email@example.com
MOORESHILL.COM.AU
18 SWINGING GATE VINEYARD
103 Glendale Road, Sidmouth
0419 599 710
firstname.lastname@example.org
SWINGINGGATEWINES.COM.AU
19 WINTER BROOK VINEYARD
150 Hjorts Road, Loira
0468 999 307
email@example.com
WINTERBROOKVINEYARD.COM.AU
20 MARIONS VINEYARD
335 Deviot Road, Deviot
0418 379 548
firstname.lastname@example.org
MARIONSVINEYARD.COM.AU
MEET OUR WINE PEOPLE
JULIAN ALLPORT
MOORES HILL
Julian Allport makes wine powered by the sun – literally!
The Moores Hill winery is 100% solar powered with 108 panels on the roof and 80kw of battery storage. The winery collects all its own water and winery waste is treated on-site. These low carbon footprint wines are also delicious – you must try the riesling, pinot gris and pinot noir.
21 STONEY RISE / HOLYMAN
119 Hendersons Lane, Gravelly Beach
0418 853 924
email@example.com
STONEYRISE.COM
22 GREY SANDS VINEYARD
open by appointment only
6 Kerrisons Road, Glengarry
0407 961 167
firstname.lastname@example.org
GREYSANDS.COM.AU
23 TAMAR RIDGE CELLAR DOOR
1a Waldorn Drive, Rosevears
03 6330 0300
email@example.com
TAMARRIDGE.COM.AU
24 BEAUTIFUL ISLE WINES
open by appointment only
2 Upper McEwans Road, Legana
0411 618 121
firstname.lastname@example.org
BEAUTIFULISLEWINES.COM
25 VELO WINES
755 West Tamar Highway, Legana
03 6330 1582
email@example.com
VELOWINES.COM.AU
MEET OUR WINE PEOPLE
CYNTHEA SEMMENS
MARIONS VINEYARD
Cynthia was just five years old when her family moved from San Francisco to grow grapes in the Tamar Valley. Now the second generation is farming and making wines with organic and biodynamic principles, nurturing soil health and growing kids and worms for the next generation on one of Tasmania’s most spectacular vineyard sites.
PINOT D'PIG
HOLM OAK VINEYARDS
A pig. For real? Absolutely. Why not? Pigs are highly social creatures, with incredible long-term memories and cognitive complexities. We are smart, damn it! The most underrated creatures of the animal kingdom. Despite my crusty exterior, Holm Oak winery would not be the success it is today without my shrewd business directives and hospitable sensibility. I run the joint!
Nurture your soul with boundless experiences and leave behind life as you know it. From scenic drives through cool climate vineyards, to historic townships and heritage estates, to adventure nestled in the Tasmanian wilderness, unveil the best that Northern Tasmania has to offer.
Feast on fresh produce or chat with designers and craft makers eager to showcase their work.
Launceston (the largest city in the region) is a vibrant hub for food, wine, arts and culture. There’s also a touch of the wilderness, with Cataract Gorge not far from the city centre.
The city itself straddles the beautiful Tamar River, which defines the heart of northern Tasmania. The river’s generous life-giving waterways meander through the hills and plains, beaches and bush.
At the river’s head is the city of Launceston. At its mouth, the wide sandy beaches of Tasmania’s north coast.
On its banks, vineyards and cellar doors snuggle side by side along with lavender plantations, strawberry farms and picturesque orchards.
Cellar door tastings are a specialty of Northern Tasmania – there are some magnificent vineyards offering superb views and gourmet experiences: many of the makers will greet you and happily spend time talking about their craft.
With rich farmlands, dedicated makers, delightful food and wine coupled with unimaginable beauty – Launceston and Tasmania’s north is the perfect holiday destination.
VISITNORTHERNTASMANIA.COM.AU
NOTE
SOME CELLAR DOORS, VINEYARDS, VENUES AND ATTRACTIONS HAVE BEEN IMPACTED BY COVID-19. WE STRONGLY RECOMMEND THAT YOU CALL, EMAIL OR RESEARCH WEBSITES AND SOCIALS TO DETERMINE OPENING DAYS AND TIMES FOR EACH AND EVERY PLACE YOU WISH TO VISIT, TO AVOID DISAPPOINTMENT.
THINGS TO SEE AND DO
• Experience Tasmania’s rich mining history at the Beaconsfield Mine and Heritage Centre.
• Explore the beautiful architecture of Launceston’s museums, gardens and parklands.
• Visit Evandale, one of the best preserved late Georgian/early Victorian historic townships in Australia or the historic farming properties of Woolmers and Brickendon in Longford.
• Explore spectacular Cataract Gorge in the heart of Launceston or take to the water and cruise the hidden reaches of the Tamar River.
• Visit Penny Royal Adventures in the heart of Launceston for a range of experiences for young and old including rock climbing, cliff top walk, boat rides and convict adventures.
OUR GRAPES ARE PRECIOUS
Our grapes and vines need to be very carefully nurtured in order to produce the outstanding wines you’ll be enjoying as you travel around. Please do not enter any vineyards, as you may unknowingly be carrying unwanted pests or diseases that could cause great damage.
HARRY RIGNEY & SUSAN DENNY
THE RIDGE NORTH LILYDALE
Altitude, latitude and attitude – that’s @theridgenorthlilydale vineyard in Tassie’s north east, 350m above sea level, with stunning views of Mount Arthur. Here is where we turn mountain air into wine – sparkling and table, pinot noir and chardonnay. Owners Harry and Susan bring together science and art to get the very best from this unique vineyard site.
DR ANDREW PIRIE
APOGEE
Pioneering Tasmanian winemaker Andrew Pirie chose a pristine place for his two-hectare sustainable distinguished vineyard named APOGEE ~ the culmination of his career. Here he handcrafts renowned prestige sparkling cuvées, bespoke wines expressing the exceptional terroir of the site. APOGEE is also heralded for its top tier pinot gris and pinot noir. Memories are made here...
Meet our WINE PEOPLE
OUR WINE PRODUCERS ARE THE HEART OF OUR COMMUNITY. MEET SOME OF THE FRIENDLY FACES WHO WILL PROBABLY GREET YOU AT THE CELLAR DOOR!
JOE & LOU HOLYMAN
STONEY RISE / HOLYMAN
Joe and Lou Holyman have been making wine from their Tamar Valley vineyard for nearly 20 years. Joe makes the wine but secretly prefers to work in the vineyard unless there is nude pigeonage happening in the winery. Lou hangs out in the amazing Cellar Door when she isn't putting out fires Joe has started!
BOB & RITA RICHTER
GREY SANDS VINEYARD
Bob & Rita came to Tasmania specifically to set up a high density, unirrigated, cool climate vineyard in 1987. Come & try their large range of big, bold table wines, which they pre-cellar for you, so they are ready to be enjoyed now or can be cellared longer. Their ‘collectors’ garden cellar door has extensive views over the Tamar Valley.
At Tamar Ridge, it’s all about pinot noir and the undeniable obsession with this coveted varietal – an obsession for Tom that stems from NZ before Tassie stole his heart to craft great pinots in the Tamar Valley … lucky us!
David Feldheim gave up the dance floors of Adelaide for the hills and grapes of the Tamar. Beautiful Isle Wines is the wine baby of David and wife Cynthea since 2012 and is a tribute to the vibrant apple crate art of Tasmania’s Apple Isle hey day. The labels are bright and expressive and so are the wines.
**BLACK COW BISTRO**
WE SPECIALISE IN GRASS-FED TASMANIAN BEEF... in a small, stylish bistro setting with an award-winning wine list focusing on local producers, with knowledgable, humble service.
70 George Street, Launceston TAS 7250
T (03) 6331 9333
E firstname.lastname@example.org
blackcowbistro.com.au
---
**TAMAR VALLEY WINE TOURS**
WE HAVE FUN WITH WINE!
Open every day and Covid safe. Small group wine tasting tours. Fully inclusive of tastings, lunch with wine and cheese! We offer a door-to-door round trip from Launceston.
T 0447 472 177
E email@example.com
tamarvalleywinetours.com.au
---
**THE BRIDPORT BUNKER CLUB**
THE NORTH EAST FOOD DESTINATION...
We aim to use only the freshest and best local Tassie produce, focusing on the North East, creating taste sensations and flavours unique to the BUNKER.
67 Main Street, Bridport TAS 7262
T (03) 6356 1146
E firstname.lastname@example.org
thebridportbunkerclub.com.au
---
**BEACONSFIELD MINE & HERITAGE CENTRE**
COME AND PLAY WITH OUR HISTORY...
The Centre is a collection of experiences that allow you to enjoy and appreciate the history of Beaconsfield and the Tamar Valley.
West Street, Beaconsfield TAS 7277
T (03) 6383 1473
E email@example.com
beaconsfieldheritage.com.au
---
**VALLEYBROOK WINE ON WHEELS TOURS**
YOUR WINE TOUR SPECIALIST...
Sensational guided wine tours in the Tamar Valley. We will take you on an adventure that will delight your senses, building unforgettable memories through wine.
167 York Street, Launceston TAS 7250
T 0451 965 841
E firstname.lastname@example.org
valleybrook.com.au
---
**TURNER STILLHOUSE**
TURNER STILLHOUSE IS A MULTI-AWARD WINNING CRAFT SPIRITS DISTILLERY. Located just 15 minutes from Launceston in the scenic Tamar Valley. Our flagship product is Three Cuts Gin. **Tastings/tours offered daily.**
1A Waldhorn Drive, Grindelwald TAS 7277
T (03) 6776 1414
E email@example.com
turnerstillhouse.com
TASSIE WINE GROWING AREAS
1. NORTH WEST
2. TAMAR VALLEY
3. PIPERS RIVER
4. EAST COAST
5. COAL RIVER VALLEY
6. DERWENT VALLEY
7. HUON VALLEY / D’ENTRECASTEAUX CHANNEL
OUR LITTLE ISLAND ENJOYS A GLOBAL REPUTATION AS A LEADING PRODUCER OF PREMIUM COOL CLIMATE WINES. HERE ARE SOME OF THE MORE POPULAR VARIETIES:
SPARKLING
Tasmania is known as the country’s best sparkling wine region. Sparkling wines, mostly blends of pinot noir and chardonnay, are usually produced in the traditional bottle-fermented method. Also produced are blanc de blancs (white of whites [grapes]) and blanc de noir (white of black [or red grapes]) made from chardonnay and pinot noir respectively.
PINOT NOIR
Tasmania’s most widely planted red variety and one of the most difficult to grow successfully, hence its nickname of the ‘heartbreak grape’. This is a variety perfectly suited to Tasmanian conditions which regularly produce soft, luscious and strongly perfumed wines.
CHARDONNAY
Tassie’s cool climate slowly ripens grapes, which brings great intensity and flavour to the wines. Chardonnay is one of the varieties which shows this beautiful fruit intensity. It’s a bit different to other chardonnay from around the country – more elegant and refreshing (and designed to be enjoyed with food).
RIESLING
A variety which flourishes in Tasmania’s climate, producing subtle but distinctly differing styles. These are zesty, mouth watering wines, made to last. Intense lime, apple and citrus characters are hallmarks of Tasmanian riesling.
PINOT GRIS/PINOT GRIGIO
Same grape, different styles and you will find delicious examples of both in Tasmania. From the richer luscious gris style to the crunchy, zesty and fresh grigio style, expect flavours of pear, almond, apples and honey. As with all Tasmanian wines, enjoy with some of our local produce. Yum.
EAST COAST WINE TRAIL
This way to Tamar Valley and North West Wine Trails.
This way to the Southern Wine Trail...
To Bay of Fires (just a few minutes)
1. **Darlington Vineyard**
63 Holkham Court, Orford
0448 971 630
firstname.lastname@example.org
DARLINGTONVINEYARD.COM.AU
2. **Boomer Creek Vineyard**
10922 Tasman Highway, Little Swanport
0423 912 360
email@example.com
BOOMERCREEKVINEYARD.COM.AU
3. **Kelvedon Estate**
open by appointment only
12371 Tasman Highway, Swansea
03 6257 8283
firstname.lastname@example.org
KELVEDONESTATE.COM.AU
4. **Milton Vineyard**
14635 Tasman Highway, Swansea
03 6257 8298
email@example.com
MILTONVINEYARD.COM.AU
5. **Spring Vale Vineyards**
130 Spring Vale Rd, Cranbrook
03 6257 8208
firstname.lastname@example.org
SPRINGVALEWINES.COM
6. **Craigie Knowe Vineyard**
80 Glen Gala Road, Cranbrook
0499 901 109
email@example.com
CRAIGIEKNOWE.COM.AU
---
**Book Ahead!**
Cellar door opening hours and offerings have changed during the crazy year that has been 2020. Our wine producers would love to give you the best experience they possibly can, which means they need to know when you’re coming! Some cellar doors may only be open by appointment. So please check their websites or call to confirm opening hours and book your visit to avoid disappointment (but please do the right thing and cancel if your plans change). Cellar door capacities are limited.
7. **Gala Estate**
14891 Tasman Highway, Cranbrook
03 6257 8641
firstname.lastname@example.org
GALAESTATE.COM.AU
8. **Devil’s Corner Cellar Door**
1 Sherbourne Road, Apslawn 7190
03 6257 8881
email@example.com
DEVILSCORNER.COM.AU
9. **Freycinet Vineyard**
15919 Tasman Highway, Bicheno
03 6257 8574
firstname.lastname@example.org
FREYCINETVINEYARD.COM.AU
10. **Priory Ridge Vineyard/Cellar Door**
280 Ansons Bay Road, St Helens
0408 479 699
email@example.com
PRIORYRIDGEWINES.COM
---
**Take me home!**
Wine producers with this icon displayed participate in the Tasmanian Mixed Dozen freight scheme—see page 5 for details.
It’s picture perfect – white sand beaches and open endless blue horizons. Places that make you feel like you’re the first person to leave a footprint. National parks filled with wonders, and seaside towns filled with welcome. A gourmet food bowl bursting with the best local fare.
Here, you can experience one of Australia’s greatest road trips – a journey that will lead you to places and moments you’ll never forget. Tasmania’s East Coast is a place of stories, encounters and treasures. A place where small, unexpected moments become lifelong memories and where taking a break can not only refresh but reinvent.
When you embark on the Great Eastern Drive, you’ll need to come with an appetite. This journey will lead you to many of Tasmania’s most delicious experiences in some of its most beautiful locations.
The east coast’s mild climate creates perfect growing conditions for the state’s premium fresh produce, from sweet berries and nuts to award-winning cheeses and the freshest seafood imaginable. Did we mention wine? The region has long attracted passionate growers, producers, winemakers, cheesemakers and chefs, whose creations are just waiting for you to try.
Take a weekend, a few days or longer to explore, feast and wander. Break your journey at a B&B with an ocean view, a luxury lodge or coastal retreat and, when you need time to digest all that delicious produce, grab a taste of some of the region’s most memorable experiences – kayak along the coast, take a cruise to the east coast’s famed beaches, or work up a fresh appetite on some of Australia’s best walks.
Take to the road on the Great Eastern Drive and experience a true food and wine lover’s adventure.
EASTCOASTTASMANIA.COM
NOTE
Some cellar doors, vineyards, venues and attractions have been impacted by COVID-19. We strongly recommend that you call, email or research websites and socials to determine opening days and times for each and every place you wish to visit, to avoid disappointment.
THINGS TO SEE AND DO
• From Orford, take a cruise to Maria Island to observe wombats and wallabies as they graze the Darlington settlement. Don’t miss the Painted Cliffs and Fossil Cliffs.
• Visit the beautiful seaside towns of Swansea, Bicheno, Scamander and St Helens – all rich in history with their beaches, cafes, churches and cottages.
• Meet some of the local wildlife at the nightly fairy penguin parade in Bicheno.
• Enjoy the many walks and spectacular views on offer from the Cape Tourville lighthouse, on the edge of the Freycinet National Park, to the spectacular white sands of Wineglass Bay, Binalong Bay and the Bay of Fires.
• Venture into the Freycinet National Park by cruise boat, sea kayak or on foot to make the unique journey to Wineglass Bay, one of the world’s finest beaches.
MEET OUR WINE PEOPLE
MICHAEL DUNBABIN
MILTON VINEYARD
Michael Dunbabin, with his wife Kerry, have nurtured their vineyard from the ground up. They have embraced the undulating, rocky terroir and dry conditions to produce wines full of East Coast sunshine.
Meet our WINE PEOPLE
OUR WINE PRODUCERS ARE THE HEART OF OUR COMMUNITY. MEET SOME OF THE FRIENDLY FACES WHO WILL PROBABLY GREET YOU AT THE CELLAR DOOR!
ADAM GREENHILL
GALA ESTATE
Meet Adam from @GalaEstate on Tassie’s beautiful east coast. Adam and his family have been farming here for 200 years! 200 years!! It’s probably fair to say that Adam knows a thing or two about how to get the very best from the site into each bottle.
TOM WALLACE
DEVIL’S CORNER
With the Hazards Vineyard as your muse, it’s hard not to have the stunning scenery influence the way you approach winemaking in Tasmania! Meet Tom Wallace: Creating magic from the East Coast since 2013.
OUR GRAPES ARE PRECIOUS
Our grapes and vines need to be very carefully nurtured in order to produce the outstanding wines you’ll be enjoying as you travel around. Please do not enter any vineyards, as you may unknowingly be carrying unwanted pests or diseases that could cause great damage.
UNWIND ON THE EAST COAST...
Centrally located on Tasmania’s stunningly beautiful East Coast, featuring 50 rooms, bistro, bar, bottleshop, heated pool, BBQ area, free WiFi and complimentary car parking.
232 Tasman Highway, Bicheno TAS
(03) 6375 1111
firstname.lastname@example.org
beachfrontbicheno.com.au
THE FARM SHED IS THE PLACE...
to discover, taste and purchase wines from all of the vineyards of Tasmania’s East Coast Wine Region.
53a Burgess Street, Bicheno TAS 7215
T (03) 6375 1868
E email@example.com
thefarmshedtas.com.au
SOUTHERN WINE TRAIL
This way to Tamar Valley & North West Wine Trails.
This way to East Coast Wine Trail
Take me home!
Wine producers with this icon displayed participate in the Tasmanian Mixed Dozen freight scheme—see page 5 for details.
South
Yep, next stop, Antarctica.
BOOK AHEAD!
Cellar door opening hours and offerings have changed during the crazy year that has been 2020. Our wine producers would love to give you the best experience they possibly can, which means they need to know when you’re coming! Some cellar doors may only be open by appointment. So please check their websites or call to confirm opening hours and book your visit to avoid disappointment (but please do the right thing and cancel if your plans change). Cellar door capacities are limited.
1. **BANGOR VINEYARD SHED**
- 20 Blackman Bay Road, Dunalley
- (03) 6253 5558
- firstname.lastname@example.org
- [BANGORSHED.COM.AU](http://BANGORSHED.COM.AU)
2. **CAPE BERNIER VINEYARD**
- 230 Bream Creek Road, Bream Creek
- (03) 6253 5443
- email@example.com
- [CAPEBERNIER.COM.AU](http://CAPEBERNIER.COM.AU)
3. **CAMBRIDGE VALLEY VINEYARD**
- 246 Pass Road, Cambridge
- 03 6247 6266
- firstname.lastname@example.org
- [CAMBRIDGEVALLEY.COM.AU](http://CAMBRIDGEVALLEY.COM.AU)
4. **UPLANDS VINEYARD**
- open by appointment only
- 174 Richmond Road, Cambridge
- 0419 390 015
- email@example.com
- [UPLANDSVINEYARD.COM.AU](http://UPLANDSVINEYARD.COM.AU)
5. **COAL VALLEY VINEYARD**
- 257 Richmond Road, Cambridge
- 03 6248 5367
- firstname.lastname@example.org
- [COALVALLEY.COM.AU](http://COALVALLEY.COM.AU)
6. **FROGMORE CREEK**
- 699 Richmond Road, Cambridge
- 03 6274 5844
- email@example.com
- [FROGMORECREEK.COM.AU](http://FROGMORECREEK.COM.AU)
7. **RIVERSDALE ESTATE**
- 222 Denholms Road, Cambridge
- 03 6248 5666
- firstname.lastname@example.org
- [RIVERSDALEESTATE.COM.AU](http://RIVERSDALEESTATE.COM.AU)
8. **CRAIGOW VINEYARD**
- 528 Richmond Road, Cambridge
- 0418 126 027
- email@example.com
- [CRAIGOW.COM.AU](http://CRAIGOW.COM.AU)
9. **CLEMENS HILL**
- open by appointment only
- 686 Richmond Road, Cambridge
- 0437 008 069
- firstname.lastname@example.org
- [CLEMENSHILL.COM.AU](http://CLEMENSHILL.COM.AU)
10. **PUDDLEDUCK VINEYARD**
- 992 Richmond Road, Richmond
- 03 6260 2301
- email@example.com
- [PUDDLEDUCK.COM.AU](http://PUDDLEDUCK.COM.AU)
11. **POOLEY WINES**
- 1431 Richmond Road, Richmond
- 03 6260 2895
- firstname.lastname@example.org
- [POOLEYWINES.COM.AU](http://POOLEYWINES.COM.AU)
12. **BRINTOP WINES**
- 66 Brintop Road, Penna
- 0407 224 543
- email@example.com
- [BRINTOP.COM.AU](http://BRINTOP.COM.AU)
13. **ROSLYN 1823**
- 409 White Kangaroo Road, Campania
- 0418 713 566
- firstname.lastname@example.org
- [ROSLYN-1823.COM](http://ROSLYN-1823.COM)
14 Wobbly Boot Vineyard
487 White Kangaroo Road, Campania
0427 679 096
email@example.com
WOBBLYBOOTVINEYARD.COM.AU
15 Domaine A
105 Tea Tree Road, Campania
0484 001 944
firstname.lastname@example.org
DOMAINE-A.COM.AU
16 Nocton Vineyard
373 Colebrook Road, Richmond
0404 369 209 / 0416 122 263
email@example.com
NOCTONWINE.COM.AU
17 Pressing Matters
open by appointment only
665 Middle Tea Tree Road, Campania
0408 126 668
firstname.lastname@example.org
PRESSINGMATTERS.COM.AU
18 Merriworth Wines
open by appointment only
63 Merriworth Road, Tea Tree
0406 657 774
email@example.com
MERRIWORTH.COM.AU
19 Petrichor Wines
open by appointment only
Rosewood Lane, Tea Tree
0405 365 717
firstname.lastname@example.org
PETRICHORWINES.COM.AU
20 Forth Valley Vineyard
478 Brighton Road, Pontville
0439 952 640
email@example.com
FORTHVALLEYWINES.COM.AU
21 Invercarron Wines
open by appointment only
1330 Elderslie Road, Broadmarsh
0418 129 344
firstname.lastname@example.org
INVERCARRONWINES.COM.AU
22 Derwent Estate
329 Lyell Highway, Granton
03 6263 5802
email@example.com
DERWENTESTATE.COM.AU
23 Stefano Lubiana Wines
60 Rowbottom Road, Granton
03 6263 7457
firstname.lastname@example.org
SLW.COM.AU
24 Laurel Bank
open by appointment only
130 Black Snake Road, Granton
03 6263 5977
email@example.com
LAURELBANKWINES.COM.AU
25 Moorilla
655 Main Road, Berriedale
03 6277 9960
firstname.lastname@example.org
MOORILLA.COM.AU
26 Domaine Dawnelle
open by appointment only
40 Negara Crescent, Goodwood
0447 484 181
email@example.com
DOMAINEDAWNELLE.COM
27 Quiet Mutiny
open by appointment only
West Hobart
0410 552 317
firstname.lastname@example.org
QUIETMUTINY.WINE
On top of a growing reputation for its edgy arts and music scene, Hobart’s world class food and wine, history and heritage blend together to make Australia’s southernmost capital city a must-see destination.
It’s the gateway to southern Tasmania and it doesn’t really matter whether you love trekking into the wilds, sipping on a crisp riesling or venturing deep into an underground museum. There’s a little something for everyone in a place so compact that a few days will feel like a week. With short travel times between adventures, you can be atop Mount Wellington and swimming at a beach on the same day, cruising up the River Derwent and meeting a local artist in Salamanca on the very same afternoon.
The beauty of this capital city is that everything is close to Hobart. Those eager to explore beyond the city centre in any direction will stumble across vineyards, beaches, forests, historic towns, markets, museums and mountains right next door to the city itself.
And there’s good reason well-known foodies have settled in southern Tasmania. The soil is rich, the water and air pure, and innovative locals serve up paddock to plate goodness. Growers and makers deliver everything from soft goat’s cheese, smoked salmon and roadside apples to world class sparkling wine. Pick your own fresh produce direct from the source or pull up at a seat at a stylish eatery.
Tasmania may look little on the map, but it’s brimming with things to do. Whether you’re into art and culture, outdoor adventure or have a penchant for exploring the past, Tasmania has plenty to fill your day. Pull on some boots and venture into the wilderness, meet a maker, drive through vineyard landscapes or get up close to a Tassie devil. Perhaps you like the idea of cruising our waterways or browsing colourful market stalls. There are things to experience here that you can’t do anywhere else on the planet.
Time to get out a pen and paper – it could be a quite a list.
WWW.HOBARTANDBEYOND.COM.AU
NOTE
SOME CELLAR DOORS, VINEYARDS, VENUES AND ATTRACTIONS HAVE BEEN IMPACTED BY COVID-19. WE STRONGLY RECOMMEND THAT YOU CALL, EMAIL OR RESEARCH WEBSITES AND SOCIALS TO DETERMINE OPENING DAYS AND TIMES FOR EACH AND EVERY PLACE YOU WISH TO VISIT, TO AVOID DISAPPOINTMENT.
MEET OUR WINE PEOPLE
ANNA POOLEY
POOLEY WINES
For Anna Pooley, making wine is about community. As a child, she loved being part of her family’s first harvest and it sparked a fascination that never ceased. In high demand, she worked for some of Australia’s biggest names in wine. Today she’s returned to Pooley as an important member of Tasmania’s wine community and its first third-generation winemaking family.
THINGS TO SEE AND DO
• MONA is the Museum of Old and New Art, displayed in a secular temple at Moorilla Estate: 6,000 square metres of artwork that will batter your beliefs.
• Each Saturday hosts Australia’s best outdoor market on Salamanca Place – bargains and buskers, art and craft, food and wine, trash and treasure.
• Visit the pinnacle of spectacular Mt Wellington and see the entire city and its harbour below.
• Immerse yourself in the power of Port Arthur, its convict buildings, gardens, tours and captivating tales—an essential Tasmanian experience.
• Get back to nature – walk the Three Capes Track, take a day trip by ferry to Bruny Island or wander the pristine beaches of Tasmania’s South.
28 GLAETZER DIXON
93 Brooker Avenue, Hobart
0417 852 287
email@example.com
GDFWINEMAKERS.COM
29 KATE HILL WINES
21 Dowlings Road, Huonville
0448 842 696
firstname.lastname@example.org
KATEHILLWINES.COM.AU
30 HOME HILL WINES
38 Nairn Road, Ranelagh
03 6264 1200
email@example.com
HOMEHILLWINES.COM.AU
31 SAILOR SEKS HORSE
open by appointment only
Port Cygnet Cannery
60 Lymington Rd, Cygnet
0418 471 120
firstname.lastname@example.org
SAILORSEEKSHORSE.COM.AU
32 MEWSTONE WINES
open by appointment only
11 Flowerpot Jetty Road, Flowerpot
0425 253 218
email@example.com
MEWSTONEWINES.COM.AU
33 BRUNY ISLAND PREMIUM WINES
4391 Bruny Island Main Road, Lunawanna
0409 973 033
firstname.lastname@example.org
BRUNYISLANDWINE.COM.AU
GASWORKS CELLAR DOOR
TASTE TASMANIAN WINES IN YOUR OWN HOME.
Buy 6 or more bottles from our website to receive FREE delivery PLUS 10% discount Australia wide!
Enter code 21WINE21.
2 Macquarie Street, Hobart TAS 7000
T (03) 6225 9944
E email@example.com
gasworkscellardoor.com.au
LET’S SHOW YOU TASMANIA WINE TOURS
DELIGHTING TRAVELLERS FOR 20+ YEARS...
Let’s Show You Tasmania is for couples or groups of all sizes, specialising in social/corporate and pre-wedding events. Departing from Hobart.
T 0418 576 489
E firstname.lastname@example.org
showoutasmania.com.au
Meet our WINE PEOPLE
OUR WINE PRODUCERS ARE THE HEART OF OUR COMMUNITY. MEET SOME OF THE FRIENDLY FACES WHO WILL PROBABLY GREET YOU AT THE CELLAR DOOR!
DARREN & JACKIE
PUDDLEDUCK WINES
With over 55 years of combined experience in the Southern Tasmanian wine industry, Darren and Jackie of Puddleduck Vineyard in the Coal River Valley look forward to your visit to our fun, family owned vineyard. Grown, made and sold 100% onsite using sustainable practices including being insecticide free for over 13 years thanks to our flock of guinea fowl.
GILL & TODD
BRINKTOP WINES
Gill and Todd have been making wine in the Coal River Valley since 1999. Brinktop started when they purchased the old Killara Farm between the village of Richmond and Sorell. Eight hectares of vines include pinot noir, chardonnay, tempranillo and shiraz. Tasting and sales are offered directly from their onsite winery.
Keep an eye out for this symbol on wine bottles, websites and promotional material, as well as at cellar door if you’re visiting Tasmania.
Being located so far south, on an island exposed to the Roaring Forties, presents unique challenges for our growers and makers. Rain, lack of rain, hail, snow, wind (lots of wind), but also plentiful sunshine – it makes it hard and risky to craft these wines, but our people are very talented.
Part of their skill comes through application of the VinØ (pronounced vin zero) Tasmania Program, a way to measure, monitor and improve sustainability practices.
This program ensures that Tasmania’s hard-working wine producers are doing everything they can to produce very high-quality wine without negative impacts on the environment or local community.
VinØ Tasmania program members understand the connection with the land and people and recognise that we are custodians with a responsibility to future generations.
The VinØ Tasmania program focuses on the following key areas of vineyard and winery management:
- The health of our soils, on which we rely on for high quality wine grapes
- Managing pest and disease pressures in an environmentally responsible manner
- Biodiversity – using natural flora and fauna to support land and vineyard health
- Measuring and minimising water use in vineyards
- Responsibly managing waste and recycling
- Looking after our valuable vineyard personnel, and the broader community
- Understanding the role that members play in biosecurity, with respect to the longevity of the sector
- Managing aspects in the winery to ensure efficiency, quality and responsibility.
- Measuring, managing, reducing and mitigating our carbon emissions with an aim to achieve carbon neutral.
The VinØ Tasmania program provides a framework on the world’s best possible practices across each of these critical areas. Tasmanian wine producers use this framework to monitor, measure, report, benchmark and constantly improve their sustainability practices.
View further details here – https://winetasmania.com.au/vinzero
WINE TASMANIA.COM.AU |
International primate neuroscience research regulation, public engagement and transparency opportunities
Anna S. Mitchell\textsuperscript{a,1,*}, Renée Hartig\textsuperscript{b,c,d,1}, Michele A. Basso\textsuperscript{e}, Wendy Jarrett\textsuperscript{f}, Sabine Kastner\textsuperscript{g}, Colline Poirier\textsuperscript{h}
\textsuperscript{a} Department of Experimental Psychology, University of Oxford, Oxford, United Kingdom
\textsuperscript{b} Centre for Integrative Neurosciences, University of Tübingen, Tübingen, Germany
\textsuperscript{c} Max Planck Institute for Biological Cybernetics, Tübingen, Germany
\textsuperscript{d} Department of Psychiatry and Psychotherapy, Central Institute of Mental Health, Medical Faculty Mannheim, Heidelberg University, Mannheim, Germany
\textsuperscript{e} Fuster Laboratory of Cognitive Neuroscience Department of Psychiatry and Biobehavioral Sciences UCLA Los Angeles 90095, CA United States
\textsuperscript{f} Understanding Animal Research, London, United Kingdom
\textsuperscript{g} Princeton Neuroscience Institute & Department of Psychology, Princeton University, Princeton, United States
\textsuperscript{h} Biosciences Institute & Centre for Behaviour and Evolution, Faculty of Medical Sciences, Newcastle University, United Kingdom
\textbf{Article info}
\textbf{Keywords:}
Primates
Housing standards
Neuroimaging
MRI
Welfare
Culture of care
Public engagement
\textbf{Abstract}
Scientific excellence is a necessity for progress in biomedical research. As research becomes ever more international, establishing international collaborations will be key to advancing our scientific knowledge. Understanding the similarities in standards applied by different nations to animal research, and where the differences might lie, is crucial. Cultural differences and societal values will also contribute to these similarities and differences between countries and continents. Our overview is not comprehensive for all species, but rather focuses on non-human primate (NHP) research, involving New World marmosets and Old World macaques, conducted in countries where NHPs are involved in neuroimaging research. Here, an overview of the ethics and regulations is provided to help assess welfare standards amongst primate research institutions. A comparative examination of these standards was conducted to provide a basis for establishing a common set of standards for animal welfare. These criteria may serve to develop international guidelines, which can be managed by an International Animal Welfare and Use Committee (IAWUC). Internationally, scientists have a moral responsibility to ensure excellent care and welfare of their animals, which in turn, influences the quality of their research. When working with animal models, maintaining a high quality of care (“culture of care”) and welfare is essential. The transparent promotion of this level of care and welfare, along with the results of the research and its impact, may reduce public concerns associated with animal experiments in neuroscience research.
\section*{1. Introduction}
International collaborations are critical to rapidly advance scientific endeavours, as evidenced by successful international collaborations developed in response to coronavirus SARS-CoV-2 (Covid-19). For neuroscience, international collaborations are also vital in our quest to determine how the brain functions in normal and abnormal states. However, international collaboration can sometimes be hindered by national differences in welfare standards governing the use of non-human primates (NHPs). Despite the extensive ethical approval process and oversight surrounding NHP research within individual countries across the globe, there remains no common set of international regulations for NHP welfare in research that is comparable to the Declaration of Helsinki for human research. The lack of an international set of standards was highlighted as an impediment to fostering and enhancing international collaborations in the most recent PRIMatE Data Exchange (PRIME-DE) Consortium report (Milham et al., 2020).
Forging, and agreeing upon, acceptable common ethical and welfare standards used in NHP neuroscience research is necessary to support the researchers involved and to begin establishing vital international collaborations. The PRIME-DE Consortium community would like to address this challenge going forward. We believe that determining what are acceptable common standards, which do not compromise the welfare and care for the animals, nor scientific ethics, especially as applied to NHP neuroimaging research, will help establish international guidelines.
For our community, clear benefits are derived from data sharing, in particular an increase in statistical power (Button et al., 2013), for both...
existing NHP datasets and future ones. To protect the researchers involved in data sharing, additional transparency about the ethical and welfare standards applied to the NHPs involved in collecting these datasets is imperative. Transparency can be increased by including the identification of relevant regulatory bodies that provide the research approval, and references to published ethical and welfare standards followed in the experimental protocols. Further, providing details about current housing conditions and early life experiences of the NHPs involved in the studies is also invaluable (Poirier et al., 2021).
In essence, this article takes steps to identify a common ground in regulations, guidelines, oversight, and welfare standards applied to NHP neuroscience research, so we can move forward with developing international collaborations and catalyze change to benefit science and animal welfare. However, this article does not provide comparisons between countries or institutions regarding the time frames for approval, or level of details in protocols and procedures, that are required to fulfil the legal requirements for obtaining permission to conduct neuroscience research involving NHPs. We first clarify when and why NHP animal models are used in neuroscience research; then we identify the regulations for animal research across different countries and present the common international standards in place concerning NHP research ethics and regulations. In our article we do not suggest that these common standards are sufficient for international collaborations to proceed. Rather, this needs to be established by others (see below and Section 7). After setting out these common, but not minimum or minimal, standards in Section 4, we highlight many known examples of efforts to identify best practice and improve neuroscience research involving NHPs. For instance, neuroscientists are contributing empirical evidence that demonstrates improvements to standards of welfare and care for the NHPs involved in neuroscience research. Additionally, we explain some effective ways that neuroscientists, institutes, funders, and non-governmental organizations are engaging with the public and being more transparent about NHP animal models in research. Finally, in Section 7, to forge ahead in our endeavours to establish international collaborations in NHP neuroscience research, we propose the implementation of an International Animal Welfare and Use Committee (IAWUC) to provide a vital role in facilitating international communication and transparency on the range of animal care and welfare standards worldwide. With this, the IAWUC would provide advice to the relevant institutions’ regulatory bodies that authorize NHP research to ensure that institutions, funders, neuroscientists, and the NHPs are all safeguarded with these collaborations.
2. Non-human primate (NHP) animal models used in scientific research
Animal research, including NHP models, constitutes a vital part of our daily lives. This has been evidenced now, perhaps more so than ever, by the need for animal models, including NHPs, in the development of vaccines and antibody testing for Covid-19. With an animal model, scientists can model some process, mechanism, or aspect of human disease in an animal species, rather than trying to model the entire human experience.
NHP models (i.e., Old World macaques and New World marmoset monkeys) have played a key role in vaccine development and antibody testing (European Animal Research Association). The genetic, anatomical, physiological, and behavioral proximity of the monkey to the human makes them the best available animal model for certain topics, including neuroscience research (Phillips et al., 2014). Monkeys exhibit several skilled responses typical to primates, including humans (Friedman et al., 2017; Lemon, 2018; Nelissen et al., 2018). They also have similar binocular (Poggio and Fischer, 1977) and color (Merigan, 1989) vision to humans, and a comparable auditory system (Petkov et al., 2006). NHP models are, thus, particularly useful for studying sensory responses, grasping motor control, and prosthetic development, amongst others.
Moreover, research with NHP models has been effective in developing treatments for several human brain disorders, such as Parkinson’s disease and dystonia, motor neuron disease, dementia, stroke, and neuropsychiatric disorders (Buffalo et al., 2019; Bernardi and Salzman, 2019; Capitano and Emborg, 2008; Friedman et al., 2017; Lemon, 2018; Roberts and Clarke, 2019). As brain disorders are a major contributor to the burden of disease across the globe and a significant public health challenge (WHO, 2006), an understanding of such disorders and translating this understanding into new therapies and biomarkers are fundamental.
An example highlighting the use of NHPs as an animal model is with the study of abnormal behavioral phenotypes, resulting from genetic modifications related to human psychiatric disorders. Developmental and communication disorders, such as Autism Spectrum Disorder (ASD), have typically been studied in transgenic rodent lines manufactured to help researchers characterize behavioral phenotypes at the cellular and molecular levels (Schmeisser et al., 2012; Won et al., 2012). However, recalling the behavioral proximity of NHPs to humans, social interactions and group behavior may be studied in NHPs with greater relevance to humans. Recent advancements have led to a successful NHP model for ASD (Tu et al., 2019; Zhou et al., 2019). The use of the NHP model in this context can bridge the gap between rodents and humans (Bauman and Schumann, 2018), helping to translate the neurobiological underpinnings of behavioral phenotypes to humans.
Major differences in primate vs. non-primate brain organization and connectivity (Ding, 2013; Joel and Weiner, 2000; Ventura-Antunes et al., 2013) mean that more advanced, cognitive functions are better to be studied in primate models. NHPs can be trained to perform complex cognitive and behavioral tasks designed to study cognition and higher-order brain functions (e.g., learning, memory and recognition, visual attention, and decision-making). While brain function related to cognition and behavior are studied in humans and other species, NHP models allow for invaluable in vivo physiological recordings and/or the use of discrete brain perturbations during complex cognitive tasks, affording neuroscientists the opportunity to probe fundamental neural responses and determine the impact on an animal’s cognition and behavior (Chakraborty et al., 2016; Mitchell et al., 2007; Pelekanos et al., 2020). Parallel studies applying the same task (i.e., attention) and methods (i.e., intracranial electrophysiology) in both humans (Helfrich et al., 2018; Martin et al., 2019) and NHPs (Fiebelkorn et al., 2018; Saalmann et al., 2012) are invaluable for deriving a comparative assessment of higher-order brain function. Primates are also crucial for the validation of non-invasive research methods used in human neuroscience. For example, neuroanatomy in monkeys, a gold standard approach (Carmichael and Price, 1995; Craig et al., 2014; Yetterian and Pandya, 1985), helps support neuroimaging studies on human brain connectivity (Van Essen et al., 2019). To curate comparative datasets, the Brain Initiative has worked to combine both human and monkey brain research in a publicly available manner.
The use of NHP models in biomedical research, which includes the number of NHPs used in virology and immunology studies as well as those used in neuroscience, is comparatively small (see Fig. 1), yet it remains vital. For instance, statistics from the past two years showed that NHPs constituted just 0.11% of all animals used for scientific purposes in Germany (German Federal Ministry oFederal Ministry of Food and Agriculture, 2019), and 0.08% for that in the UK (Home Office, 2020). Independent international reports commissioned by governments and funding bodies continue to indicate that animal research, including NHP models, cannot be abolished at this time without hindering scientific and medical progress (Bateson et al., 2011; EU Parliament, 2015; Friedman et al., 2017; SCHEER, 2017; Weatherall, 2006). It may even be the case that more monkeys need to be used in the near future, assuming appropriate standards of welfare, regulatory, and ethical considerations are met (Mitchell et al., 2018). Additional NHP models may be needed to provide fundamental understanding about the human brain that is not achievable using rodents or other mammalian species. NHP models
may also aid in the investigation of diseases using new technologies or techniques (Singh et al., 2021). For example, NHP models may be used to provide insights using CRISPR-Cas9 techniques (Doudna and Charpentier, 2014), while specific transgenic monkey models may continue to be engineered to investigate human genetic disorders (e.g. Liu et al., 2014; Park et al., 2016; Zhou et al., 2019), and novel methodologies combined in NHP models may help progress study of neurodegenerative diseases (e.g. Beckman et al., 2019). While particular animal models are used in our endeavors to identify different aspects of human diseases, a rigorous and robust review of the most appropriate animal model is always determined via regulatory committees. Combining research that incorporates the most appropriate species allows for a multi-level and layer approach to collecting the evidence to address specific scientific questions.
In summary, NHP models, along with other species are used to investigate specific scientific questions. Many advances in our understanding of brain function have resulted from the use of animal models and through the sharing of research outcomes, involving many species of animals, including NHPs. For example, NHP animal models helped develop successful treatments for amblyopia, which affects 4% of children around the world (Kiorpes, 2019) as well as effective treatments for Parkinson’s disease, which affects about 1-in-500 people over the age of 50 years living in the UK (for review see Goldberg, 2019). Appropriate harm/benefit analyses should be applied to proposed future international collaborations involving NHP research models, to determine the extent of the harms and how harm can be mitigated with appropriate, humane interventions and end-points. As an added advantage to international collaborations involving animal models, the standards of welfare amongst all parties involved will improve by sharing best practices and the latest refinement successes (Prescott and Poirier, 2021). Preventing strictly regulated international collaborations in the future would only be a step backwards for both advancing standards of animal welfare and care, and our scientific endeavors.
3. Regulations for animal research across different countries
As stated in the most commonly referenced regulatory standards, “all who care for, use, or produce animals for research, testing or teaching must assume responsibility for their well-being (Guide for the Care and Use of Laboratory Animals, 2011).” The 8th edition of this guide, cited 10,895 times, is recognized internationally for setting standards for animal care and use. This Guide states that “both researchers and institutions have affirmative duties of humane care and use” of research animals, which is later defined as “those actions taken to ensure that laboratory animals are treated according to high ethical and scientific standards (NRC, 2011).” This Guide further states that “it is the institution’s responsibility to put into place policies, procedures, standards, organizational structure, staffing, facilities, and practices to ensure the humane care and use of laboratory animals throughout the institution (NRC, 2011).”
This Guide (NRC, 2011) may serve as an international benchmark for countries with well-developed animal-based research programs. However, it must be noted that there are varying approaches in different countries to the use of animals for research, testing and teaching purposes. Why is that the case though? Each country has its own set of guidelines or regulations that is commensurate with national customs and local practices. Such differences in each country’s guidelines can constrain collaborative efforts and/or contributions to global initiatives. At times, there is more involved than just ethics. For instance, there is the issue of regulatory burden, where politics and bureaucracy often supersede ethics. One example is the United States Animal Welfare Act, which excludes rats, mice, and birds (USDA), in a likely attempt to limit additional financial and regulatory burdens on biomedical research and the required enforcement by an additional government body (NABR, 2002). Overall, regulatory approaches and welfare standards need to be evidence-based in all countries.
At the regional level, the European Union (EU) Directive 2010/63/EU states that animals have intrinsic value that must be respected and that animal welfare considerations should be given the highest priority and each use be carefully evaluated (European Commission 2010). Further, a recent Commission Implementing Decision (European Commission 2020a, European Commission 2020b) based on the Directive re-emphasized the principles of replacement, reduction, and refinement (the 3Rs) when using animals in research. To systematically and centrally document and evaluate 3Rs implementation, EU member states will be required to submit non-technical project summaries and retrospective assessments of authorized projects (Office of the European Union, 2020).
At the global level, the World Organization for Animal Health (OIE) comprises more than 180 member countries. Its mandate is to improve animal health and welfare worldwide using the internationally recognized eight guiding principles on animal welfare outlined in Chapter
7 of its Terrestrial Animal Health Code. These principles include the ‘five freedoms’ and incorporate the use of the ‘three Rs’ for animals involved in science. A gross overview of the current laboratory animal science policies and administration in China, Japan, and Korea (Kong and Qin, 2010; MacArthur Clark and Sun, 2020; Ogden et al., 2016) reveals regulatory bodies analogous to countries like the UK, US, and EU countries.
Regular reviews of each countries’ regulations and the infrastructure and systems that support them also occur (e.g. Institute of Medicine (US); National Research Council (US); International Animal Research Regulations: Impact on Neuroscience Research, 2012). The revised International Guiding Principles for Biomedical Research Involving Animals is the result of a partnership between the Council for International Organizations for Medical Science (CIOOMS) and the International Council for Laboratory Animal Science (ICLAS), which formed to update the Guiding Principles (2012, available on the OLAW website) Statement of Principles for the Use of Animals from over 330 professional societies, organizations, and countries.
Typically, the basis for determining the morality of work in animals is founded in utilitarianism – the morality of an action is determined by its consequences (e.g., where causing harm to animals is acceptable if it increases the well-being to a greater number of others, including other animals and humans). Another moral viewpoint applied to research with humans is deontology, from the philosopher Immanuel Kant, which purports that the morality of an action is determined by moral rules or laws that consider the individual’s dignity and worth. Animal welfare researchers have recently proposed a ‘deontology’ approach be used to determine the morality of research involving NHPs (Carvalho et al., 2018). A harm/benefit analysis using the utilitarian approach weighs the consequences of using an animal model (harm to the animal combined with mitigating effects, compared to the benefits to the greater good of knowing this information), while also considering the most appropriate species and the statistically necessary number of animals involved. A utilitarian approach for considering neuroscience research involving animal models may consider the impact and burden of medical conditions that affect the brain, such as mental health, neurological disorders, substance abuse disorders, and self-harm. This impact and burden was recently assessed as equating to 19% of total disability adjusted health years across countries that represent the Americas (Vigo et al., 2019).
4. Common international standards for animal research ethics and regulations with NHPs
To be able to forge international collaborations, we must identify the common, highest attainable, standard that is currently applied to the ethical and welfare regulations of NHPs across the world. At the international level, this common, highest attainable standard is imperative, but not sufficient to ensure the safeguarding of all parties, including the institutions, funders, scientists, and animals involved. Thus, an oversight committee with a mandate to establish the common and requisite standards of welfare and care for international collaborations is also required, as we propose in Section 7. The authors hope that this paper will raise more awareness with the OIE about the current lack of internationally approved ethical and welfare standards for NHPs. We also hope that the OIE may provide a possible leadership role in facilitating the creation of an internationally recognized oversight committee for international collaborations.
The previously published Culture of Care document (Brown et al., 2018) details this mandate: “Many of the laws and guidelines surrounding animal care and use allow for the use of professional judgment (Klein and Bayne, 2007). This should not be interpreted to support a minimalistic approach that just meets the letter of the law, but instead should be applied to working with animals in a manner that strives to provide the best possible care for the animals, thus, producing the highest-quality scientific results (Medina, 2008). A culture of care often starts with an institutional mission and value statement that clearly states the institution’s commitment to the humane care and use of animals (Phanuel Kofi Darbi, 2012).” The culture of care for the animals has vast implications on the training of personnel and handling of research animals, and on our ability to work together on the global stage.
For the regulation of animal research including NHPs, it is universally agreed that two components to oversight and governance are essential:
1) A locally based ethical oversight committee operating within the institution or university that provides a key role in reviewing and approving protocols and experimental procedures involving NHPs. In many countries, including the USA and China, this committee is referred to as an IACUC (Institutional Animal Care and Use Committee). In the UK and EU, a similar type of institution-based committee also provides the oversight and initial approval at the local level. However, these institution-based committees do have different approval processes and responsibilities, depending on the additional levels of local, state, and national regulation of animal research. Nevertheless, the committee members must include people with appropriate expertise, including primate veterinarians, animal care staff, scientists conducting animal/NHP research, and the lay public.
2) Animal facility inspections to ensure ethics, welfare regulations, and scientific work is carried out as detailed.
During the process of writing this manuscript, data were collected based upon two evaluative tables (see Supplementary Information). These data and other publications available online (e.g. German law and UK Home Office) helped inform us of the ethical and welfare regulations in countries that conduct animal research involving NHP models. This information provides an overview of the care and use of NHPs (macaques or marmosets) in some of the countries that permit NHPs to be used in neuroscience research, comprising Supplementary Table 1: Ethical regulations for conducting neuroscience procedures with NHPs, and Supplementary Table 2: Animal welfare, including information regarding housing regulations (see Supplementary Information).
From Supplementary Table 1, across the institutions that conduct neuroscience research work with animals, including NHPs, both of the key components (outlined above) to oversight and governance are implemented. For example, in the US and China, the local IACUC, based at the institute or university, reviews the scientists’ application for work with NHPs. In the UK, the Netherlands, France, and Germany, similar local animal welfare, use, and ethical review committees, based locally (e.g., township, institute or university), review and provide the initial approval of applications. In addition, further review and approval of applications is provided at the level of national committees in the UK and EU, following the 2010/63/EU Directive. In all countries, members of the committees consist of a good balance of people with specialist knowledge, including veterinarians, animal care staff, and scientists involved in NHP and animal research, as well as lay people. In addition, regular (typically annual) inspections are conducted by these IACUCs and institution-based local committees, and in the case of the UK and EU, by regional inspectors and national committees as well.
From Supplementary Table 2, many common methods were reported regarding the care and welfare of NHPs involved in neuroscience research. For example, all NHPs are given daily opportunities for enrichment, in the form of objects to manipulate, a variety of foods, and/or behavioral training or time in exercise rooms (play cages). In some labs, NHPs also have access to music, television to watch, or touchscreen computers attached to their home cages. In addition, all NHPs are housed with visual and auditory contact with conspecifics. Marmosets are housed in family groups.
Across the UK and EU countries, similar time frames are used to wean marmosets (6–8 months) and macaques (from 8 months) from their mothers. Breeding transgenic monkeys can involve shorter time frames for weaning. Researchers in the US and China have highlighted a need to raise some transgenic infants in nurseries from birth onwards (Chan and
In Japan, transgenic marmosets may be weaned at 3 months of age (Tomioka et al., 2017).
Regular weighing of the animals functions as a common, readily practiced measure of the monkey’s health and wellbeing. While on protocols, monkeys may be weighed up to daily with no longer than 14 days between sets of weights. Clear guidelines and definitions of the amount of weight loss are provided - with veterinary examinations carried out if an animal’s weight drops between 10-15% from its original weight, while an animal is removed from study if weight drops by 20% from original weight in China, similarly in the UK, EU, and USA with some minor differences.
Research protocols involving fluid and/or food control are similarly regulated across international NHP research labs, although within each research laboratory, the specific controls differ, in order to collect the scientific data from each particular animal (Poirier et al., 2021). There are guidelines provided for the minimum daily amount of fluid intake (20 mls/kg per day), and in some facilities there is a minimum amount of time that the NHP has free access to water (at least 3–6 h per 24 h and at least one day of free access per week). These guidelines have been outlined in Prescott et al. (2010).
One of the differences observed from Supplementary Table 2, although this is changing, is how NHPs are acquired for neuroscience research. In some countries where NHPs are used in neuroscience research, they must be acquired from purpose-bred facilities, where the animal health status and welfare are recorded. However, in China, prior to Covid-19, it was possible to use some NHPs that had been caught from the wild.
Another difference reported from Supplementary Table 2, is the sizing of the home enclosures and caging for the monkeys and marmosets. In the US, the sizing is dependent on weight of the monkey. For a monkey up to 15 kg, the floor size must be at least 6 square feet (0.56 m²) and the height at least 32 inches (0.81 m). A recent publication provides photographic images of NHP caging (McAndrew and Helms Tillery, 2016). In China, for an adult monkey, the cage sizing must be at least 1.0 m in height with 0.9 m × 0.7 m (0.63 m²) floor size. In the US and in China, monkeys also get access to playpens that are rotated amongst animals. Evidence-based research shows the use of playpens provide benefits to the NHPs (Griffis et al., 2013). In the UK, France, and Germany, cage sizing for rhesus monkeys aged 3 years and above must be at least 1.8 m in height, while the floor size must be at least 2 m². Previous reviews have highlighted that the size of the caging used for housing research NHPs, wherever possible, needs to be large enough to allow for normal locomotion and displays of a normal behavioral repertoire depending on the species (e.g. Buchanan-Smith et al., 2004). However, this review also concluded that suitable cage furnishings with adequate complexity (e.g. perches or ledges located at different heights, and visual barriers to reduce aggression) are particularly beneficial (Buchanan-Smith et al., 2004). Importantly, these types of cage furnishings may be readily implemented in existing housing set-ups.
Another difference is that monkeys in the UK and EU are not allowed to live on a metal grid floor, it must be a solid floor (typically the floor of the room with special drains installed). This allows for the NHPs to forage on the floor for small grains and other foods, typically scattered amongst substrates, to provide additional enrichment opportunities.
Moving forward, it is advisable that scientists and others take actions to address differences in standards of care and welfare, while at the same time allowing NHP colleagues to embark upon international neuroscience collaborations, assuming that appropriate oversight and ethical regulations are in place. It is imperative that the ethical framework is not compromised in any way. To expand representation of different nations in neuroscientific research and to have oversight with an agreed set of standards (from those in place already in other countries), we suggest the implementation of an international advisory committee, an International Animal Welfare and Use Committee (IAWUC; see Section 7).
5. How scientists can contribute to improving standards of welfare and care for NHPs
There is a general agreement that standards of welfare and care regulation should be based on scientific evidence that documents the harms to the animals undergoing scientific procedures. However, currently, there is a paucity of scientific evidence on which policies are based and mandated. Fortunately, this is beginning to change with documenting the impact of protocols and procedures on NHPs and providing examples of best practice for NHP research. Further studies (see below) are still required though to continue identifying areas where the standards of welfare and care can be altered for the betterment of the NHPs and the science. Recently, DeGrazia and Beauchamp (2019) proposed a more comprehensive ethical framework, also considering the social benefits, to guide the Principles for Animal Research Ethics than the ‘Three Rs’ proposed by Russell and Burch (1959).
In many examples, detailed below, neuroscientists have conducted research as a side project to their main neuroscience research, in order to help capture and share best practices and refinements from their labs. This evidence also allows for more informed decisions to be reached about ethical regulations and the establishment of suitable proven techniques and protocols that support the welfare of laboratory NHPs involved in neuroscience research. Some of these studies also highlight methods that seemed promising, but not all have proven fruitful.
Recently, researchers have identified many different approaches and anatomical properties that have worked, and not worked, for optogenetics (Tremblay et al., 2020) and chemogenetics (Galvan et al., 2018) when applying rodent techniques to NHPs. In addition, these, and many other researchers have been working on methodologies that do work in NHPs (Magnus et al., 2019).
To evaluate the health and wellbeing of NHPs involved in neuroscience research quantitatively, several studies have assessed physiological (e.g. changes in cortisol) and behavioral measures in rhesus macaques involved in fluid control protocols and undergoing daily neuroscience procedures (Hage et al., 2014; Gray et al., 2016; Pfefferle et al., 2018). Others have assessed the relevance of using some behaviors as indicators of wellbeing (e.g. pacing behavior; Poirier and Bateson, 2017; Poirier et al., 2019). Recent refinements in the use of NHP cranial implants have been documented (Chen et al., 2017; Ortiz-Rios et al., 2018) and less invasive cranial implant procedures were found effective for neurophysiological recordings (Pigarev et al., 2009). As a result of a multi-institutional collaboration, a primate protective head cap has been developed and proven to be an effective 3Rs refinement that is used to protect the monkeys’ wound margins after cranial implant surgeries. Wearing the protective head cap dramatically reduced picking of wounds, eliminating the need to re-suture any wound margins (Perry et al., 2020). Basso and colleagues review successful methods for MRI scanning, including using effectively designed cranial implants (Basso et al., 2021). The recent development of the PRIME-RE platform (prime-re.github.io) provides a potential way to share NHP refinement approaches and protocols with international colleagues.
In addition, automated home cage training set-ups have been implemented in breeding centers that may help to pre-determine which NHPs are suitable for behavioral neuroscience research (Tulip et al., 2017). Another study has identified that using positive reinforcement training (PRT) alone is not effective for training all monkeys involved in neuroscience research, rather a combination of mainly PRT incorporating some negative reinforcement techniques proved more effective (Mason et al., 2019). Finally, other studies have investigated effective methods for non-invasively immobilizing the head of the NHP during some experiments involving awake MRI scanning (Hadj-Bouziane et al., 2014; Slater et al., 2016).
Clearly, further scientific studies are required to provide additional evidence and resources for others in the care and use of NHPs in neuroscience research. Future studies could include: welfare assessments of NHPs living in different housing conditions around the world, effective strategies for stress mitigation, and the most naturalistic working environments. National and international collaborations amongst NHP scientists can allow for the formation of larger sample sizes and promote sharing of best practice ideas. However, while many further, informative studies are possible, funding of this type of research is necessary and critical.
Currently, the burden of improving NHP welfare is mainly supported by researchers, who do not necessarily have the financial means to do something about it. Additional support is required from funders, institutions, and governments to fund improvements to staff training, infrastructure, and housing that impact animal welfare and continue to produce quality science. As many funders and governments have commissioned reports concluding that neuroscience research involving NHP models continues to provide scientific and medical benefits, this should provide a strong case for continuing with staff training and education, and for funding enrichment and refinement studies that provide empirical evidence about the implementation of suitable standards of welfare and care for NHPs involved in neuroscience research.
6. Effective means to engage the public and be transparent about NHP animal models in research
The use of animals in biomedical research is problematic for many people. We know from opinion polls that a large proportion of the public accepts animal research as long as it conforms to the prevailing regulations. For example in 2018, 68% of those polled in Great Britain agreed with the statement: "I accept the use of animals in scientific research as long as there is no unnecessary suffering to the animals and no alternative" (Ipsos MORI). However, once we start scratching the surface of this acceptance, we find areas of opinion that suggest some conflict in people's answers. In this 2018 survey, a much smaller proportion (15%) of the British public found it acceptable that NHPs are used in research. Interestingly, when asked the same question about the use of animals in scientific research during the Covid-19 lockdown period in the spring of 2020, the percentage agreeing was 75% (Understanding Animal Research, 2020). Further, this second survey found that 73% of respondents answered 'yes' to the question "If scientists can only develop tests, treatments and potential vaccines for the Covid-19 virus by studying and testing on animals such as mice, dogs and monkeys, do you think that is acceptable?"
Nevertheless, the broad public support in the UK may well be reflected by attempts at transparency across different institutions. A growing list of institutes from different countries now have information detailing the use of animals as research models in studies that are conducted within their establishment or with their funding (e.g., the Medical Research Council, National Institutes of Health, Newcastle University, Oxford University, University of Mainz, and the Wellcome Trust). Providing such information in a transparent manner adds facts to the rational and emotional factors at play here. Most people rationally accept that animal research is necessary, but when asked to think about a particular animal being used in research, a more emotional response kicks in for a proportion of people who then say they cannot accept that certain species of animals are used. When it comes to primate research, we are all aware of the ethical dilemma of using such highly-intelligent animals: they are used because they are humans' closest relatives and, in some cases, the only possible model for certain aspects of human physiology and cognition. But, we apply much stricter regulations and ethical considerations to the use of primates in research precisely because they are so intelligent and human-like. Rationally, we realize that no other animal model will work, but emotionally we empathize more with animals that are more like us.
Communication of any issue comprises rational and emotional elements. People need facts, but they also need information that addresses their worries and fears. And, it is far better to start that communication before anyone criticizes a particular research project or institution. If the public has some basic knowledge and understanding of a research program and its aims, they will be less likely to believe misinformation about it from a campaign group. If they know that the law requires certain standards, they will be less likely to believe stories purporting to show animal cruelty.
So, what can be done to help the public understand the reality of animal research and, in particular, the use of our closest relatives, NHPs? How can we describe the regulations behind the research studies and how such research, whether basic or applied, contributes to scientific understanding and innovation? The answer to those questions is engagement.
For many years, the only images and information in the public domain about animal research came from animal rights groups. They showed animals housed in horrible conditions, sometimes with seemingly distressing injuries. Usually these images had no provenance – no information about where and when they were taken. We have an uphill battle to counter people's mental image of "animal research". To succeed we need to provide our own images, videos (podcast with Wendy Jarrett), and information about the reality.
There are several organizations around the world that help to explain why and how animals are used in research (e.g., Americans for Medical Progress (AMP), European Animal Research Association, Foundation for Biomedical Research, Pro-Test Germany, Speaking of Research, and Understanding Animal Research). These supportive organizations advocate for animal research in different ways. Some organisations have individuals that do not conduct scientific research, some are a mix of those individuals and scientists themselves, and some are mostly scientists. One organization which consists of a committee of scientists who voluntarily advocate for science communication and transparency on animal research in their spare time is Speaking of Research. The grass-roots organization, Pro-Test Germany, for example, is mostly composed of early career researchers, whereas Understanding Animal Research is a mix of ex-research scientists and career-level public communicators. Patient advocacy groups also contribute to public outreach on animal research when appropriate. These groups pursue a wide range of activities from public outreach events to media interviews, online and print material, as well as training and consulting. In doing so, they often seek to represent or coordinate research institutions and the "scientific community" at large.
An unusual example drawn from these organizations is Pro-Test Germany, a decentralized non-profit run by about 80 volunteers with a focus on personal interactions. They offer visibility to their diverse peers (animal caretakers, research group leaders, graduate students, veterinarians), and work to enable them to share individual experiences, opinions, knowledge and doubts with their local community, either in person or anonymously. This includes street gigs, blogs, social media feeds, skill workshops, and advice to both employees and employers. Similar, but independent organizations have taken up the "Pro-Test" idea in other countries.
It is important that animal researchers try to engage with the public if they can, even despite the vulnerabilities that come with public exposure. Research conducted at academic institutions are supported, at least in part, by public funding, but often there is a lack of communication between the lay public and the scientists. In today's digital age, one way for scientists to reach the public is through social media. Animal research advocacy groups, scientists, and individuals around the world can engage with thousands of people each day through posts on Facebook, Twitter, Instagram, and LinkedIn. Here, infographics explaining why animals are used in research have proven very popular (Fig. 2). Also gaining in popularity are podcasts, a few of which have dedicated episodes to animal research and public communication (e.g., Undark, the AMP-sponsored Lab Rat Chat). We also highlight some examples of outreach and media correspondence that scientists have recently done (e.g., on Facebook). However, for neuroscientists that conduct public engagement activities, they typically do so as a side project to their main neuroscience research, to help provide transparency about their research with the public. These additional
efforts should be recognised in the extremely competitive scientific environment.
Furthermore, some countries’ biomedical research communities have taken steps to improve communication with the public by creating openness agreements. The first openness agreement, known as the *Concordat on Openness on Animal Research in the UK*, was published in 2014. By signing the Concordat, organisations that carry out or fund research using animals have committed to providing enhanced communications for the public and to create opportunities for people to find out more about the reality of animal research.
One project to come out of the Concordat was a 360-degree online tour of four UK research facilities (www.labanimaltour.org). This project features the University of Oxford’s primate facility and allows anyone interested in finding out more about the use of NHPs in neuroscience to navigate themselves around the lab, seeing how macaques are housed and cared for, and how they go into a primate chair to prepare for their work, typically in front of a touchscreen. Here, it is clear that some animals have implants and head-posts. Information boxes and videos provide extra detail and explanation on what is going on, including interviews with researchers and animal care staff. The project was recently featured in *The Scientist*, highlighting the significance of such transparency efforts and their long-lasting impact. The idea for the UK Lab Animal Tour came from an online virtual tour of a French primate facility http://visite-animalerie.cnrs.fr/#/accueil/. The Primate Research Centers in the US and the German Primate Center also have public outreach websites offering a variety of resources (NPRC, DPZ).
One aspect of animal research that worries members of the public is its perceived secrecy – if no one talks about the research they are doing, could researchers potentially be hiding some of their research practices and procedures, or perhaps be duplicating research and using animals for research that has already been carried out somewhere else? This latter, relatively nuanced concern, came out during focus groups convened during the development of the UK Concordat. People are reassured when they hear of scientists sharing information and data. During the Zika and Ebola outbreaks, news outlets covered the fact that researchers were putting their data into the public domain for others to use in real time. Again, during the Covid-19 pandemic, much was made of the way scientists around the world shared their findings due to the potential of expediting vaccine discovery and treatments (Speaking of Research, 2020). In a similar way, the PRIME-DE Consortium (Millham et al., 2020) is encouraging researchers involved in NHP neuroimaging to unite efforts and share research data, ideas, and analysis methods with the hope that advances in our understanding about the brain and related diseases and disorders may be expedited. Unfortunately, for this community of neuroscience researchers, there is a barrier to fostering future international collaborations due to a lack of agreed upon regulatory oversight and standards of welfare and care of NHPs across the globe. To facilitate greater understanding about the use of NHPs in biomedical research, many organizations and scientists themselves are providing public-facing information with clear explanations (and in lay language) about what they are doing and why they are doing it. NHP neuroscientists are, therefore, confident that the aim of the PRIME-DE Consortium is one that the public will embrace and support.
7. Ways forward to international collaboration, proposing an international animal welfare and use committee (IAWUC)
As is apparent from our overview of responses in Supplementary Tables 1 and 2, there are some differences as well as many similarities in the international regulations and standards of welfare and care for the use of NHPs in neuroscience research. Some of these differences may well reflect differences in ethical values based on cultural differences. Consequently, when performing a harm/benefit analysis, the level of harm, combined with the mitigating interventions to NHPs, which is deemed acceptable for a due benefit will vary between countries. Cultural, and other differences between countries are apparent in the regulations applied to other species as well. Cultural differences should be allowed and accepted as long as they are suitably justified. However, at the same time, all of us need to strive to improve the standards of NHP care and welfare in order to achieve a common set of standards for the animals. For the former, empirical findings (see Section 5 for examples) can help guide regulatory approaches and welfare standards in an evidence-based manner.
Nevertheless, the same standards of regulation do not always apply to the same level in other species. For instance, hamsters, but not other rodents, are regulated in the US by the USDA. There are also differences between the US, China, and the UK, and EU regarding the regulation of rodents for neuroscience research. Even within what might seem to be similar cultures (e.g. Europe), where all member states are governed by the EU Directive 2010 for the care and use of animals (see Section 3), different countries can reach opposing conclusions when deciding what is the most ethically correct way forward for their country. For example, when the EU Directive was introduced, it implemented a ban on the use of wild-caught NHPs for research and instead imposed the use of purpose-bred NHPs in specially designed breeding centers. However, in Italy, despite having implemented the EU Directive, this country has banned purpose breeding of NHPs for ethical reasons. So, despite the current trend of increased harmonization, some cultural differences reflected in the national legislations are likely to persist. Therefore, it is not conceivably realistic to expect ethical and welfare standards to be fully harmonized.
Despite these differences, appropriately approved and regulated international collaborations must be allowed to forge ahead in NHP neuroscience research, without compromising the welfare and care of the NHPs or any ethical standards that may jeopardize the quality of the science. For NHP neuroscience researchers to be able to embark on international collaborations, we propose that an international committee be established. This committee would provide an oversight and advisory role, like an IACUC or Animals in Science (UK) committee, but its mandate would be to consider international neuroscience research collaborations. International committee members with relevant expertise would be proposed and elected. For example, there may be members from Society for Neuroscience (SfN), Federation of European Neuroscience Societies (FENS), the Japanese Neuroscience Society (JNS),
the Chinese Society for Neuroscience (CNS), and individual European and British Neuroscience Societies as well as veterinarians with links to the European Primate Vet Association (EUPRIMVET), the US equivalent (AVMA), and Asian equivalents. Representatives with NHP animal welfare expertise will also be indispensable, such as members with NHP expertise from AAALAC and the NC3Rs.
The role of this independent committee would be to review applications and make suitably informed recommendations about proposed international collaborative ventures that do not risk the reputations of the funders, institutes, and universities involved, or the scientists. In doing so, this committee may help to formulate the minimal, yet highest attainable, standards required for successful multinational NHP collaborations. The proposed IAWUC is not meant to serve as another layer of bureaucracy, but rather as a facilitator of reputable international collaborations. Where NHP collaborations might currently be hindered, for example, between the UK and institutions in the US, or between the US or UK and institutions in China, or Japan, or in the EU, the IAWUC may provide impartial advice and support to mediate current obstructions. To move this proposal forward, the chair of the OIE, chairs of animal research regulatory bodies (e.g. the UK Home Office, national animal research regulators in the EU, and institutional IACUCs in the US, Japan, and China), funders of neuroscience research, and heads of neuroscience societies need to include this proposal on their forthcoming meeting agendas.
8. Conclusion
As has been evident from the international response to Covid-19, decision makers, advisors and leaders of countries monitored the effectiveness of different responses in order to implement health and safety procedures as well as treatment protocols within their own countries. Importantly, international collaborations amongst scientists have led efforts to rapidly sort potential vaccine candidates, provide antibody testing, and advances in our understanding. Synergistic efforts have accelerated the rate at which a vaccine could ever be produced. International concern for advancing our understanding and developing effective treatments and cures stands similarly for brain diseases, disorders, and neurodegeneration. Neuroscience is no exception. There are many institutions that support neuroscientific research, but are not able to support research using NHPs. Thus, investigators may want to ask specific experimental questions, yet are unable to do so because their facilities cannot support the animal model required. An NHP collaborative resource solves this problem by providing open access to data that can be mined to address new and exciting questions that might not otherwise have been asked.
As indicated in this article, we believe international collaborations involving NHP models are essential if our endeavors to understand the brain are to be successful. In the next 5 years, let us make it possible to work together and find commonalities that allow the differences in each country’s standards of welfare and regulations to be workable and to consider the cultural differences on the value of NHPs. Establishing these international collaborative links will allow further sharing of data to optimize scientific excellence, reliability, reproducibility, and output. Most importantly, while sharing ideas and data, we must also share best practices that improve the standards of welfare and care of our animals.
While there are evident differences in standards of welfare and care based upon cultural values and diversity, researchers should acknowledge such differences and the potential effect it might have on scientific collaborations. If societal differences impede scientific progress and innovation, addressing the resulting issues are a step towards overcoming any problem. But, how can we overcome this predicament, so that collaborations can be implemented and maintained, and efforts towards scientific progress mutually benefit all parties involved? Overall, adopting a transparent approach that highlights and addresses these issues effectively is a basis for working towards improved ethical and welfare standards for the animals involved in neuroscience research.
Declaration of Competing Interest
The authors declare no competing financial interests.
CRediT author contribution statement
All authors contributed to Conceptualisation, Methodology, Writing – Original Draft, Writing – Review & Editing. Anna Mitchell also contributed Visualization, Supervision, and Project administration.
Data Statement
All of our sources are quoted in the manuscript and links are provided within the text and appropriately cited in the references. All additional data collated from our anonymized questionnaires are provided in the Supplementary Tables.
Acknowledgments
ASM: Wellcome Trust, WT 110157/Z/15/Z. MAB: R01EY13692, UF1NS107668, R01AG063090. WJ is Chief Executive of Understanding Animal Research. SK: RO1MH64043, R01EY017699, 21560–685 Silvio O. Conte Center. CP is funded by a Research Fellowship from Newcastle University.
All research discussed in this work was performed in accordance with institutional and nationally approved oversight, including but not limited to the NIH Guide for Care and Use of Laboratory Animals, the U.K. Animals (Scientific Procedures) Act, 1986, and European Directive 2010/63/EU. We thank all persons who aided in providing information for the Supplementary Tables and would like to acknowledge their anonymized contribution.
Supplementary materials
Supplementary material associated with this article can be found, in the online version, at doi:10.1016/j.neuroimage.2020.117700.
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A Simple Guide to a Vibrant You
Energy Solutions
Energy. We all want it; we all need it.
And Isagenix delivers. Not a spike or jitters. Not a sugar rush followed by a crash.
Energy is what moves us. It motivates us to achieve our health goals.
The more energetic we feel, the higher we strive. Energy is how we live life to the fullest.
Welcome to Isagenix!
On behalf of the hundreds of thousands of successful Isagenix product users worldwide, we want to congratulate you on starting a journey that can transform your health. This guide is designed to help you amplify your success. It is easy to follow, developed by experts and used by people like you who have been successful at reaching their goal of achieving a healthier lifestyle they can sustain for the rest of their lives. Our goal is to put you in control of your health and to help you learn how to incorporate these nutritional products and healthy eating habits into your life and the lives of those around you. As you read through this guide, you will discover a variety of tools we have in place to support you. If you have a question, please don’t hesitate to contact Customer Care on 1300 651 979 in Australia and 0800 451 291 in New Zealand.
To your success!
Erik Coover
Owner and Senior Vice President of Global Field Development & Culture
Cover image: Georgie Thomas
Isagenix Customer since 2014
GETTING STARTED 4
YOUR PRODUCTS 6
YOUR SYSTEM 8
YOUR SUPPORT 12
YOUR NEW LIFESTYLE 16
Anna Richards
Isagenix Customer since 2013
PERSONAL PLEDGE
I, ________________________________, am fully committed to creating a breakthrough in my personal health and quality of life. My goal is to reach and maintain my target weight of ________ by releasing ________ kg of unhealthy fat while increasing my lean muscle mass.
Research has shown that written goals are much more likely to be achieved. Sharing your goals with others will further support your success.
MY SUPPORT TEAM
My System Coach is _______________________________________
My Coach is here not only to offer support, encouragement and advice but also to answer questions and guide me through my journey to a healthier lifestyle. I will surround myself with positive people who will support me and understand how important my Isagenix System is to me.
My Support Team includes:
__________________________________________________________
Signature: ___________________________________________ Date:_____________
Coach signature: _____________________________________ Date:_____________
If you are pregnant, breastfeeding, diabetic, on medication, have a medical condition or are beginning a weight-control program, consult your GP before using Isagenix products or making any other dietary changes. Discontinue use if adverse events occur.
TRACK HOW YOU FEEL
How energetic do you feel during the day?
1 2 3 4 5 6 7 8 9 10
Day 1
Day 30
How well do you sleep at night?
1 2 3 4 5 6 7 8 9 10
Day 1
Day 30
How often do you feel the need for a soft drink or sugary snack throughout the day?
1 2 3 4 5 6 7 8 9 10
Day 1
Day 30
Rate your mood during the day.
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Day 1
Day 30
How difficult is it to get out of bed in the morning?
1 2 3 4 5 6 7 8 9 10
Day 1
Day 30
Which products are you starting with? What do you plan to re-order?
Day 1
Day 30
YOUR PRODUCTS
What makes Isagenix unique and effective is our no-compromise approach to product formulation and our convenient solution systems.
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2. **IsaLean Shake Dairy Free**
This delicious shake contains 24 g per serve of high quality protein from peas and wholegrain brown rice as well as filling fibre and energy-fuelling carbohydrates. Gluten- and soy-free, IsaLean Shake Dairy Free provides a perfect alternative for people with dietary restrictions. Available in Rich Chocolate and Vanilla Chai flavours.
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YOUR SYSTEM
Isagenix offers two Energy packs designed for people at different stages of their Isagenix journey – the Energy Premium Pack and the 30-Day Energy System. You can also combine products of your choice using My Pack.
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Isagenix Customer since 2013
Jamie Wilson
Isagenix Customer since 2014
ENERGY PREMIUM PACK
The Energy Premium Pack is perfect for anyone who is starting with Isagenix and looking for more energy. Whether you feel a lack of energy from long hours at work or days spent with the kids, this Pack is designed to keep you feeling vibrant and alert, every day.
30-DAY ENERGY SYSTEM
The 30-Day Energy System is designed for those who have completed their first 30 days with a Premium Pack and are looking to continue their results. The included products offer quality protein and nutrition to help you maintain your energy needs.
MY PACK
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The Energy System is designed to help you feel better during the day, sleep better at night and enjoy a healthy, balanced lifestyle. It contains products to help you power your day.
Replace one meal per day with an IsaLean Shake. Add a stick of Isagenix Greens* to your Shake or enjoy Greens mixed with juice or water.
Enjoy an e+ in the morning or before a workout to give you an early energy boost.
Sip on AMPED Hydrate before, during and after working out to help replace nutrients and electrolytes lost during exercise.
Take Essentials with breakfast and dinner to ensure you’re receiving optimal levels of vitamins and minerals at timed intervals during the day.
AN ENERGY SOLUTION JUST FOR YOU
There is no one-size-fits-all solution to a healthier, more energetic lifestyle. Each person will use the Energy Solution differently depending on their needs and goals. Below are two examples of how you might use your Energy Premium Pack.
WOMEN NEEDING 1600-1900 CALORIES PER DAY*
| Time | Products |
|--------------------|-----------------------------------------------|
| Early Morning | Natural Accelerator†, Cleanse for Life (40 cal), e+ (35 cal) |
| Breakfast | IsaLean Shake (240 cal), Essentials for Women |
| Mid Morning | IsaFlush, Isagenix Snacks (30 cal) or apple (75 cal) |
| Lunch | 400-600 cal meal |
| Mid Afternoon | Ionix Supreme, Whey Thins** (100 cal) |
| Dinner | 400-600 cal meal, Essentials for Women |
| Before Bed | 150g plain Greek yoghurt (130 cal), Natural Accelerator†, IsaFlush |
MEN NEEDING 2000-2500 CALORIES PER DAY*
| Time | Products |
|--------------------|-----------------------------------------------|
| Early Morning | Natural Accelerator†, Cleanse for Life (40 cal), e+ (35 cal), IsaLean Bar (210-270 cal depending on flavour)** |
| Breakfast | IsaLean Shake (240 cal), Greek yoghurt with fruit and/or nuts (140-240 cal), Essentials for Men |
| Mid Morning | IsaFlush, Isagenix Snacks (30 cal) or apple (75 cal) |
| Lunch | 400-600 cal meal |
| Mid Afternoon | Ionix Supreme, Whey Thins** (100 cal), e+ (35 cal)† |
| Dinner | 400-600 cal meal, Essentials for Men |
| Before Bed | IsaPro** (150 cal), Natural Accelerator†, IsaFlush |
Some people may prefer to take Ionix Supreme in the morning due to it having an energising effect.
* Calorie needs vary based on age, height, weight and activity level. For general health, adults aged 18-64 are recommended to do at least 150 minutes of moderate-intensity exercise each week.
** Try this product by adding it to your next order. Not included in the Energy Premium Pack.
† Additional product will need to be purchased to consume this product each day.
‡ Always read the label. Not suitable for children. Use only as directed. Vitamin supplements should not replace a balanced diet. Consult your healthcare professional before beginning any diet or weight loss program.
NEVER BE WITHOUT YOUR FAVOURITE PRODUCTS
Autoship allows you to set up your account so that your order is automatically sent to you approximately every 30 days, with the transaction amount debited directly from your account. You can choose from a selection of Packs and Systems, customise your order with ‘My Pack’ or order individual products. Autoship is flexible and can be changed each month to suit your needs. As well as being extremely convenient, Customers who participate in Autoship also save an additional 5 percent on all Packs and Systems compared to Wholesale orders.
Tami Shervey
Isagenix Customer since 2011
IsaBody Challenge Grand Prize Winner 2013
YOUR SUPPORT
We have the perfect tools to help you succeed in reaching your goals.
**IsaBody Challenge**
The 16-week transformation Challenge is free to join! Simply log in to your Back Office and find ‘IsaBody Challenge’ under ‘Contests and Promotions’. Complete the Challenge to be in the running to win thousands of dollars worth of prizes!
Every person who completes the Challenge* will receive an exclusive Completion Pack containing merchandise, a certificate and a $200 Product Coupon!
**Healthy Mind and Body**
Isagenix has joined forces with world-renowned leader, coach and author Rod Hairston to exclusively offer Isagenix Customers an innovative, interactive program to help you in achieving your goals.
For only $49 in Australia and $55 in New Zealand, you can start the journey to developing the mindset to living every day like it’s your last.
Complete the program and you’ll receive a product coupon for AU$49.50/NZ$51.75**
Start the Healthy Mind and Body Program today by logging in to your Back Office and, under ‘Resources’, select ‘Go to Healthy Mind and Body’.
*See ANZ.IsaBodyChallenge.com for full completion criteria.
**100 percent completion is determined by all activities being completed within 90 days of starting. Upon completion, your Isagenix product coupon will be available in your Back Office within ten business days.
Georgie Thomas
Isagenix Customer since 2014
Claudia Tomczyk
IsaBody Challenge Finalist 2017
Isagenix Customer since 2014
FAQs
Q: How does the Energy System work?
A: The typical diet is dominated by processed foods high in fat, kilojoules and refined carbohydrates. These types of foods can leave you feeling run-down and exhausted. By swapping out junk foods with the nutrient-dense products of the Isagenix Energy Solution, you should feel better, more energised and have greater focus to power through your day.
Q: What should I expect during the first month of my journey?
A: Understand you are at the beginning of a journey to better health and that the introduction of nutritious and scientifically supported Isagenix products will begin to give your body what it needs. By following the Energy System as outlined, you should begin to feel a difference in your energy levels and begin to experience results. The products can help you feel more awake during the day, sleep better at night and improve focus and clarity when you need it most.
Q: What does ‘no-compromise quality’ mean?
A: The Isagenix No-Compromise Ingredient Policy ensures that all of our products are made in accordance with the highest standards of Good Manufacturing Practices for dietary supplements. We subject all of our raw ingredients to rigorous testing to ensure purity, identity and safety.
Q: What are Adaptogens and how do they work?
A: Adaptogens are natural botanicals with unique characteristics to help your body combat the negative effects of stress, focus the mind and elevate daily performance. They are found in e+ and Ionix Supreme in your Energy System.
Q: If I’m not hungry can I skip a meal or Shake?
A: You should always listen to your body, but staying energetic during the day also means you need the right nutrition, at the right time. At the very least, you should eat two 400-600 cal meals and one IsaLean Shake per day and add in more products and snacks as needed. If you need meal ideas, see Page 16 of this guide.
Q: Can I add fruit to my IsaLean Shake?
A: Absolutely! Fresh fruit is filled with fibre and essential nutrients and make a delicious addition to your Shake. You can also add Isagenix Greens to your Shake for a flavoursome, nutritious boost. Keep in mind that adding ingredients to your IsaLean Shake increases your calorie intake.
Q: If I feel tired or have a headache, should I discontinue my program?
A: It is not uncommon to experience side effects when changing your regular eating habits. Side effects may include headache, fatigue or constipation. Depending on your side effect, you may try drinking more water or eating a snack. Fatigue and headache might be signs you may be experiencing low blood sugar. Avoid overhydrating as this may cause nausea and dizziness. Consult your GP should you have concerns.
Q: I’m a very active person and I have been progressively increasing my workouts during my program. Should I eat more if I’m hungry?
A: There are several things you can do. We recommend you switch out your IsaLean Shake with IsaLean PRO or add a scoop of IsaPro to your IsaLean Shake. This will increase your protein and kilojoule intake safely. The extra protein will fuel your body for working out while helping to keep you feeling full between meals.
YOUR SUPPORT
Use the tools provided at Isagenix.com to achieve success with your program.
Plan ahead. For many people, starting an Isagenix program is unlike anything they’ve done before – often it is very different to the lifestyle and diet they’re used to. Before starting the program, we recommend consulting your physician to ensure the program is right for you and also to make them aware of the changes you’re making to your diet.
Set realistic expectations. Most people don’t release weight or gain lean muscle in just a few days, so remember that it will take consistent effort for you to achieve your health goals. It’s not a race; it’s about developing healthy habits and creating a lifestyle that you can continue to enjoy for years to come.
Drink plenty of water. The National Health and Medical Research Council of Australia recommends 2.1 L per day for women and 2.6 L per day for men. This will need to be increased during exercise and during warmer weather.
Balanced nutrition reduces food cravings. Use all of your Isagenix products as recommended and consume a diet of fresh, nutritious foods to ensure your body is getting the right nutrition every day.
Increase your daily activity to maximise your results. You don’t have to start training for a marathon, just move more throughout the day and make a conscious effort to raise your heart rate regularly. This will not only help to increase your energy throughout the day but will help to maintain a healthy weight.
ONLINE TOOLS AND RESOURCES
Isagenix has developed an extensive library of online tools with our product users in mind. We encourage you to explore our websites and engage with the many tools available to help you better understand our culture, products and philosophies about health and wellness. The following are your go-to resources to find answers and tips on getting the most from your Isagenix experience.
**Isagenix.com**
This is your one-stop resource for all product information and tools. It provides guides to all the Isagenix products and programs and informative videos to improve your product training. Plus, read success stories from other product users, learn about the company and our business opportunity and more.
**ANZ.IsaFYI.com**
Subscribe to the official Isagenix ANZ blog for regular updates, recipes, promotions, news and the latest science.
**ANZ.IsaBodyChallenge.com**
Begin your ultimate lifestyle transformation journey. Find out all you need to know about the 16-Week Challenge, where you can not only transform your body and life, you can also win exciting prizes.
**HealthyMindAndBody.com**
Discover an interactive 60-day program to transform your mind while your transform your body. Once you’ve researched the program, sign up through your Back Office.
**ANZ.TeamIsagenix.com**
Home to some of our most elite professional athletes, Olympians and personal trainers who use Isagenix products to fuel their performance, ANZ.TeamIsagenix.com hosts an array of athlete profiles and product information.
**STARTYourLife.com**
See how a growing team of young people aged 18-35 are striving to lead extraordinary lives and helping others do the same.
PLATE PLANNER
Your third meal on a Shake Day should be balanced, like an IsaLean Shake. Ideally, it should contain 400-600 cal and should include protein, complex carbohydrates and a variety of vitamins and minerals.
GOOD FATS
- Coconut oil
- Olive oil
- Avocado
- Other cooking oil
VEGETABLES
- Salad
- Cooked coloured vegies (not potatoes)
- Vegie soup
- Fresh fruit
PROTEIN
- Chicken
- Beef
- Lamb
- Fish
- Eggs
- Dairy
- Tofu
COMPLEX CARBS
- Noodles
- Rice
- Wholegrain breads
- Sweet potatoes
- Potatoes
Visit www.nutritionaustralia.org for more information
THE NEXT SOLUTIONS
Isagenix offers solutions to fit your goals and lifestyle. When you achieve your Energy goals, we encourage you to experience our other solutions.
PERFORMANCE
Excel in the gym, on the field and anywhere else you’re striving for athletic, competitive or workout goals.
WEIGHT LOSS
Release kilos and burn fat sustainably to achieve and maintain your weight loss goals.
HEALTHY AGEING
Support a healthier lifestyle so you feel fitter, younger and stronger for longer.
WEALTH CREATION
Earn income by sharing Isagenix with others and build a business for you and your family.
Visit Isagenix.com to learn more.
Adam & Jacqui James
Isagenix Customers since 2012
YOUR NEW LIFESTYLE
When you begin to feel the effects of your new, healthier lifestyle, you’ll find it much easier to stay motivated to achieve your goals. Once you achieve your health goals you may ask yourself, “What’s next?”
The answer is simple, continue to enjoy the Isagenix lifestyle as a lifelong solution not only for you, but for your family and perhaps even your friends.
“I needed the IsaBody Challenge to keep me consistent. It gave me structure and an end goal. The IsaBody Challenge has helped me maintain a healthier lifestyle.”
Adam Nesbitt
Isagenix Customer since 2014
IsaBody Challenge Finalist 2016
“I’ve had amazing weight loss results and I feel so much more energetic. I no longer wake-up feeling tired and lethargic.”
Rachelle Phillips
Isagenix Customer since 2016
IsaBody Challenge Finalist 2016
FETTUCCINE WITH CHICKEN, LEEK AND PEAS
- 100 g wholemeal fettuccine
- 1 cup frozen peas
- Olive oil cooking spray
- 200 g chicken breast fillets, sliced into bite-size pieces
- 1 leek, thinly sliced
- 2 garlic cloves, crushed
- ½ cup salt-reduced chicken stock
- ¼ cup light cream
- Juice and zest from ½ lemon
- ½ cup flat leaf parsley, chopped
- 2 Tbsp finely grated fresh parmesan
Cook pasta according to packet instructions until al dente. Add peas in final 3 minutes of cooking. Set aside ½ cup starchy water from pot. Drain then return pasta and peas to pot.
Meanwhile, heat a large non-stick skillet over medium-high heat. Spray with olive oil, add chicken and stir-fry for 3 minutes or until golden. Remove chicken from skillet and set aside.
Turn heat to medium and spray skillet with a little more olive oil. Fry leek for 5 minutes or until translucent. Add garlic and lemon zest and stir fry for one minute. Add chicken stock, starchy water and cream, stir and simmer until liquid reduces by half. Add lemon juice and chicken to skillet and cook for a further 2 minutes.
Add chicken and sauce and half the parsley to pasta and toss.
Divide between 2 bowls and top with parmesan and remaining parsley.
Serves 2.
Per serve: 425 cal; 38.2 g protein; 39.85 g carbs; 9.8 g fat; 11.1 g fibre.
ROAST PUMPKIN AND RED LENTIL SALAD
- ½ butternut pumpkin
- 2 carrots, unpeeled
- 1 Tbsp olive oil
- 1 clove garlic, crushed
- 2 sprigs thyme
- 1 cup (200 g) dried red lentils, soaked overnight and drained
- 1 Tbsp lime juice
- 1 tsp Dijon mustard
- ½ red onion, thinly sliced
- 1 red chilli, seeds removed and chopped finely
- 1 cup baby spinach
- 6 cherry tomatoes, halved
- ½ cup pepitas
Preheat oven to 200°C/180°C fan-force. Cut pumpkin and carrots into bite-size pieces, toss in olive oil, thyme leaves and garlic. Arrange in a baking dish and season to taste. Roast for 30 minutes or until tender and golden.
Bring 1L water to the boil and add the lentils. Cover and simmer for 10-15 minutes or until tender. Meanwhile, mix lime juice, Dijon mustard, a splash of extra virgin olive oil and 1 Tbsp water in a large bowl. Drain the cooked lentils, add to the dressing and toss to combine. Add onion, spinach and cherry tomatoes.
Divide lentil mix between two plates. Top with roast pumpkin, carrot and pepitas to serve.
Serves 2.
Per serve: 580 cal; 34 g protein; 64 g carbs; 17 g fat; 25 g fibre.
For more healthy meal ideas, purchase Better Living from IsaSalesTools.com.au
Follow Isagenix on Facebook, Instagram and Twitter and join our worldwide community of product users. Meet thousands of people like you who have successfully reached their goals and enjoy a healthy lifestyle. You might even find that you are an inspiration for others on the same journey.
SHARE YOUR EXPERIENCE WITH OTHERS
One of the best ways to ensure you maintain your new lifestyle is to learn more about how to earn income for sharing Isagenix products with others. Go to ANZ.IsagenixBusiness.com to learn how you can sustain your new lifestyle by sharing Isagenix with your family, friends and neighbours.
Kylie Donaldson
Isagenix Customer since 2012
Customise this calendar to suit your Energy System. Include your meal plan, exercise and any events you need to factor in.
Tear out your Calendar and display it where you’ll see it every day.
101100409
18-OS005AU • 08.02.18 © 2018 Isagenix All Rights Reserved |
DOMAIN COMMUNITY REFERENCE GROUP
Meeting #5
Wednesday 7 March 2018, Seasons Botanic Gardens
TRAFFIC AND TRANSPORT WORKING GROUP
TRAFFIC & TRANSPORT WORKING GROUP (TTWG) EXPLAINED
• What is the Traffic and Transport Working Group (TTWG)
• Who is on the TTWG
• What are the TTWG’s Environmental Performance Requirements
• How do other parties have a say on transport management issues
• Assessment of St Kilda Road to one lane
WHAT IS THE TRAFFIC & TRANSPORT WORKING GROUP (TTWG)
- TTWG is a technical working group of transport agencies and emergency services authorities under legislation for elements of the transport network, unique and high priority road users (emergency services).
- Established in 2015 to help guide development of station precincts and the Environment Effects Statement traffic documentation.
- Provides centralised discussion and agreement on key transport issues (NB: most transport issues have multiple approval authorities).
- Provides opportunities for third party collaboration and input.
- TTWG does not get into the detail of individual sign placement on traffic management schemes.
WHO IS ON TTWG
- MMRA (Chair)
- MMRA contractors
- Transport for Victoria supported by PTV where required
- VicRoads
- Yarra Trams
- City of Melbourne
- City of Port Phillip
- City of Stonnington
- Victoria Police
- Ambulance Victoria
- Melbourne Fire Brigade
ENVIRONMENTAL PERFORMANCE REQUIREMENTS (EPRS)
- TTWG was formalised through the Environment Management Framework as part of the project EES in 2016
- The Environment Management Framework established the Environmental Performance Requirements
- Key Transport Issues identified in the EPRs which reference TTWG include:
- T2: Transport Management Plans including monitoring methodologies
- T3: Network Enhancement Projects (NEPs)
- T4: Public Transport access during construction
- T5: Active transport access during construction
- T7: Legacy road functional layouts and other road design matters
- T9: Legacy active transport outcomes
- The above EPRs are managed “in consultation” with TTWG. (NB: TTWG as a body has no approval powers)
THIRD PARTY INPUT
• EPR T2 – Transport Management Plans, provides for third party input from additional key stakeholders, to ensure that appropriate consultation is achieved.
• TTWG often receives third party input from key stakeholders through:
• Direct consultation with related stakeholders regarding a specific transport matter (e.g., building access, site safety, major event planning etc.)
• Precinct Reference Groups established by MMRA in accordance with EPR SC11 and SC12.
• Key Stakeholder invites to attend a TTWG meeting where required.
COMMUNITY CONSULTATION
• EES process included extensive public consultation and set the baseline for community input on key transport issues.
• CRG provides an opportunity for community and other stakeholder representatives to comment on transport matters to MMRA and its contractors.
• Development plans, including transport matters were publicly advertised for comment, these may need to be revised with further public exhibition periods.
• MMRA and its contractors are committed to open lines of communication with the public and maintain Metro Tunnel Project information Line and Contact Us.
ST KILDA ROAD ONE LANE ASSESSMENT
• The network is operating as predicted with minor journey times increases in the area. The expected delays of up to 15 minutes remains applicable to the precinct.
• St Kilda Road is experiencing journey times comparable to six-month averages in both directions (+/- 2 minutes).
• Delays experienced on approach to the single lane section are at times being offset by gains on the egress from the single lane section.
• Motorists are diverting from St Kilda Road to adjacent routes including Kings Way and Canterbury Rd / Ferrars St in the peak periods.
ST KILDA ROAD ONE LANE ASSESSMENT
• Some significant increases in journey times have been observed on Kings Way / Queens Road, however on some days the delays could be attributed to other factors such as on-road incidents.
• Trams on St Kilda Road are operating without delay. Some minor conflicts around Domain Interchange are being worked through with Yarra Trams (eg; Pedestrian waiting area near Park Street).
• Local traffic access issues continue as a result of closures on Bowen Crescent, Albert Road access to St Kilda Road and Park Street tram works.
• MMRA, John Holland and CYP are aware of significant delays for some users and are working together to manage these impacts.
QUESTIONS?
JOHN HOLLAND
EARLY WORKS UPDATE
DRAINAGE WORKS
• Works are continuing to connect new drainage under St Kilda Road between Bowen Crescent and Domain Road to the existing drainage beneath Kings Way.
• The works at the intersection of St Kilda Road and Bowen Crescent are expected to be completed by mid March 2018. Access into and out of Bowen Crescent to St Kilda Road to be reinstated at this time.
• There will be ongoing day and night works in Bowen Crescent and along Kings Way to bore beneath Kings Way and install and retrieve a new conduit. These works are expected to be completed by mid-April 2018.
ROAD AND NETWORK ENHANCEMENTS
• CCTV installation, asphalting and line marking works have now been completed
• Works on Kings Way to improve the traffic flow, efficiency and safety of the road network for vehicles while St Kilda Road is reduced to one lane in each direction, will continue in March
• Intersection enhancements works on Kings Way and in South Melbourne are ongoing
• Moray Street service investigations are underway, bike lane enhancements to commence from early March 2018
CROSS YARRA PARTNERSHIP
MARCH UPDATE
• Albert Road – access for emergency services
• Evacuation plan for buildings
• Traffic signaling at Albert Road
FEBRUARY PROGRESS UPDATE
CROSS YARRA PARTNERSHIP | Building Brilliance
MARCH CONSTRUCTION WORKS
Preparation for major works in April
• Continuing tree pruning & tree removal (only trees required for tram/road realignment)
• Road profiling
• Installation of tram overheads
• Removal of medians and kerbs
• Construction of temporary tram & road alignment
• Geotech drilling and soil testing
• CYP Consultation Summary submitted to the Minister for Planning for consideration via Department of Environment, Land, Water and Planning
• An approved Development Plan is required before main works start
• Minister approval anticipated early April 2018
• Approval doesn’t signal end of process – design development and stakeholder consultation continues
| Activity | Purpose | Timing |
|------------------------------------------------------------------------|------------------------------------------------------------------------|--------------|
| Construction program review | Identify key properties for pre-condition surveys and settlement monitoring | Complete |
| Meeting/phone calls with Building Managers, Owners Corporations | • Offer building survey and settlement monitoring (if required)
| | • Provide letter of offer to residents (for distribution to non-occupant owners)* | March 2018 |
| Letter Box drop to residents with letter and permission forms | Offer residential property survey | March 2018 |
| Provide contractors with owner/tenant contact details and preferences for inspections | Contractors to coordinate times and dates for surveys | March – April |
| Receive and check inspection reports from contractors | Check for quality and completeness | March – April |
| Issue reports to owners and seek agreement to the reports accuracy | CYP to issue reports following review and resolve any discrepancies or issues raised by owners. | March – April |
| Mail out reminder letters to non-respondents and letter box drop | General letter box drop to non-respondents. Coordinated with building managers to determine owner-non-occupiers. | Late March |
APRIL WORKS
• 24/7 works will take place 1–18 April on St Kilda Road and Park Street
• A new tram, road and cycle lane alignment will be in place diverting traffic around the construction site for Anzac Station
• This creates the safest environment for pedestrians, cyclists, public transport users, motorists and those working on the project
MAJOR CONSTRUCTION WORKS
• Construction of the temporary Domain Interchange tram stop to be located between Park Street and Dorcas Street while the new Anzac Station is built underneath the old stop location.
• Construction of new tram tracks.
• Installation of new paving, bluestone kerbing and laying down new asphalt to create the new traffic lanes.
• Removal of up to 36 trees in Domain. Trees will only be removed if absolutely necessary, all efforts will be taken to reduce the number of trees required.
PUBLIC TRANSPORT IMPACTS
- Buses will be replacing route 58 Trams from 1-17 April, and all routes on St Kilda Road from 6 – 17 April.
- These major works will largely be delivered during the April school holiday period because it’s a quieter time on our roads and public transport network.
- Replacement bus services will receive on-road priority during the disruption.
- Bus routes, 216, 219, 220 will continue to operate as normal however delays are expected.
- Yarra Trams will have customer service officers on the ground to provide travel support and advice.
ACCESS IMPACTS
• There will be some temporary overnight closures of the Northbound lanes on St Kilda Road, detour signage will be in place.
• Access to the Hallmark Apartments carpark will be maintained via traffic management at all times.
• From 18 April, Bowen Lane will be closed at the St Kilda Road end, access will be maintained via Kings Way, and a u-turn will be put in place.
• Albert Road North will be reopened at the completion of the road works on 18 April.
• There will be some impact to parking on St Kilda Road to facilitate these works. Towaway zones will be installed to ensure that one lane of traffic is maintained, and to provide space for tram replacement buses.
NOISE MODELLING
• Noise modelling is now complete on key activities
• Have now refined this based on activities on a day-by-day basis
• This will form the basis of relocation offers
• Monitoring will take place during works to check the modelling
1-5 APRIL: TRAFFIC MANAGEMENT
Park Street and Albert Road
5-18 APRIL: TRAFFIC MANAGEMENT
Park Street and Albert Road
18 APRIL ONWARDS: TRAFFIC MANAGEMENT
Park Street and Albert Road (18 Months)
MID-APRIL: PRECINCT CONFIGURATION
LEGEND
- CONSTRUCTION AREA
- FENCELINE
- CONCRETE BARRIER
- FOOTPRINT
- SECURITY GATE
- TRAFFIC DIRECTION
- OFFICE (2 x 3 m)
- LUNCHROOM (12 x 3 m)
- CHANGE ROOM (12 x 3 m)
- ABILITON (6 x 3 m)
- TOILET (4 x 3 m)
- SHOWER (6 x 3 m)
- SECURITY (3.4 x 2.4 m)
- FIRST AID (4.8 x 2.4 m)
- SO SITE OFFICE
- GATEWAY
- STATION CONSTRUCTION FOOTPRINT
- PROTECTED TREES DURING WORKS
PLAN VIEW
SCALE: N/S
Project Drawing Number
SEPTEMBER – DECEMBER: CONSTRUCTION STAGING
• North Box Roof Slab Concreting
• Southern Box Piling begins
MAY – SEPTEMBER: CONSTRUCTION STAGING
Foundations for the North Station Box
SEPTEMBER – DECEMBER: CONSTRUCTION STAGING
Acoustic Shed Construction
SEPTEMBER – DECEMBER: CONSTRUCTION STAGING
Underground excavation of northern box
QUESTIONS? |
JADE TUTORIAL
APPLICATION-DEFINED CONTENT LANGUAGES AND ONTOLOGIES
USAGE RESTRICTED ACCORDING TO LICENSE AGREEMENT.
last update: 15-April-2010 - JADE 4.0.
Authors: Giovanni Caire (TILAB, formerly CSELT)
David Cabanillas (Technical University of Catalonia - UPC)
Copyright (C) 2000 CSELT S.p.A.
Copyright (C) 2001 TILab S.p.A.
Copyright (C) 2002 TILab S.p.A.
Copyright (C) 2003 Telecom Italia S.p.A.
Copyright (C) 2004 Telecom Italia S.p.A.
Copyright (C) 2005 Telecom Italia S.p.A.
Copyright (C) 2006 Telecom Italia S.p.A.
Copyright (C) 2007 Telecom Italia S.p.A.
Copyright (C) 2008 Telecom Italia S.p.A.
JADE - Java Agent DEvelopment Framework is a framework to develop multi-agent systems in compliance with the FIPA specifications. JADE successfully passed the 1st FIPA interoperability test in Seoul (Jan. 99) and the 2nd FIPA interoperability test in London (Apr. 01).
Copyright (C) 2008 Telecom Italia S.p.A.
This library is free software; you can redistribute it and/or modify it under the terms of the GNU Lesser General Public License as published by the Free Software Foundation, version 2.1 of the License.
This library is distributed in the hope that it will be useful, but WITHOUT ANY WARRANTY; without even the implied warranty of MERCHANTABILITY or FITNESS FOR A PARTICULAR PURPOSE. See the GNU Lesser General Public License for more details.
You should have received a copy of the GNU Lesser General Public License along with this library; if not, write to the Free Software Foundation, Inc., 59 Temple Place - Suite 330, Boston, MA 02111-1307, USA.
# TABLE OF CONTENTS
1 RATIONALE 5
2 MAIN ELEMENTS 6
3 THE CONTENT REFERENCE MODEL 7
4 USING THE JADE CONTENT LANGUAGE AND ONTOLOGY SUPPORT. BASIC FEATURES 8
4.1 The Music Shop example 9
4.2 Defining an Ontology 9
4.3 Developing ontological Java classes 12
4.4 Selecting a content language 14
4.5 Registering content languages and ontologies to an agent 15
4.6 Creating and manipulating content expressions as Java objects 15
5 USING THE JADE CONTENT LANGUAGE AND ONTOLOGY SUPPORT. ADVANCED FEATURES 17
5.1 Combining ontologies 17
5.1.1 The Vocabulary interface pattern 18
5.2 Working with abstract descriptors 19
5.3 The conversion pipeline 21
5.4 Content language operators 22
5.4.1 Using the SL operators 22
5.5 Creating queries 23
5.6 Adding semantic constraints: Facets 25
5.7 Disabling semantic checks to improve performances 25
5.8 User-defined content languages 26
5.9 Introspectors 26
6 USING PROTÉGÉ TO CREATE JADE ONTOLOGIES 27
7 APPENDIX 1 - MIGRATING FROM THE OLD SUPPORT TO THE NEW ONE 27
8 APPENDIX 2 – CREATING THE MUSIC SHOP ONTOLOGY WITH PROTÉGÉ AND THE BEANGENERATOR 28
8.1 The SimpleAbstractJadeOntology 28
8.2 Creating the MusicShopOntology project 28
8.3 Ontological elements 29
8.4 Generating JADE classes 30
APPLICATION-DEFINED CONTENT LANGUAGES AND ONTOLOGIES
This section describes the content languages and ontologies support provided by JADE since version 2.5 and included in the `jade.content` package.
As usual in JADE, the approach is “pay as you go”: using the basic features (covered in section 4) is as simple as possible; using the advanced features (covered in section 5 and generally only needed in particular cases) requires the developer to know more about the internal operations of the content languages and ontologies support.
1 RATIONALE
When an agent A communicates with another agent B, a certain amount of information $I$ is transferred from A to B by means of an ACL message. Inside the ACL message, $I$ is represented as a content expression consistent with a proper content language (e.g. SL) and encoded in a proper format (e.g. string). Both A and B have their own (possibly different) way of internally representing $I$. Taking into account that the way an agent internally represents a piece of information must allow an easy handling of that piece of information, it is quite clear that the representation used in an ACL content expression is not suitable for the inside of an agent.
For example, the information that *there is a person whose name is Giovanni and who is 33 years old* in an ACL content expression could be represented as the string
```
(Person :name Giovanni :age 33)
```
Storing this information inside an agent simply as a string variable is not suitable to handle the information as e.g. getting the age of Giovanni would require each time to parse the string.
Considering software agents written in Java (as JADE agents are), information can conveniently be represented inside an agent as Java objects. For example, representing the above information about Giovanni as an instance (a Java object) of an application-specific class
```java
class Person {
String name;
int age;
public String getName() { return name; }
public void setName(String n) { name = n; }
public int getAge() { return age; }
public void setAge(int a) { age = a; }
...
}
```
initialized with
```
name = "Giovanni";
age = 33;
```
would allow to handle it very easily.
It is clear however that, if on the one hand information handling inside an agent is eased, on the other hand each time agent A sends a piece of information $I$ to agent B,
1) A needs to convert his internal representation of $I$ into the corresponding ACL content expression representation and B needs to perform the opposite conversion.
2) Moreover B should also perform a number of semantic checks to verify that $I$ is a meaningful\(^1\) piece of information, i.e. that it complies with the rules (for instance that the age of Giovanni is actually an integer value) of the ontology by means of which both A and B ascribe a proper meaning to $I$.
The support for content languages and ontologies provided by JADE is designed to automatically perform all the above conversion and check operations as depicted in Figure 1, thus allowing developers manipulating information within their agents as Java objects (as described above) without the need of any extra work.
---
**Figure 1 The conversion performed by the JADE support for content languages and ontologies**
---
### 2 MAIN ELEMENTS
The conversion and check operations described in 1 are carried out by a **content manager** object (i.e. an instance of the `ContentManager` class included in the `jade.content` package). Each JADE agent embeds a content manager accessible through the `getContentManager()` method of the `Agent` class. The `ContentManager` class provides all the methods to transform Java objects into strings (or sequences of bytes) and to insert them in the content slot of `ACLMessages` and vice-versa.
The content manager provides a convenient interfaces to access the conversion functionality, but actually just delegates the conversion and check operations to an **ontology** (i.e. an instance of the `Ontology` class included in the `jade.content.onto` package) and a **content language codec** (i.e. an instance of the `Codec` interface included in the `jade.content.lang` package). More specifically the ontology validates the information to be converted from the semantic point of view while the codec performs the translation into strings (or sequences of bytes) according to the syntactic rules of the related content language. These operations are described in more details in 5.3, but the user does not need to care about them unless he needs to use some advanced features such as performing queries.
---
\(^1\) Not necessarily true. If I say that “the age of Giovanni is 34”, this information is meaningful (a meaningless information would be for example that “the age of Giovanni is dog”), but can be false as maybe Giovanni is 33.
In order for JADE to perform the proper semantic checks on a given content expression it is necessary to classify all possible elements in the domain of discourse (i.e. elements that can appear within a valid sentence sent by an agent as the content of an ACL message) according to their generic semantic characteristics. This classification is derived from the ACL language defined in FIPA that requires the content of each ACLMessage to have a proper semantics according to the performatives of the ACLMessage. More in details at the first level we distinguish between predicates and terms.
**Predicates (or facts)** are expressions that say something about the status of the world and can be true or false e.g.
\[
\text{Works-for (Person :name John) (Company :name TILAB)}
\]
stating that “the person John works for the company TILAB”.
Predicates can be meaningfully used for instance as the content of an INFORM or QUERY-IF message, while would make no sense if used as the content of a REQUEST message.
**Terms (or entities)** are expressions identifying entities (abstract or concrete) that “exist” in the world and that agents talk and reason about. They are further classified into:
**Concepts** i.e. expressions that indicate entities with a complex structure that can be defined in terms of slots e.g.
\[
\text{Person :name John :age 33}
\]
Concepts typically make no sense if used directly as the content of an ACL message. In general they are referenced inside predicates and other concepts such as in
\[
\text{Book :title "The Lord of the rings" :author (Person :name "J.R.R. Tolkjien")}
\]
**Agent actions** i.e. special concepts that indicate actions that can be performed by some agents e.g.
\[
\text{Sell (Book :title "The Lord of the rings") (Person :name John)}
\]
It is useful to treat agent actions separately since, unlike “normal” concepts, they are meaningful contents of certain types of ACLMessage such as REQUEST. Communicative acts (i.e. ACL messages) are themselves agent actions.
**Primitives** i.e. expressions that indicate atomic entities such as strings and integers.
**Aggregates** i.e. expressions indicating entities that are groups of other entities e.g.
\[
\text{sequence (Person :name John) (Person :name Bill)}
\]
**Identifying Referential Expressions (IRE)** i.e. expressions that identify the entity (or entities) for which a given predicate is true e.g.
\[
\text{all ?x (Works-for ?x (Company :name TILAB))}
\]
identifying “all the elements x for which the predicate \((\text{Works-for } x \ (\text{Company :name TILAB}))\) is true, i.e. all the persons that works for the company TILAB).
These expressions are typically used in queries (e.g. as the content of a QUERY_REF) message) and requires variables.
**Variables** i.e. expressions (typically used in queries) that indicate a generic element not known a-priori.
A fully expressive content language should be able to represent and distinguish between all the above types of element. An ontology for a given domain is a set of schemas defining the structure of the predicates, agent actions and concepts (basically their names and their slots) that are pertinent to that domain.
The final Content Reference Model (depicted in Figure 2) includes two more types of element that are introduced considering that only predicates, agent actions, IREs and lists of elements of these three types\(^2\) (\textbf{ContentElementList}) are meaningful content of at least one ACL message. They all inherit from the \textbf{ContentElement} super-type.
### 4 USING THE JADE CONTENT LANGUAGE AND ONTOLOGY SUPPORT. BASIC FEATURES
This section describes the basic features of the JADE content language and ontology support included in the \texttt{jade.content} package. These features are typically sufficient in the great majority of the situations. The \texttt{jade.content} package however provides a number of advanced features, such as the possibility of creating queries, that are important for complex applications. These advanced features are covered in 5.
Exploiting the JADE content language and ontology support included in the \texttt{jade.content} package to make agents talk and reason about “things and facts” related to a given domain goes through the following steps.
1) Defining an ontology including the schemas for the types of predicate, agent action and concept that are pertinent to the addressed domain. This is discussed in 4.2.
2) Developing proper Java classes for all types of predicate, agent action and concept in the ontology. This is discussed in 4.3.
---
\(^2\) E.g. The content of a PROPOSE message is an agent action + a predicate indicating the conditions that will become true if the agent action is performed.
3) Selecting a suitable content language among those directly supported by JADE. This is discussed in 4.4. JADE can be easily extended to support new user-defined content languages (see 5.8), but in the great majority of the cases the user does not need to define his own content language.
4) Registering the defined ontology and the selected content language to the agent. This is discussed in 4.5.
5) Creating and handling content expression as Java objects that are instances of the classes developed in step 2 and let JADE translate these Java objects to/from strings or sequences of bytes that fit the content slot of ACLMessages. This is discussed in 4.6.
The above steps are illustrated by means of a simple example described in 4.1.
4.1 The Music Shop example
This example considers a Seller agent managing a simple electronic music shop where two types of item (i.e. CDs and musical books) are available for sale. Each item has a serial number. Each CD has a name and a number of tracks each one has a title and a duration. Each musical book has a title. The Seller agent owns a number of items and can sell them to other Buyer agents.
In the example a Buyer agent will ask the Seller agent if he owns a given CD and, if this is the case, he will request him to sell that CD.
4.2 Defining an Ontology
Since JADE 3.6.1 an new, simpler and faster way of defining an ontology is available by means of the jade.content.onto.BeanOntology class. The BeanOntology class extends the basic Ontology class masking all tricky aspects related to schema definitions that will be described later in this section. Its usage is described in details in the BeanOntology tutorial available in the online documentation section of the JADE web site (http://jade.tilab.com/doc/tutorials/BeanOntologyTutorial.pdf).
An ontology in JADE is an instance of the jade.content.onto.Ontology class to which the schemas defining the structure of the types of predicates, agent actions and concepts relevant to the addressed domain have been added. These schemas are instances of the PredicateSchema, AgentActionSchema and ConceptSchema classes included in the jade.content.schema package. These classes have methods by means of which it is possible to declare the slots that define the structure of each type of predicate, agent action and concept.
As an ontology is basically a collection of schemas that typically does not evolve during an agent lifetime, it is a good practice to declare the ontology as a singleton object and to define an ad-hoc class (that extends jade.content.onto.Ontology) with a static method to access this singleton object. This allows sharing the same ontology object (and all the included schemas) among different agents in the same JVM.
In the music shop example we will deal with four concepts (Item, CD, Track and Book), one predicate (Owns) and one agent action (Sell). Besides them we will have to deal with the concept of AID. The latter however does not need to be defined as each ontology in JADE normally extends a basic ontology (represented as a singleton object of the jade.content.onto.BasicOntology class) that includes the schemas for
- the primitive types (STRING, INTEGER, FLOAT...)
- the aggregate type
• some generic (i.e. not belonging to any specific domain) predicates, agent actions and concepts among which the AID concept identifying an agent.
In order to declare that the ontology $o_1$ extends the ontology $o_2$ (i.e. all predicates, agent actions and concepts included in $o_2$ are also included in $o_1$) it is sufficient to pass $o_2$ as a parameter when $o_1$ is constructed.
Taking into account all the above issues, the ontology for the music shop domain can be defined as
```java
package musicShopOntology;
import jade.content.onto.*;
import jade.content.schema.*;
public class MusicShopOntology extends Ontology {
// The name identifying this ontology
public static final String ONTOLOGY_NAME = "Music-shop-ontology";
// VOCABULARY
public static final String ITEM = "Item";
public static final String ITEM_SERIAL = "serial-number";
public static final String CD = "CD";
public static final String CD_NAME = "name";
public static final String CD_TRACKS = "tracks";
public static final String TRACK = "Track";
public static final String TRACK_TITLE = "title";
public static final String TRACK_DURATION = "duration";
public static final String BOOK = "Book";
public static final String BOOK_TITLE = "title";
public static final String OWNS = "Owns";
public static final String OWNS_OWNER = "owner";
public static final String OWNS_ITEM = "item";
public static final String SELL = "Sell";
public static final String SELL_BUYER = "buyer";
public static final String SELL_ITEM = "item";
// The singleton instance of this ontology
private static Ontology theInstance = new MusicShopOntology();
// This is the method to access the singleton music shop ontology object
public static Ontology getInstance() {
return theInstance;
}
// Private constructor
private MusicShopOntology() {
// The music shop ontology extends the basic ontology
super(ONTOLOGY_NAME, BasicOntology.getInstance())
try {
add(new ConceptSchema(ITEM), Item.class);
add(new ConceptSchema(CD), CD.class);
```
add(new ConceptSchema(TRACK), Track.class);
add(new ConceptSchema(BOOK), Book.class);
add(new PredicateSchema(OWNS), Owns.class);
add(new AgentActionSchema(SELL), Sell.class);
// Structure of the schema for the Item concept
ConceptSchema cs = (ConceptSchema) getSchema(ITEM);
cs.add(ITEM_SERIAL, (PrimitiveSchema) getSchema(BasicOntology.INTEGER),
ObjectSchema.OPTIONAL); // The serial-number slot is optional and
// allowed values are integers.
// Structure of the schema for the CD concept
cs = (ConceptSchema) getSchema(CD);
cs.addSuperSchema((ConceptSchema) getSchema(ITEM));
cs.add(CD_NAME, (PrimitiveSchema) getSchema(BasicOntology.STRING));
cs.add(CD_TRACKS, (ConceptSchema) getSchema(TRACK), 1,
ObjectSchema.UNLIMITED); // The tracks slot has cardinality > 1
// Structure of the schema for the Track concept
cs = (ConceptSchema) getSchema(TRACK);
cs.add(TRACK_TITLE, (PrimitiveSchema) getSchema(BasicOntology.STRING));
cs.add(TRACK_DURATION, (PrimitiveSchema)
getSchema(BasicOntology.INTEGER), ObjectSchema.OPTIONAL);
// Structure of the schema for the Book concept
cs = (ConceptSchema) getSchema(BOOK);
cs.addSuperSchema((ConceptSchema) getSchema(ITEM));
cs.add(BOOK_TITLE, (PrimitiveSchema) getSchema(BasicOntology.STRING));
// Structure of the schema for the Owns predicate
PredicateSchema ps = (PredicateSchema) getSchema(OWNS);
ps.add(OWNS_OWNER, (ConceptSchema) getSchema(BasicOntology.AID));
ps.add(OWNS_ITEM, (ConceptSchema) getSchema(ITEM));
// Structure of the schema for the Sell agent action
AgentActionSchema as = (AgentActionSchema) getSchema(SELL);
as.add(SELL_ITEM, (ConceptSchema) getSchema(ITEM));
as.add(SELL_BUYER, (ConceptSchema) getSchema(BasicOntology.AID));
}
catch (OntologyException oe) {
oe.printStackTrace();
}
}
All the xxxSchema classes are included in the jade.content.schema package.
From the above code we can see that
- Each schema added to the ontology is associated to a Java class e.g. the schema for the CD concept is associated to the CD.java class. While using the defined ontology, expressions indicating CDs will be instances of the CD class. These Java classes must have a proper structure as described in 4.3.
- Each slot in a schema has a name and a type, i.e. values for that slot must comply with a given schema.
• A slot can be declared as **OPTIONAL** meaning that its value can be **null**. Otherwise a slot is considered **MANDATORY**. If a **null** value for a **MANDATORY** slot is encountered in the validation of a content expression, an **OntologyException** is thrown.
• A slot can have cardinality > 1, i.e. values for that slot are aggregates of elements of a given type. For example the **tracks** slot in the schema for the **CD** concept can contain 1 or more elements of type **Track**.
• A schema can have a number of super-schemas. This allows defining specialization/extension relationships among concepts. For example the schema of **CD** has the schema of **Item** as a super-type meaning that **CD** is a type of **Item** and therefore that each **CD** instance is also an **Item** instance.
### 4.3 Developing ontological Java classes
As mentioned in 4.2 each schema included in an ontology is associated with a Java class (or interface). Clearly the structure of these classes must be coherent with the associated schemas. More in details they must obey the following rules.
1) Implementing a proper interface i.e.
- If the schema is a **ConceptSchema** the class must implement (directly or indirectly) the **Concept** interface.
- If the schema is a **PredicateSchema** the class must implement (directly or indirectly) the **Predicate** interface.
- If the schema is a **AgentActionSchema** the class must implement (directly or indirectly) the **AgentAction** interface.
The above interfaces are part of a hierarchy that follows the content reference model presented in 3 and that is included in the `jade.content` package.
2) Having the proper inheritance relations i.e.
If S1 is a super-schema of S2 then the class C2 associated to schema S2 must extend the class C1 associated to schema S1.
3) Having the proper member fields and accessor methods i.e.
- For each slot in schema S1 with name nnn and type (i.e. whose schema is) S2 the class C1 associated to schema S1 must have two accessor methods with the following signature
```java
public void setNnn(C2 c);
public C2 getNnn();
```
where C2 is the class associated to schema S2. In particular if S2 is a schema defined in the BasicOntology then
- if S2 is the schema for STRING → C2 is java.lang.String
- if S2 is the schema for INTEGER → C2 is int, long, java.lang.Integer or java.lang.Long\(^3\)
- if S2 is the schema for BOOLEAN → C2 is boolean or java.lang.Boolean
- if S2 is the schema for FLOAT → C2 is float, double, java.lang.Float or java.lang.Double
- if S2 is the schema for DATE → C2 is java.util.Date
- if S2 is the schema for BYTE_SEQUENCE → C2 is byte[]
- if S2 is the schema for AID → C2 is jade.core.AID
---
\(^3\) The user can choose among these options according to his preferences.
– For each slot in schema S1 with name nnn, type S2 and cardinality > 1 the class C1 associated to schema S1 must have two accessor methods with the following signature
```java
public void setNnn(jade.util.leap.List l);
public jade.util.leap.List getNnn();
```
To exemplify the above rules the classes associated to the CD concept and to the Owns predicate in the music shop example are reported below.
```java
// Class associated to the CD schema
package musicShopOntology;
import jade.util.leap.List;
public class CD extends Item { // Note that the Item class (omitted here) implements Concept
private String name;
private List tracks;
public String getName() {
return name;
}
public void setName(String n) {
name = n;
}
public List getTracks() {
return tracks;
}
public void setTracks(List l) {
tracks = l;
}
}
// Class associated to the Owns schema
package musicShopOntology;
import jade.content.Predicate;
import jade.core.AID;
public class Owns implements Predicate {
private AID owner;
private Item item;
public AID getOwner() {
return owner;
}
public void setOwner(AID id) {
owner = id;
}
public Item getItem() {
return item;
}
public void setItem(Item i) {
item = i;
}
}
```
The `jade.util.leap` package includes a number of utility classes that provide more or less the same features and methods of the classes in the Java Collection Framework (such as `java.util.Collection`, `java.util.List`, `java.util.Map` and so on). Unlike their `java.util` counterparts, however, the classes in the `jade.util.leap` package are also available when working with the Java Micro Edition.
For developers not interested in writing code that can run on Java enabled mobile phones too, working with the classes of the `jade.util.leap` package can be a bit annoying. Therefore, since version 3.5, JADE allows working with the normal Java Collection Framework classes. In order to do that it is sufficient to specify that an ontology must use the `jade.content.onto.CFReflectiveIntrospector` as exemplified below.
```java
...
// Private constructor
private MusicShopOntology() {
// The music shop ontology extends the basic ontology and uses
// the CFReflectiveIntrospector
super(ONTOLOGY_NAME, BasicOntology.getInstance(),
new CFReflectiveIntrospector());
try {
add(new ConceptSchema(ITEM), Item.class);
...
```
Introspectors are detailed in section 5.9.
### 4.4 Selecting a content language
The `jade.content` package directly includes codecs for two content languages (the SL language and the LEAP language) both supporting the content reference model described in 3. A codec for a content language $L$ is a Java object able to manage (see 5.8 for details) content expressions written in the $L$ language. In the great majority of the cases a developer can just adopt one of these two content languages and use the related codec without any additional effort. This section gives some hints that can help in choosing which one. If a developer wants his agents to “speak” a different content language he can define a proper codec for it as described in 5.8.
The **SL language** is a human-readable string-encoded (i.e. a content expression in SL is a string) content language and is probably (together with KIF) the mostly diffused content language in the scientific community dealing with intelligent agents. All examples of content expression in this documentation are expressed in SL. In general we suggest to adopt this language especially for agent based applications that are (or can become) open (i.e. where agents from different developer and running on different platforms must communicate). SL includes a number of useful operators such as logical operators (`AND`, `OR`, `NOT`) and modal operators (`BELIEF`, `INTENTION`, `UNCERTAINTY`). Refer to 5.4.1 for a description of how to use them. Moreover the property of being human-readable can be very helpful when debugging and testing an application.
The **LEAP language** is a non-human-readable byte-encoded (i.e. a content expression in LEAP is a sequence of byte) content language that has been defined ad hoc for JADE within the LEAP project. It is therefore clear that only JADE agents will be able to “speak” the LEAP language. There are some cases however in which the LEAP language is preferable with respect to SL.
- The `LEAPCodec` class is lighter than the `SLCodec` class. When there are strong memory limitations the LEAP language is preferable.
Unlike the LEAP language, the SL language does not support sequences of bytes. Finally, the developer should take into account that the SL language deals with agent actions particularly. All agent actions in SL must be inserted into the ACTION construct (included in the BasicOntology and implemented by the jade.content.onto.basic.Action class) that associates the agent action to the AID of the agent that is intended to perform the action. Therefore, the expression
```
(Sell
(Book :title "The Lord of the rings")
(agent-identifier :name Peter)
)
```
cannot be used directly as the content of e.g. a REQUEST message even if it corresponds to an agent action in the Content Reference Model. In fact, the SL grammar does not allow it as a first-level expression. The following expression must be used instead
```
(ACTION
(agent-identifier :name John)
(Sell
(Book :title "The Lord of the rings")
(agent-identifier :name Peter)
)
)
```
Where John is the agent that is requested to sell the specified book to agent Peter.
4.5 Registering content languages and ontologies to an agent
Before an agent can actually use the defined ontology and the selected content language, they must be registered to the content manager of the agent. This operation is typically (but not necessarily) performed during agent setup (i.e., in the `setup()` method of the `Agent` class). The following code shows this registration in the case of the Seller agent (the Buyer agent looks like the same) assuming the SL Language is selected.
```java
public class SellerAgent extends Agent {
private Codec codec = new SLCodec();
private Ontology ontology = MusicShopOntology.getInstance();
...
protected void setup() {
...
getContentManager().registerLanguage(codec);
getContentManager().registerOntology(ontology)
...
}
...
}
```
From now on, the content manager will associate the registered `Codec` and `Ontology` objects to the strings returned by their respective `getName()` methods.
Note that, while it is generally a good practice having a singleton `Ontology` object, this is not the case for `Codec` objects as synchronization problems can arise during parsing operations.
4.6 Creating and manipulating content expressions as Java objects
Having defined an ontology (and the classes associated to the types of predicate, agent action, and concept it includes), selected a proper language, and registered them to the agent’s content
manager, creating and manipulating content expressions as Java objects is straightforward. The code\(^4\) below shows how the Buyer agent asks the Seller agent if he owns “Synchronicity”\(^5\).
```
// Prepare the Query-IF message
ACLMessage msg = new ACLMessage(ACLMessage.QUERY_IF);
msg.addReceiver(sellerAID) // sellerAID is the AID of the Seller agent
msg.setLanguage(codec.getName());
msg.setOntology(ontology.getName());
// Prepare the content. Optional fields are not set
CD cd = new CD();
cd.setName("Synchronicity");
List tracks = new ArrayList();
Track t = new Track();
t.setTitle("Every breath you take");
tracks.add(t);
t = new Track();
t.setTitle("King of pain");
tracks.add(t);
cd.setTracks(tracks);
Owns owns = new Owns();
owns.setOwner(sellerAID);
owns.setItem(cd);
try {
// Let JADE convert from Java objects to string
getContentManager().fillContent(msg, owns);
send(msg);
}
catch (CodecException ce) {
ce.printStackTrace();
}
catch (OntologyException oe) {
oe.printStackTrace();
}
```
In the `fillContent()` method the Buyer agent’s content manager gets the proper `Ontology` and `Codec` objects (on the basis of the values of the `:ontology` and `:language` slots of the `ACLMessage` `msg`) and let them perform the necessary conversion and check operations.
Similarly the Seller agent, receiving the message from the Buyer agent, can handle it as below.
```
// Receive the message
MessageTemplate mt = MessageTemplate.and(
MessageTemplate.MatchLanguage(codec.getName()),
MessageTemplate.MatchOntology(ontology.getName()) );
ACLMessage msg = blockingReceive(mt);
try {
ContentElement ce = null;
if (msg.getPerformative() == ACLMessage.QUERY_IF) {
```
---
\(^4\) This code is likely to be inserted into a proper behaviour implementing a FIPA-Query protocol, but this is out of the scope of this documentation
\(^5\) A very well known CD by The Police
// Let JADE convert from String to Java objects
ce = getContentManager().extractContent(msg);
if (ce instanceof Owns) {
Owns owns = (Owns) ce;
Item it = owns.getItem();
// Check if I have this item and answer accordingly
...
}
...
catch (CodecException ce) {
ce.printStackTrace();
}
catch (OntologyException oe) {
oe.printStackTrace();
}
...
5 USING THE JADE CONTENT LANGUAGE AND ONTOLOGY SUPPORT. ADVANCED FEATURES
5.1 Combining ontologies
The support for content languages and ontologies included in the jade.content package provides an easy way to combine ontologies thus facilitating code re-usage. In particular it is possible to define that a new ontology extends one or more (previously defined) ontologies by simply specifying the extended ontologies as parameters in the constructor used to create the new ontology.
For instance in the music shop example we included for simplicity all predicates, agent actions and concepts in the MusicShopOntology, but as a matter of facts the concept Item, the predicate Owns and the agent action Sell are not strictly related to the music shop domain. They could be included in another more generic ontology called for instance ECommerceOntology and the MusicShopOntology could be defined as extending the ECommerceOntology by adding the CD, Book and Track concepts.
Assuming we moved the above mentioned ontological elements in the ECommerceOntology, the MusicShopOntology would be modified as below
package musicShopOntology;
import jade.content.onto.*;
import jade.content.schema.*;
import eCommerceOntology.*;
public class MusicShopOntology extends Ontology {
// The name identifying this ontology
public static final String ONTOLOGY_NAME = "Music-shop-ontology";
// VOCABULARY
public static final String CD = "CD";
public static final String CD_NAME = "name";
public static final String CD_TRACKS = "tracks";
public static final String TRACK = "Track";
public static final String TRACK_TITLE = "title";
public static final String TRACK_DURATION = "duration";
public static final String BOOK = "Book";
public static final String BOOK_TITLE = "title";
// The singleton instance of this ontology
private static Ontology theInstance = new MusicShopOntology();
// This is the method to access the singleton music shop ontology object
public static Ontology getInstance() {
return theInstance;
}
// Private constructor
private MusicShopOntology() {
// The music shop ontology extends the e-commerce ontology
super(ONTOLOGY_NAME, ECommerceOntology.getInstance())
try {
add(new ConceptSchema(CD), CD.class);
add(new ConceptSchema(TRACK), Track.class);
add(new ConceptSchema(BOOK), Book.class);
// Structure of the schema for the CD concept
cs = (ConceptSchema) getSchema(CD);
cs.addSuperSchema((ConceptSchema) getSchema(EcommerceOntology.ITEM));
cs.add(CD_NAME, (PrimitiveSchema) getSchema(BasicOntology.STRING));
cs.add(CD_TRACKS, (ConceptSchema) getSchema(TRACK), 1,
ObjectSchema.UNLIMITED); // The tracks slot has cardinality > 1
...
}
It is possible to extend more than one existing ontology by specifying an array of Ontology instead of just one Ontology object. See the javadoc for more details.
5.1.1 The Vocabulary interface pattern
In the above example of course we must take into account that the ITEM constant is defined in ECommerceOntology. In cases in which we are dealing with large ontologies that are obtained extending several previously defined ontologies, keeping track of which ontology a given symbol is actually defined in can be quite annoying. To face this problem we suggest the simple design pattern represented in Figure 3.
Where all the constants are defined in the Vocabulary interfaces. By organizing things this way each constant can be accessed as if it were defined in the ExtendedOntology even if it was actually defined in one of the base ontologies.
5.2 Working with abstract descriptors
If using Java objects to represent a content expression (as described in 4) is very convenient for managing the information included in that content expression, there are however some cases where this can create problems.
- Assuming an ontology includes 1000 elements, we need to deal with 1000 classes. Even if these classes can be automatically generated (as described in 6), there can be situations in which dealing with 1000 classes is in any case a problem (for instance if the agent has to be deployed on a small device with memory limitations).
- If multiple inheritance relationships have to be defined between concepts in an ontology (this feature is supported by simply calling several times the addSuperSchema() method), the Java classes representing these concepts must be interfaces as Java does not support multiple inheritance.
- In order to create queries it is necessary to specify variables such as in
```
QUERY_REF (All ?x (Owns (agent-identifier :name Seller) ?x)
```
Such a content expression can’t be translated into a Java object as an object representing a variable cannot be assigned where an Item is required.
For these reasons JADE provides another (less convenient, but more general) way of representing content expressions: each element can be represented as an abstract descriptor that includes
- a type-name indicating the actual type of the element
- a number of named slots holding the attributes of the element
This is to say that e.g. the concept (Person :name Giovanni :age 33) can be also represented as an instance of the AbsConcept class (an abstract descriptor representing a concept) where the type-name is set to “Person”, the slot named “name” is set to “Giovanni”\(^6\) and the slot named “age” is set to 33.
\(^6\) More in details it is set to an AbsPrimitive (an abstract descriptor representing a primitive value) representing the string “Giovanni”
At the end of the day there is an abstract descriptor class for each type of element in the content reference model presented in 3 (AbsPredicate, AbsAgentAction, AbsConcept …..) and all predicates are represented as instances of AbsPredicate, all agent actions are represented as instances of AbsAgentAction and so on.
All abstract descriptor classes are included in the jade.content.abs package.
Note that primitive values are represented as abstract descriptors too, i.e. as instances of the AbsPrimitive class.
As an example, when using abstract descriptors, the code presented in 4.6 to ask the Seller agent if he owns a given CD, would look like (refer to the javadoc for details about the methods provided by the abstract descriptor classes):
```java
// Prepare the Query-IF message
ACLMessage msg = new ACLMessage(ACLMessage.QUERY_IF);
msg.addReceiver(sellerAID); // sellerAID is the AID of the Seller agent
msg.setLanguage(codec.getName());
msg.setOntology(ontology.getName());
// Prepare the content. Optional fields are not set
AbsConcept absCd = new AbsConcept(MusicShopOntology.CD);
absCd.set(MusicShopOntology.CD_NAME, "Synchronicity");
AbsAggregate absTracks = new AbsAggregate(BasicOntology.SEQUENCE);
AbsConcept absT = new AbsConcept(MusicShopOntology.TRACK);
absT.set(MusicShopOntology.TRACK_TITLE, "Every breath you take");
absTracks.add(absT);
absT = new AbsConcept(MusicShopOntology.TRACK);
absT.set(MusicShopOntology.TRACK_TITLE, "King of pain");
absTracks.add(absT);
absCd.set(MusicShopOntology.CD_TRACKS, absTracks);
try {
// Use the basic ontology to get an abstract descriptor of the Seller AID
AbsConcept absSeller = ontology.fromObject(sellerAID);
AbsPredicate absOwns = new AbsPredicate(MusicShopOntology.OWNS);
absOwns.set(MusicShopOntology.OWNS_OWNER, absSeller);
absOwns.set(MusicShopOntology.OWNS_ITEM, absCd);
// Let JADE convert from Abstract descriptor to string
getContentManager().fillContent(msg, owns);
send(msg);
} catch (CodecException ce) {
ce.printStackTrace();
} catch (OntologyException oe) {
oe.printStackTrace();
}
```
It should be noted that
- We use the ontology to get an abstract descriptor of the seller AID. This is explained in 5.3.
• In this case we are using an overloaded version of the `fillContent()` method that takes an `AbsContentElement` (instead of a `ContentElement`) as parameter.
• In general the developer can work with both user defined java classes and abstract descriptors depending on the situation. For example java objects can be used normally (as they are more convenient) and abstract descriptors can be used only when dealing with queries (that can’t be represented as java objects).
• The `Ontology` class provides an overloaded version of the `add()` method that allows adding a schema to the ontology without specifying any Java class associated to this schema. Clearly if the user adds a schema using this method he will never be able to work with Java objects when dealing with content expressions that refer to that schema.
5.3 The conversion pipeline
Even if the user only works with Java objects, JADE uses the abstract descriptor classes when translating content expressions. More in details when the `fillContent()`/`extractContent()` methods of the `ContentManager` class are called:
• The `Codec` object (associated to the language indicated in the `:language` slot of the message whose content has to be translated) converts a string (or a sequence of byte) into/from an `AbsContentElement`.
• The `AbsContentElement` is validated against its schema.
• The `Ontology` object (associated to the ontology indicated in the `:ontology` slot of the message whose content has to be translated) converts the `AbsContentElement` into/from a Java object of a class implementing the `ContentElement` interface.
Figure 4 graphically represents this conversion pipeline.
The `toObject()` and `fromObject()` methods of the `Ontology` class are used to perform the
translation between abstract descriptors and java objects.
5.4 Content language operators
In general a content language, besides defining a proper syntax for content expressions, defines a number of operators such as the logical connectors AND and OR. Each operator in a content language, like elements in an ontology, can be defined by means of a schema that specifies the structure of all the expressions based on that operator. This schema will be a PredicateSchema, an AgentActionSchema and so on according to the semantics of the operator. For instance the AND operator will be defined by a PredicateSchema (since an expression based on the AND operator is a logical expression that can be true or false) whose type-name is “AND” and that has two slots:
- left whose values must be Predicate objects
- right whose values must be Predicate objects
The operators in a content language therefore form an ontology that can be defined in JADE exactly as user defined ontologies described in 4.2. This ontology can be accessed through the getInnerOntology() method of the Codec class. It should be noticed however that:
- Unlike user defined ontologies whose elements are in general domain specific, the ontology of the operators of a content language in general only includes domain independent element.
- While user defined ontologies only include schemas of predicates, concepts and agent actions, the ontology of the operators of a content language can also include schemas of other types in the content reference model. For example the sequence operator of the SL language if defined by an AggregateSchema.
5.4.1 Using the SL operators
The SL language supports a rich set of useful operators ranging from logical operators (AND, OR, NOT) to modal operators (B, I, U, PG) and action operators (ACTION, ; |). As mentioned in 5.4, these operators are defined by proper schemas. Since there are quite a lot of operators in SL, however, we decided not to provide a Java class for each of them. In particular only the operators that are supported by the SLO language (agent-identifier, set, sequence, action, done, result, =) have a class associated to them. Their schemas and the related Java classes are defined directly in the BasicOntology as these operators are necessary to create expressions that are referenced in the definition of the semantics of ACL.
In order to handle expressions that make use of the other operators it is necessary to use the abstract descriptors as described in 5.2. All operator names are available as constants defined in the jade.content.lang.sl.SLVocabulary interface.
As an example let’s go back to the music shop case and let’s assume that the seller agent does not own “Synchronicity”. In order to inform the buyer agent about that, the seller can use the NOT operator. The code to do that will look like that highlighted in bold.
```
...
// Receive the message
MessageTemplate mt = MessageTemplate.and(
MessageTemplate.MatchLanguage(codec.getName()),
MessageTemplate.MatchOntology(ontology.getName()) );
ACLMessage msg = blockingReceive(mt);
try {
ContentElement ce = null;
```
if (msg.getPerformative() == ACLMessage.QUERY_IF) {
// Let JADE convert from String to Java objects
ce = getContentManager().extractContent(msg);
if (ce instanceof Owns) {
Owns owns = (Owns) ce;
Item it = owns.getItem();
if (I don’t own the item it) {
AbsPredicate not = new AbsPredicate(SLVocabulary.NOT);
not.set(SLVocabulary.NOT_WHERE, ontology.fromObject(owns));
ACLMessage reply = msg.createReply();
reply.setPerformative(ACLMessage.INFORM);
getContentManager().fillContent(reply, not);
send(reply);
}
}
}
catch (CodecException ce) {
ce.printStackTrace();
}
catch (OntologyException oe) {
oe.printStackTrace();
}
5.5 Creating queries
As already mentioned, working with abstract descriptors is necessary when manipulating queries. In particular two abstract descriptors classes are used when dealing with queries:
- **AbsIRE** - an abstract descriptor representing an Identifying Referential Expression (IRE)
- **AbsVariable** - an abstract descriptor representing a Variable
An IRE always includes a variable and a predicate and therefore the `AbsIRE` class has proper methods to access the `AbsVariable` and the `AbsPredicate` representing the included variable and predicate.
In order to exemplify the usage of `AbsIRE` and `AbsVariable` to create queries let’s add now to the `ECommerceOntology` the predicate `Costs` that relates an `Item` with an `integer` representing the price of that item. We also assume to have organized things according to the Vocabulary-interface pattern described in 5.1.1. The definition of this new predicate looks like:
```java
EcommerceVocabulary file
....
public static final String COSTS = "Costs";
public static final String COSTS_ITEM = "item";
public static final String COSTS_PRICE = "price";
....
ECommerceOntology file
....
// Private constructor
private ECommerceOntology() {
// The e-commerce ontology extends the basic ontology
super(ONTOLOGY_NAME, BasicOntology.getInstance())
try {
add(new ConceptSchema(ITEM), Item.class);
```
add(new PredicateSchema(OWNS), Owns.class);
add(new PredicateSchema(COSTS), Costs.class);
add(new AgentActionSchema(SELL), Sell.class);
// Structure of the schema for the Costs predicate
PredicateSchema ps = (PredicateSchema) getSchema(COSTS);
ps.add(COSTS_ITEM, (ConceptSchema) getSchema(ITEM));
ps.add(COSTS_PRICE, (PrimitiveSchema) getSchema(BasicOntology.INTEGER));
Then we modify the Buyer agent so that it asks the Seller agent for the price of the CD he is interested in before trying to buy it. The code to create the query will look like:
// Prepare the Query-REF message
ACLMessage msg = new ACLMessage(ACLMessage.QUERY_REF);
msg.addReceiver(sellerAID); // sellerAID is the AID of the Seller agent
msg.setLanguage(codec.getName());
msg.setOntology(ontology.getName());
// Prepare the content.
try {
AbsConcept absCd = ontology.fromObject(cd);
AbsVariable x = new AbsVariable("x", BasicOntology.INTEGER);
AbsPredicate absCosts = new AbsPredicate(MusicShopOntology.COSTS);
absCosts.set(MusicShopOntology.COSTS_ITEM, absCd);
absCosts.set(MusicShopOntology.COSTS_PRICE, x);
AbsIRE absIota = new AbsIRE(SLVocabulary.IOTA);
absIota.setVariable(x);
absIota.setProposition(absCosts);
// Let JADE convert from Abstract descriptor to string
getContentManager().fillContent(msg, absIota);
send(msg);
}
catch (CodecException ce) {
ce.printStackTrace();
}
catch (OntologyException oe) {
oe.printStackTrace();
}
With reference to the above code it should be noticed that cd is the CD object we used in 4.6 to ask the Seller agent if he owns “Synchronicity”. Instead of creating an empty AbsConcept and filling its slots from scratch (as shown in 5.2) we use the ontology to translate from Java object to abstract descriptor by means of the fromObject() method.
Each variable has a name (“x” in this case) and a type indicated as a String; in this case the type is BasicOntology.INTEGER as the variable is used to replace the price (an integer value) of “Synchronicity”.
Thanks to the Vocabulary-interface pattern we don’t care that the costs predicate is defined in the ECommerceOntology, but we just deal with the MusicShopOntology.
The “iota” operator (indicated by the SLVocabulary.IOTA constant) is an operator of the SL language that allows creating IREs indicating “the unique X such that a given predicate (containing the variable X) is true”.
5.6 Adding semantic constraints: Facets
The content languages and ontologies support included in the jade.content package gives the user the possibility of setting additional constraints (called facets) to the predicates, agent actions and concepts he defines in an ontology. As an example we would like to check that the price of an Item is always a positive integer and we don’t want to explicitly perform this check each time we deal with the Costs predicate. In order to delegate this check to JADE it is sufficient to add to the price slot of the schema of the Costs predicate a facet that checks that the value of this slot is greater than 0. This facet will be forced each time a content expression including the Costs predicate is translated by the ContentManager. From the implementation point of view a facet is an instance of a class implementing the Facet interface included in the jade.content.schema package.
The code to add this facet in the ECommerceOntology is
```
......
// Structure of the schema for the Costs predicate
PredicateSchema ps = (PredicateSchema) getSchema(COSTS);
ps.add(COSTS_ITEM, (ConceptSchema) getSchema(ITEM));
ps.add(COSTS_PRICE, (PrimitiveSchema) getSchema(BasicOntology.INTEGER));
ps.addFacet(COSTS_PRICE, new PositiveIntegerFacet());
......
```
Where the PositiveIntegerFacet class can be defined as
```java
public class PositiveIntegerFacet implements Facet {
void validate(AbsObject abs, Ontology onto) throws OntologyException {
try {
AbsPrimitive p = (AbsPrimitive) abs;
if (p.getInteger() <= 0) {
throw new OntologyException("Integer value <= 0");
}
} catch (Exception e) {
throw new OntologyException("Not an Integer value", e);
}
}
}
```
5.7 Disabling semantic checks to improve performances
As described in 5.3, when translating a content expression form a string/byte sequence representation to a Java object representation (and vice-versa), JADE validates the content expression against its schema. If this validation succeeds the content is semantically correct with respect to the ontology it refers to and the agent does not need to perform any explicit check. It’s clear however that the validation process takes its time. In order to speed up the performances the user can disable the validation process by means of the setValidationMode() of the ContentManager class.
This can be a useful trick when developing “closed” applications (i.e. applications where all agents are JADE agents and all of them use the JADE content languages and ontologies support). Unless
there are design/implementation bugs in facts, in these cases content expressions exchanged in agent communication are likely consistent. On the other hand it is strongly suggested to keep the validation process enabled when dealing with “open” applications in which different agents can have completely different ways of internally representing content expressions.
5.8 User-defined content languages
As mentioned in 4.4, the `jade.content` package directly includes codecs for two content languages (the SL language and the LEAP language) both supporting the content reference model described in 3. In the great majority of the cases a developer can just adopt one of these two content languages and use the related codec without any additional effort. There are cases however in which the user is forced to create agents “speaking” a different content language and therefore he has to develop an ad-hoc codec for that language.
From the implementation point of view a content language codec in JADE is an instance of a class extending the `jade.content.lang.Codec` abstract class and, in particular, implementing the two methods `decode()` and `encode()` to respectively
- parse the content in an ACL message and convert it into an `AbsContentElement` object.
- encode the content from an `AbsContentElement` object into the content language syntax and encoding.
More in details, as a content expression inside an `ACLMessage` can be represented as a `String` or as a sequence of byte (i.e. as a `byte[]`), the `Codec` class is further specialized into `StringCodec` and `ByteArrayCodec`. These two classes differ in the signatures of the abstract methods `decode()` and `encode()`: In the former they translate a `String` into/from an `AbsContentElement`, while in the latter they translate a `byte[]` into/from an `AbsContentElement`.
As an example the `SLCodec` (included in the `jade.content.lang.sl` package) extends `StringCodec`, while the `LEAPCodec` (included in the `jade.content.lang.leap` package) extends `ByteArrayCodec`.
5.9 Introspectors
In order to decouple the definition of an ontology (i.e. the definitions of the schemas in the ontology) form the implementation of the classes representing the predicates, agent actions and concepts included in the ontology, the `Ontology` class does not deal directly with the translation from abstract descriptors to java objects. On the other hand it delegates that task to an internal object that implements the `Introspector` interface included in the `jade.content.onto` package. The `Introspector` interface includes three methods:
- `externalize()` to translate a Java object into an abstract descriptor
- `internalize()` to translate an abstract descriptor into a Java object
- `checkClass()` to check that a Java class associated to a schema has a structure (i.e. accessor methods) consistent with that schema and therefore that successive calls to the `externalize()` and `internalize()` methods will succeed.
When defining an ontology it is possible to specify the `Introspector` object that the ontology will use by passing it as a parameter in the constructor of the ontology. The `jade.content` package comes with a default `Introspector` (called `ReflectiveIntrospector` as it uses Java Reflection to perform the translations) that is used unless the user explicitly specify a different one and that requires the ontological Java classes to have the structure described in 4.3. By using a different `Introspector` it is therefore possible to use Java classes that do not meet the structure described in 4.3 to represent the predicates, agent actions and concepts included in an ontology.
Especially when dealing with large ontologies, developing the ontology definition class (i.e. the schemas) and the Java classes representing the predicates, agent actions and concepts included in the ontology “by hand” as described in 4.2 and 4.3 can be really time consuming. Thanks to a proper plug-in (called **beangenerator**) implemented by C.J. van Aart from Department of Social Science Informatics (SWI) University of Amsterdam, it is possible to define the ontology using Protégé and then let the beangenerator automatically create the ontology definition class and the predicates, agent actions and concepts classes.
This process is very convenient as it allows working with an ad-hoc graphical tool (as Protégé is) instead of writing Java code in the ontology definition process.
The beangenerator is distributed as an add-on of JADE and is available at http://jade.tilab.com/community-3rdpartysw.htm. Detailed instructions about how to plug it into Protégé and how to use it to convert a Protégé ontology into a JADE ontology can be found at http://www.swi.psy.uva.nl/usr/aart/beangenerator/index25.html and http://www.cs.bath.ac.uk/~occ/agents_ecommerce/jade/protege.shtml.
Appendix 2 of this tutorial shows how to define the music shop ontology by means of Protégé and how to generate the related JADE classes by means of the Beangenerator plug-in.
7 APPENDIX 1 - MIGRATING FROM THE OLD SUPPORT TO THE NEW ONE
Earlier versions of JADE already included an old ontologies support. This appendix describes how to modify a code using the old support to make it use the new one described in this document. This section briefly describes how to modify code already written for the “old” support for content languages and ontologies provided by JADE so that it can be used with the new one.
There are four differences that must be considered.
1) The format of the ontology definition class is different. This is certainly the main effort that is required in this process as it basically requires re-writing the ontology definition class from scratch as described in 4.2. It should be noticed however that this modification is completely self-contained i.e. it does not require any modification to the application code that uses the ontology.
2) The structure of the Java classes representing the predicates, agent actions and concepts included in the ontology are different. In the old support in facts, given a slot named nnn of type T with cardinality > 1 the associated Java class should have two accessor methods with the signature public void addNnn(T t); public Iterator getAllNnn(); On the other hand in the new support the two accessor methods should be public void setNnn(List l); public List getNnn();
In order not to force the user to change all these accessor methods (note that this modification would also require changing the application code that uses the ontology) a proper Introspector (see 5.9 for details) is provided that allows using classes with the “old” structure within the “new” support. This Introspector is called BCReflectiveIntrospector (Backward-Compatible Reflective Introspector) and is included in the jade.content.onto package.
At the end of the day the user only need to specify that the ontology must use a BCReflectiveIntrospector instead of the default ReflectiveIntrospector.
3) All Java classes representing predicates, agent actions and concepts in the ontology must be modified to implement `Predicate`, `AgentAction` and `Concept` respectively.
4) When registering the `Codec` and the `Ontology` and when filling/extracting ACLMessages content the methods of the `ContentManager` must be used instead of the respective methods of the `Agent` class.
---
8 APPENDIX 2 – CREATING THE MUSIC SHOP ONTOLOGY WITH PROTÉGÉ AND THE BEANGENERATOR
This appendix shows the steps required to create the music shop ontology considered in this tutorial by means of the Protégé graphical tool described in section XXX and generate the corresponding JADE code by means of the Beangenerator add-on.
Look at the Beangenerator documentation for the details about installing it as a Protégé plug-in. You can check the Beangenerator plug-in installation by starting Protégé and verifying that a printout similar to that reported below appears:
```
Protege 2.1.2 Build 246, JVM 1.4.2_04-b05, ...
installed plugins:
beangenerator
...
```
Additionally selecting `Project => Configure` in the Protégé menu you should get the `OntologyBeanGeneratorTab` tab.
8.1 The SimpleAbstractJadeOntology
Unlike JADE, Protégé assumes a flat content reference model, i.e. it makes no distinction between concepts, predicates and agent actions, but just sees classes. In order to allow creating an ontology compliant to the JADE structured content reference model with Protégé, the Beangenerator add-on comes with a predefined ontology (called `SimpleAbstractJadeOntology`) that includes the basic abstract elements `Concept`, `Predicate` and `AgentAction`). The `SimpleAbstractJadeOntology` must be imported in each ontology defined with Protégé and all elements in the ontology under definition must extend the proper abstract element in the `SimpleAbstractJadeOntology` depending on whether they are concepts, predicates or agent actions. Furthermore the `SimpleAbstractJadeOntology` also provides the readymade concept AID.
8.2 Creating the MusicShopOntology project
The steps required to define the MusicShopOntology project in Protégé are
- Create a new project. Choose Standard Text files.
- Save the project somewhere (e.g. USER_DIRECTORY\music) with the name music.
- Copy the `SimpleAbstractJadeOntology.*` files from the beangenerator projects package into the project directory.
- Enable the beangenerator tab - select Project-Configure, then select the OntologyBeanGeneratorTab. A new tab with the name Ontology Bean Generator should then appear.
- Select Project => Include Project, and chose the SimpleJADEAbstractOntology project (which you should have copied into your project directory). At this time you should see four new classes (Concept, Predicate, AgentAction and AID) in the Protégé class tree.
8.3 Ontological elements
This section reports the class tree as it should appear in Protégé (where elements in red are those imported from the SimpleAbstractJadeOntology) and the slot definitions for all the ontological elements in the music shop ontology. Look at the Protégé documentation for the details on how to create class, subclasses and slots.
- **Concept**
- AID
- Item
- CD
- Book
- Track
- **AgentAction**
- Sell
- **Predicate**
- Own
### Item:
| Slot name | Type | Allowed / Values classes | Cardinality | Default |
|-----------|--------|--------------------------|-------------|---------|
| serial-number | Integer | | 0:1 | |
### CD:
| Slot name | Type | Allowed / Values classes | Cardinality | Default |
|-----------|--------|--------------------------|-------------|---------|
| name | String | | 1 | |
| tracks | Class | Track | 1:* | |
### Book:
| Slot name | Type | Allowed / Values classes | Cardinality | Default |
|-----------|--------|--------------------------|-------------|---------|
| title | String | | 1 | |
### Track:
| Slot name | Type | Allowed / Values classes | Cardinality | Default |
|-----------|--------|--------------------------|-------------|---------|
| title | String | | 1 | |
| duration | Integer| Track | 0:1 | |
### Sell:
| Slot name | Type | Allowed / Values classes | Cardinality | Default |
|-----------|--------|--------------------------|-------------|---------|
| buyer | Class | AID | 1 | |
8.4 Generating JADE classes
The steps required to generate the JADE classes for the music shop ontology by means of the Beangenerator plug-in are:
- Select the Ontology Bean Generator tab.
- Change the packagename field to an appropriate java package name (e.g. examples.content.ontology; ), the package related with your ontology.
- Change the location excl. package by (e.g.USER_DIRECTORY\music), the location where Beangenerator will create the files associated with your ontology.
- Change the ontologydomain by (e.g. Music-shop-ontology), the name of your ontology (it will appear in ONTOLOGY_NAME which is the way to do references at your ontology).
- The following java classes should have been generated:
- CD.java
- Book.java
- Item.java
- MusicOntology.java
- Owns.java
- ProtegeIntrospector.java
- ProtegeTools.java
- Sell.java
- SlotHolder.java
- Track.java
Note: It should be noticed that, beside the classes (CD, Item and so on) related to the defined ontology, the list of generated classes also includes three utility classes: ProtegeIntrospector, ProtegeTools and SlotHolder. These classes are used by the generated ontology class and users should not care about them. |
Possessor Case in Udmurt:
Multiple Case Assignment Feeds Postsyntactic Fusion
Anke Assmann, Svetlana Edygarova, Doreen Georgi,
Timo Klein & Philipp Weisser
Abstract
In this paper we investigate the case split on the possessor in Udmurt: traditionally, the choice between ablative and genitive possessor case is said to be driven by the grammatical function (GF) of the XP containing the possessor. Given this generalization, the case alternation in Udmurt seems to require look-ahead or counter-cyclic operations, which constitutes a problem for a strictly derivational model of syntax. We argue that the case split is not driven by GFs; rather, it is determined by the case value of the XP that contains the possessor. Under the new generalization, a local reanalysis of the case split is possible. We present a case stacking analysis according to which the possessor always bears genitive but may be assigned another structural case by an external head. Stacking of genitive and a semantic case is bled due to the different complexity of semantic and structural cases, a restriction on the number of case slots and the different timing of case assignment from DP-internal vs. DP-external heads that is due to cyclicity. If case stacking applies in the syntax, it feeds fusion of the structural case values into a single case feature set in the postsyntactic morphological component. If accusative and genitive stack on the possessor, only the default semantic case marker (the ablative marker) can realize the resulting feature set. In any other context the genitive marker is chosen. We thus claim that there is no abstract ablative on the possessor; instead, the morphological ablative marker realizes a combination of two abstract structural cases.
*This research is supported by the DFG (Deutsche Forschungsgemeinschaft) within the project “Lokale Modellierung nicht-lokal er Abhängigkeiten in der Syntax” (Local modeling of non-local dependencies in syntax). For valuable comments we would like to thank the participants of the syntax colloquium at the University of Leipzig as well as the audiences at BCGL 7 (Brussels, December 2012), ConSOLE XXI (Potsdam, January 2013), and GLOW 36 (Lund, April 2013). Particularly, we would like to thank Ekaterina Georgieva (University of Szeged) for putting us in contact with Svetlana Edygarova.
Rule Interaction in Grammar, 23–63
Fabian Heck & Anke Assmann (eds.)
LINGUISTISCHE ARBEITSBERICHTE 90, Universität Leipzig 2013
1. Introduction
In Udmurt, a Uralic language spoken in the Udmurt Republic in Russia, possession can be expressed in a number of ways, with minor semantic differences (see Edygarova 2009 for an overview). The primary possessive construction, which is the focus of this paper, has the following properties: (i) the possessor precedes the possessum, (ii) the possessor bears a case suffix and (iii) the possessum agrees in person and number with the possessor, indicated by a suffix on the possessum (cf. (1)). The interesting fact about this construction is that the case of the possessor varies between genitive and ablative, that is, Udmurt exhibits a case split on the possessor. The possessor cases are in complementary distribution. According to the literature, the grammatical function (GF) of the possessum determines which case value the possessor bears: genitive is the default possessor case; ablative occurs if the DP containing the possessor functions as a direct object (Csúcs 1988, Vilkuna 1997, Kel’makov 1999, Winkler 2001, Nikolaeva 2002, Koptjevskaja-Tamm 2003, Suihkonen 2005, Edygarova 2009). In example (1-a) the DP that contains the possessor is the subject of the verb *ugni* ‘to dress’ and the possessor can thus only bear genitive; in (1-b), however, the DP that contains the possessor functions as the direct object of the transitive verb ‘to see’ and the possessor must bear ablative.
(1) Possessor cases in Udmurt:
a. so-len/*leš anaj-ez siče ug dišaški
he-GEN/ABL mother-3SG such NEG.PRES.3 dress
‘His mother does not dress such a way.’ (Edygarova 2009: 105)
b. so-leš/*-len eš-s-e ažži-ško
he-ABL/GEN friend-3SG-ACC see-PRES.1SG
‘I see his friend.’ (Edygarova 2009: 101)
Under the assumption that the GF of a DP is determined by its location in the syntactic structure, the case value of the possessor in Udmurt seems to depend on the nature of the external head that selects the DP containing the possessor.
Similar case splits on the possessor exist in other languages as well, e.g. in Bezhta (Daghestanian): the possessor bears the so-called *direct genitive* if the entire DP is assigned nominative case; if the DP bears any other case, the
possessor gets the so-called *oblique genitive* (cf. (2)).\(^1\) Assuming that case is assigned by functional heads to certain positions in the tree, the position of the DP containing the possessor matters for the case of the possessor in Bezhta as well, just like in Udmurt. In what follows, we concentrate on the case split in Udmurt.
(2) *Bezhta* (Kibrik 1995: 20):
a. abo-s is father-GEN\(_{dir}\) brother.NOM ‘father’s brother’
b. abo-la is-t’i-l father-GEN\(_{obl}\) brother-OBL-DAT ‘to father’s brother’
c. is-t’i-la biLo-? brother-OBL-GEN\(_{obl}\) house-INESS ‘in the brother’s house’
From a theoretical perspective, the case split in Udmurt is puzzling for the following reason: given a strictly derivational model of syntax in which the structure unfolds in a bottom-up fashion (cf. Chomsky 1995 et seq.), the relevant information about the GF of the DP containing the possessor is not available at the point of case assignment to the possessor. The possessor is assigned case within the DP; later the entire DP is merged with an external head. However, the nature of the external head is already relevant at the point of DP-internal case assignment. The decision which case to assign to the possessor thus seems to require look-ahead. On this background, the case split in Udmurt raises two immediate questions:
1. Is there a way to reconcile the apparent non-local nature of the Udmurt case split with a strictly derivational model of syntax that neither allows for look-ahead nor for counter-cyclic operations?
2. Why is the alternative possessor case the ablative and not one of the various other cases in Udmurt?
According to the literature, it is the GF of the DP containing the possessor that is decisive for the case split. However, the term “direct object” is never
\(^1\) Other Daghestanian languages with a case split on the possessor that depends on the case of the possessum include Tsez, Khvarh and Hinugh (cf. Kibrik 1995).
precisely defined. By testing several possible interpretations of this term, we argue that the case split in Udmurt does not depend on GFs; we will show that it is driven by the case value that the dominating DP is assigned, just like in Bezhta:
(3) Empirical generalization:
The possessor in Udmurt bears ablative if the XP immediately dominating the possessor bears the accusative marker. The possessor bears genitive elsewhere.
This new generalization facilitates a reanalysis of the case split that does neither require look-ahead nor counter-cyclic case assignment. We will propose a case stacking analysis according to which a DP in Udmurt can receive up to two structural cases. Possessor DPs are always assigned genitive, but may receive another structural case in addition (nominative, genitive, accusative). Morphologically, there is only a single case slot. Hence, if case stacking takes place in the syntax, it will feed fusion of the two case values into a single case feature set in the postsyntactic morphological component. This set is realized by the most specific matching case marker. The combination of genitive and accusative on the possessor yields the abstract representation of a semantic case. The most specific matching marker is the ablative exponent because it is the default semantic case marker in Udmurt. We thus claim that the possessor never bears abstract ablative case in Udmurt; it sometimes bears an ablative marker, however, this marker realizes the combination of two abstract structural cases and not of abstract ablative case. The postsyntactic manipulation of abstract case features results in the illusion that two different abstract cases (genitive or ablative) can be assigned to the possessor, although ablative is never assigned to it in the syntax. The distinction between abstract and morphological case (cf. Legate 2008) is thus crucial for the analysis.
The paper is structured as follows: Section 2 discusses the locality problem that case assignment in Udmurt seems to pose in more detail. In section 3 the exact distribution of the ablative case is determined by testing the correct meaning of the term “direct object”. Section 4 presents the analysis that derives the generalization gained from the preceding section. Afterwards, empirical and theoretical consequences of the analysis are discussed in section 5. Section 6 concludes.
2. A Look-Ahead Problem
In this section, we will have a closer look at why the case split in Udmurt is interesting from a locality perspective. We will see that case assignment in Udmurt is a challenge for standard assumptions about locality. This is not because case assignment applies over a very long distance; rather, it is the timing of operations that causes problems.
We assume the standard minimalist phrase structure in (4): the internal argument of a transitive verb (DP\textsubscript{int}, the direct object) is merged as the sister of V and the external argument of a transitive verb (DP\textsubscript{ext}, the subject) is merged in the specifier of the functional head v which itself takes VP as a complement. There are two more functional projections above vP, headed by T and C. Under a strictly derivational model of syntax (e.g. minimalism, cf. Chomsky 1995 et seq.), this clause structure unfolds step by step in a bottom-up fashion by successive Merge operations. Merge takes two syntactic objects $\alpha$ and $\beta$ and creates a new syntactic object $[\gamma \alpha \beta]$.
(4) \[ \text{CP} \ C \ [ \text{TP} \ T \ [ \text{vP} \ DP\textsubscript{ext} \ [ \text{v'} \ v \ [ \text{VP} \ V \ DP\textsubscript{int} \ ] \ ] \ ] \ ] \ ]
Case is assigned by functional heads to DPs under Agree (Chomsky 2000, 2001); in languages like Udmurt, with a nominative-accusative pattern of case assignment, v assigns accusative to DP\textsubscript{int} and T assigns nominative to DP\textsubscript{ext}; D assigns abstract case to the possessor. We take Agree to involve valuation of case on a DP. Prior to case Agree, DPs do not bear a case value, which is represented in what follows by an empty box after the case feature: [case:$\Box$].
For the moment, we also adopt two main assumptions that are usually (even though not always explicitly) made about case assignment:
1. All syntactic dependencies (including case assignment) are local, that is, they neither involve look-ahead nor counter-cyclic operations.
2. The case values are only manipulated at the point of case assignment.
When looking at the case split in Udmurt, a plausible analysis could be that the D head in Udmurt is special in that it cannot only assign genitive but that, in addition, it can also assign ablative to the possessor, depending on the GF on the DP containing the possessor.
Given these assumptions, case assignment to the possessor in Udmurt faces a look-ahead problem: the possessor is assigned a case value (genitive or ablative) by the D head of the DP containing the possessor and the possessum (= step ① in (5)). The choice of the concrete case value seems to depend on the GF of the containing DP. GFs are determined by the position of that DP in the structure; for example, a DP is a direct object if it is the sister of V. However, the information about the structural position of the entire DP is not available at the point of case assignment to the possessor within the DP; the containing DP is merged into the structure only after case assignment to the possessor took place (= step ② in (6)).
(5)
\[
\begin{array}{c}
\text{DP} \\
\text{Poss} \quad D' \\
\text{case:□} \quad D \quad \text{NP} \\
\uparrow \quad ① \quad \downarrow \\
\ldots
\end{array}
\]
(6)
\[
\begin{array}{c}
V' \\
V \quad \text{DP} \\
\text{Poss} \quad D' \\
\text{case:□} \quad D \quad \text{NP} \\
\uparrow \quad ① \quad \downarrow \\
\ldots
\end{array}
\]
It does not help to reverse the order of operations and to assign case to the possessor after the information about the grammatical function of the containing DP is available: if the DP is merged with its selecting head before the possessor is assigned case, the relevant information about the category of the selecting head is available. However, case assignment then involves two elements (the DP internal case assigner D and the possessor) that are contained in the DP cycle, but the DP is already dominated by another cycle, i.e. the VP/V' cycle. This dependency thus violates the Strict Cycle Condition, cf. (7).
(7) \textit{Strict Cycle Condition (based on Chomsky 1973):}
a. No operation can apply to a domain dominated by a cyclic node \( \alpha \) in such a way as to affect solely a proper subdomain of \( \alpha \) dominated by a node \( \beta \) which is also a cyclic node.
b. Every projection is a cyclic node.
Hence, the dependency of the Udmurt case split on the GF of the DP dominating the possessor inevitably poses a problem for a strictly derivational model of syntax. At the point of case assignment to the possessor, either the relevant
information about the GF is not yet available or if it is, it is too late to assign case DP-internally. Theoretically, there are two solutions to that problem. (i) The assumption that all syntactic dependencies apply in accordance with the SCC (cf. (7)) and that they do not require look-ahead (assumption 1) must be wrong: at least possessor case assignment in Udmurt must be non-local in that sense. (ii) The assumption that case is only manipulated at the point when the case value is assigned (assumption 2) is wrong: case values can additionally be manipulated in a postsyntactic component.
In what follows, we pursue solution (ii) since we do not want to give up standard syntactic locality restrictions like the SCC. This decision is supported by the results that will be presented in the following section: the distribution of the ablative does *not* depend on the GF of the DP dominating the possessor, but rather on its case value. And this information can be made locally available on the possessor without look-ahead under a case stacking analysis and given a postsyntactic realizational morphology.
3. Empirical Background
In this section, we will broaden the empirical basis for the analysis of the case split in Udmurt. In section 3.1, it will be shown that the genitive and the ablative possessor occupy the same structural position; in section 3.2, the functions of the ablative outside of the possessor construction are examined in comparison with the other cases. Finally, we will run a number of tests in section 3.3 in order to disambiguate the term “direct object” and to gain a more accurate generalization about the distribution of the ablative on the possessor.
3.1. The Structural Position of the Possessor
A number of other Uralic languages also show a case split on the possessor, although the factors conditioning the split are different from those found in Udmurt. These languages are, e.g., Hungarian, Finnish, Estonian, Komi (cf. König and Haspelmath 1998, Nikolaeva 2002; see also Deal to appear about a similar alternation in Nez Perce). The alternation is best studied in Hungarian in which nominative and dative possessors alternate:
Two possessor cases in Hungarian (Szabolcsi 1994):
a. (a) Mari kalap-ja
(the) Mari.NOM hat-POSS.3SG
‘Mari’s hat’
b. Mari-nak a kalap-ja
Mari.DAT the hat-POSS.3SG
‘Mari’s hat’
What is important for the present discussion is that it has been convincingly argued for Hungarian that the nominative and the dative possessor occupy different structural positions in the DP (cf. Szabolcsi 1984, 1994). There are two types of evidence for this conclusion. (i) Linear order: the determiner \(a(z)\) obligatorily follows the dative possessor but precedes the nominative possessor, cf. (8). (ii) Extraction asymmetries: only the dative possessor can be extracted from the DP, cf. (9).
Possessor extraction in Hungarian (Szabolcsi 1984):
a. Mari-nak nem ismert-em [t’ t növér-é-t]
Mari.DAT not knew-1SG sister-POSS.3SG-ACC
‘I never knew any sister of Mari.’
b. *Mari nem ismert-em [t’ t növér-é-t]
Mari.NOM not knew-1SG sister-POSS.3SG-ACC
‘I never knew any sister of Mari.’
Wh-possessors must be in the dative and precede the determiner, see (10):
Wh-possessors in Hungarian (Szabolcsi 1994):
a. *ki kalap-ja
who.NOM hat-POSS.3SG
‘whose hat?’
b. ki-nek a t kalap-ja
who-DAT the hat-POSS.3SG
‘whose hat?’
Szabolcsi (1994) takes this as evidence that the dative possessor is in a derived position, viz. SpecD, the DP-counterpart of SpecC (an operator position that serves as an escape hatch for movement out of DP). It moves to this position from a position lower down in the structure associated with nominative case.
The question that arises is whether there is also evidence for two different positions of genitive and ablative possessors in Udmurt. Linear order is not a viable test for Udmurt: there is no element like the Hungarian determiner relative to which the two possessors align differently. However, the extraction test suggests that the genitive and the ablative possessor occupy the same structural position: in contrast to Hungarian, the possessor can always be extracted, regardless of its case value. This is illustrated in (11) for extraposition. Usually, the possessor precedes the possessum, but the possessor can also be extraposed to the right edge of the clause. That extraposition of the possessor has taken place is evident because Udmurt is an SOV language but in (11) the possessor follows the verb.
(11) Extraposition of the genitive and ablative possessor in Udmurt:
a. man'eryz sytše peres’ Mikta-len
manner.3SG such old Mikta-GEN
‘Such is old Mikta’s style.’ (Vilkuna 1997: 224)
b. valze jusky so-les’
horse.ACC.3SG unharness.IMP.2SG s/he.ABL
‘Unharness his horse!’ (Vilkuna 1997: 224)
There is also no evidence from other factors such as word order and/or agreement that genitive and ablative possessors pattern differently and thus that they occupy different structural positions in Udmurt. We therefore assume that the case split does not arise from a difference in positions of the possessor in the DP.
3.2. Functions of the Ablative
Udmurt has altogether 15 cases, as shown in (12). We divide the cases into two groups: structural and semantic cases. Structural case is assigned to a certain position in the syntactic structure; it is neither tied to specific theta-roles of the elements that receive them (like inherent case) nor to a specific class of verbs that exceptionally assign them to their arguments (like lexical case). We use the term “semantic case” for any non-structural case. This distinction will play an important role in the analysis and we will come back to it in more detail in section 4. For the moment, it suffices to keep in mind the term “semantic case”.
Case system in Udmurt:
| STRUCTURAL CASES | SEMANTIC CASES |
|------------------|----------------|
| nominative | dative |
| accusative | inessive |
| genitive | ablative |
| | elative |
| | abessive |
| | illative |
| | adverbial |
| | egressive |
| | instrumental |
| | transitive |
| | approximative |
| | terminative |
Let us concentrate first on the semantic case ablative. In addition to encoding possessors, the ablative marker has a number of other functions in Udmurt: according to Edygarova (2009) and Winkler (2001), it is used to express comparison (cf. (13-a)), the cause of an action (cf. (13-b)), the material something is made of (cf. (13-c)), and it marks adjuncts expressing origin and source (cf. (13-d)). Furthermore, the ablative is governed by some postpositions (cf. (13-e)) and by verbs of asking.
(13) Uses of the ablative (Edygarova 2009: 108, Winkler 2001: 22-23):
a. vit’ton-leš uno
fifty-ABL more
‘more than fifty’
b. so-leš žad’-em
he/she-ABL be tired-2.PST/3SG
‘(he) got tired with him’
c. basma-leš lešt-em arberi-os
cloth-ABL make-PART thing-PL
‘things which are made from cloth’
d. mon so-leš gožtet bašt-i
I he-ABL letter.ACC get-1.PST
‘I got a letter from him.’
e. ta-leš ažlo
DEM-ABL before
‘before this’ (temporal)
Thus, the ablative appears in a variety of contexts. What is remarkable is that these contexts do not seem to form a natural class. This becomes even more obvious when looking at the distribution of the other semantic cases: they are much more restricted in their applicability (see Winkler 2001: 16ff. for an
We conclude from these facts that the ablative suffix is the default semantic case marker in Udmurt. This means that it could potentially encode any DP that does not bear a structural case, but it is often blocked by the other semantic case markers with a more specific meaning. The ablative as a default semantic case marker will be important for the analysis of the ablative case on the possessor and will be formally implemented in section 4.
3.3. Distribution of the Ablative: Finding the Correct Generalization
We concluded in section 3.1 that there is no asymmetry between the ablative and the genitive possessor with respect to their structural position. Under these circumstances, the question arises as to what the correct generalization is that predicts which of the two cases is used in which context. Traditionally, the generalization is that a possessor gets ablative if the DP which contains the possessor has the GF direct object; the genitive is used elsewhere. However, the term “direct object” is ambiguous and it is never precisely defined in any of the descriptive works on the possessor cases in Udmurt. There are basically three possible interpretations of “direct object”:
1. **Thematic role:**
The possessor gets ablative if the XP immediately dominating the possessor DP has the macro-role patient.\(^2\)
2. **Position in the tree:**
The possessor gets ablative if the XP immediately dominating the possessor DP is selected by V.
3. **Case:**
The possessor gets ablative if the XP immediately dominating the possessor DP is assigned accusative.
The occurrence of the ablative in example (1-b) is compatible with each of these interpretations. Therefore, it is necessary to find contexts in which the interpretations make different predictions in order to find out which of them is the correct one. The question is whether in a given context the possessor must get genitive or ablative.\(^3\)
\(^2\)Dominance is to be understood non-reflexively in these definitions.
\(^3\)Unless references are indicated, the following Udmurt data are due to Svetlana Edygarova, a native speaker of Udmurt.
We start with interpretation 1 according to which the possessor of a DP with the macro-role patient gets ablative; in a DP with any other theta-role it should get genitive. A relevant test case for that hypothesis is the active-passive alternation. Take as a starting point a transitive verb that has a DP with a possessor as its internal argument and assigns the patient role to that DP, cf. (14-a). If this verb is passivized, the DP with the possessor becomes the sole argument of the passivized verb. Since passivization only changes GFs but does not change theta-roles, the DP containing the possessor still bears the patient role and should thus get ablative according to hypothesis 1. However, as (14-b) shows, this prediction is not borne out. The possessor in the sole argument DP of a passivized verb receives genitive even if this DP bears the patient role. Interpretation 1 is thus falsified.
(14) Possessor case in active-passive alternation:
a. Petyr Masha-leš puny-z-e zhug-i-z
Peter Masha-ABL dog-3SG-ACC beat-1PST-3SG
‘Peter beat Masha’s dog.’
b. Masha-len/*-leš puny-jez zhug-em-yn val
Masha-GEN/-ABL dog-3SG beat-PART-INES AUX.1PST
‘Masha’s dog was beaten.’
Next, we test whether interpretation 2 makes the correct predictions: only if the DP containing (i.e., immediately dominating) the possessor remains in its VP-internal base position can the possessor receive ablative. Since Udmurt is a head-final language with predominant SOV order, it cannot be read off of the surface position of the internal argument relative to the verb whether the argument DP is still in the VP or whether it is moved out of the VP; it will precede the verb in any case. We therefore need other means to make sure that the DP with the possessor is indeed in the VP. First, we can control for the VP-internal position of the DP by means of adverbs that mark the VP-boundary. Example (15) is based on the passivized sentence in (14-b). In addition, it contains a temporal adverb that marks the VP-boundary. Since the DP with the possessor is to the right of that adverb, it must be in the VP. As is shown in (15), the possessor still gets genitive case. If, however, hypothesis 2
was on the right track, the possessor should get ablative, contrary to fact. This falsifies interpretation 2.\footnote{We are currently running a number of other tests to show that the DP containing the possessor can remain inside the VP and nevertheless bears genitive (VP ellipsis, VP topicalization, VP coordination). Unfortunately, the results are not yet available to us.}
(15) \textit{Adverb ‘yesterday’}:
\begin{tabular}{lllll}
tolon & Masha-len & puny-jez & zhug-em-yn & val \\
yesterday & Masha-GEN & dog-3SG & beat-PART-INES & AUX.1PST \\
\end{tabular}
‘Yesterday Masha’s dog was beaten.’
Thus, only interpretation 3 remains: the possessor gets ablative if the DP containing it receives accusative case. This hypothesis predicts that a possessor contained in a DP that bears a case different from accusative receives genitive case. This was shown in (1-a) for nominative case. (16) shows this for dative case (a semantic case). There are a number of transitive verbs in Udmurt that lexically govern a case different from accusative. The verb \textit{akylni} ‘to bother’ is one that assigns dative to its internal argument. If the dative marked argument contains a possessor, this possessor must not bear ablative but genitive instead, cf. (16). This is correctly predicted by hypothesis 3. In addition, this example also falsifies interpretations 1 and 2: the DP containing the possessor is probably in a VP internal position and has the patient role, but the possessor bears the genitive. Another example that supports interpretation 3 will be presented in (21) for a genitive DP containing a genitive possessor.
(16) \textit{Dative assigning verb}:
\begin{tabular}{lll}
Petyr [Masha-len suzer-ez-ly] & akylt-e \\
Peter & Masha-GEN & sister-3SG-DAT & bother-PRES.3SG \\
\end{tabular}
‘Peter is bothering Masha’s sister.’
So far, the conclusion is that only interpretation 3 is compatible with the empirical facts. Thus, the following generalization about the distribution of the ablative and genitive case on the possessor arises:
(17) \textit{Empirical generalization}:
The possessor in Udmurt bears ablative if the XP immediately dominating the possessor bears the accusative marker. The possessor bears genitive elsewhere.
This generalization is also in accordance with a number of other facts. If the relevant factor that triggers ablative marking on the possessor is accusative marking of the containing DP, it is predicted that the source of the accusative should not play a role, i.e., that the possessor bears ablative also if the accusative is not assigned by v to the internal argument of V as in (1-b). That this prediction is borne out can be shown with ECM constructions.\(^5\) There are two types of ECM constructions in Udmurt. One is very similar to the English ECM in that the matrix ECM verb embeds a clause and assigns accusative to the subject (the external argument) of that clause. If the embedded subject contains a possessor, this possessor must bear ablative and the possessum bears accusative (cf. (18)) as predicted by the generalization in (17).
(18) \( \text{ECM construction in Udmurt:} \)
Petyr Masha-leš puny-z-e tyloburdo-os-ty kutyl-e
Peter Masha-ABL dog-3SG-ACC bird-PL-ACC.PL catch-PRES.3SG
malpa think.PRES.3SG
‘Peter believes Masha’s dog to catch birds.’
Note that this example also falsifies interpretation 2: the DP containing the possessor (the subject of the embedded clause) is not the sister of the matrix V (it is included in the sister of V). If one assumes that ECM subjects only receive a thematic role from the embedded verb, this example also falsifies interpretation 1: the subject DP containing the possessor bears the agent role of the verb \( \text{kutylni} \) ‘to catch’.
In the second and more widespread ECM construction in Udmurt, the embedded clause is nominalized. The subject of the embedded transitive verb is in a sense the possessor of that derived noun and it is consequently marked genitive instead of nominative. This can be seen if a nominalized clause is not embedded under an ECM verb but is rather used as the sentential subject of a verb, cf. (19). Here, the subject of the nominalized clause, \( \text{Peter} \), bears genitive:
\(^5\) Another potential test case for the generalization in (17) would be one in which a DP with a possessor is selected by an accusative assigning postposition (Udmurt is head-final outside of the DP). The majority of postpositions governs nominative in Udmurt; there are also some postpositions that assign semantic cases such as ablative or dative. There is, however, not a single postposition that governs accusative (Winkler 2001: 19, S. Edygarova, p.c.). Hence, the prediction that there should be ablative on the possessor of the DP selected by an accusative assigning postposition cannot be tested.
(19) Petyr-len Masha-leš pyny-z-e vi-em-ez myn-ym
Peter-GEN Masha-ABL dog-3SG-ACC kill-PART-3SG 1SG-DAT
ug jara
NEG.PRES.3 please.SG
‘[Peter’s killing Masha’s dog] does not please me.’
If, however, the nominalized clause is embedded under an accusative assigning ECM verb, the subject of the nominalized verb must bear ablative instead of genitive, cf. (20). This is expected given the generalization in (17): the subject of a nominalized clause that behaves like a possessor in that it is usually assigned genitive shows ablative marking if the XP containing it (probably vP or TP) is assigned accusative by the external head (the ECM verb assigning accusative to its sister node). Example (20) also shows that the case split not only concerns prototypical possessors as in *Peter’s head* but that possessor is to be understood more abstractly; in Udmurt the relevant factor seems to be genitive marking (outside of the special accusative environments where ablative replaces genitive). In any case, the two ECM constructions behave alike with respect to the case split: accusative assignment into the embedded clause triggers ablative marking on usually genitive marked DPs in the embedded subject, as predicted by the generalization in (17).
(20) mon Petyr-leš Masha-leš puny-z-e vi-em-z-e
1SG Peter-ABL Masha-ABL dog-3SG-ACC kill-PART-3SG-ACC
adzdz-i
see-1PST.1SG
Lit. ‘I saw Peter’s killing Masha’s dog.’
Finally, consider what happens if there are recursive possessors: if a DP that contains multiple possessors is not assigned accusative, as e.g. in (21) where it is the sole argument of an intransitive verb that bears nominative zero marker, all possessors in that DP bear genitive, as expected. If, however, a DP that contains multiple possessors is assigned accusative, only the structurally highest possessor gets ablative; the possessors that are embedded more deeply in the structure still get genitive marking, cf. (22) (see also Edygarova 2010: 177).
(21) Masha-len apaj-ez-len puny-jez iz’-e
Masha-GEN sister-3SG-GEN dog-3SG sleep-PRES.3SG
‘Masha’s sister’s dog is sleeping.’
(22) Petyr Masha-len apaj-ez-leš puny-z-e zhug-i-z
Peter Masha-GEN sister-3SG-ABL dog-3SG-ACC beat-1PST-3SG
‘Peter has beaten Masha’s sister’s dog.’
This pattern is predicted by the generalization in (17): the lower possessor *Masha* is immediately dominated by the DP *Masha’s sister* that bears ablative. But since it is accusative marking of the dominating DP that is a prerequisite for ablative marking on the possessor, the lower possessor must bear genitive. The highest possessor receives ablative marking because the possessum gets hier accusative case.
To conclude, hypothesis 1 is falsified by the data from the active-passive alternation in (14) and hypothesis 2 can be rejected on the basis of the placement of low adverbs before a DP with a genitive possessor in (15). In addition, both hypotheses can be refuted by the ECM constructions in (18) and (20).
In this section, we have provided evidence that (i) the ablative and the genitive possessor occupy the same structural position (which we take to be SpecD), (ii) the ablative is the default semantic case marker in Udmurt, and (iii) the decisive factor that governs the distribution of the ablative on the possessor is not the GF but rather the case value of the immediately dominating XP. In the next section, we present a local and cyclic derivation of (iii) that crucially relies on case stacking and (ii), the default nature of the ablative marker.
4. Deriving the New Generalization
The generalization in (17), with the case marker of the DP immediately dominating the possessor as the decisive factor for the Udmurt case split, facilitates a reanalysis of the phenomenon that is in accordance with the Strict Cycle Condition and does not require look-ahead. We propose that the possessor is assigned the prototypical possessor case (abstract genitive) in the DP *plus* the case value of the external head – an instance of syntactic case stacking.\(^6\) In this way, all the relevant information necessary to decide between the genitive and the ablative marker is locally available on the possessor in the postsyntactic morphological component. The derivation of the generalization in (17) is
\(^6\) Diachronic facts of the Finno-Ugric language family corroborate this analysis. For Finnish, e.g., it has been argued, that the local cases, among them the ablative, is a combination of two case markers. See Abondolo (1998: 167) and Suhonen (1988: 302) for details. Thanks to András Bárány for pointing these facts out to us.
divided into three subparts that contain assumptions about the lexicon, the syntax of case assignment and the morphological realization of abstract case.
4.1. The Lexicon
As has already been introduced in section 3.2, Udmurt exhibits a rich case system (cf. Winkler 2001). We divide the cases into groups of structural and semantic cases, cf. (23); the defining property of the former group is that these cases are assigned to specific positions in the syntactic structure, independently of the thematic role assigned to those positions.
(23) Case system in Udmurt:
| STRUCTURAL CASES | SEMANTIC CASES |
|------------------|----------------|
| nominative | dative |
| accusative | inessive |
| genitive | ablative |
| | abessive |
| | adverbial |
| | instrumental |
| | approximative |
| | elative |
| | illative |
| | egressive |
| | transitive |
| | terminative |
We assume that abstract cases are decomposed into the binary features [±obl(ique)] and [±obj(ect)] (cf. Bierwisch 1967). A case is [+obj] if it is a case that a verb assigns to its complement (maybe lexically). Prototypically, this is the accusative, but we have already seen that verbs in Udmurt may also assign other cases to their complement, e.g. ablative or dative. [+obl] characterizes those cases that are not standardly assigned to the core arguments of a verb in a given argument encoding pattern. In a language like Udmurt with an accusative alignment pattern, the cases standardly assigned to the core arguments, i.e., the [–obl] cases, are nominative and accusative; all remaining cases are [+obl]. As a consequence, all semantic cases are represented as [+obl, +obj]. The structural cases are negatively valued for at least one of the two binary features. The decomposition for the three structural cases nominative, accusative and genitive is shown in (24-a); the decomposition for the semantic cases is given in (24-b).
\footnote{In this system, genitive is classified as a structural case but at the same time it is represented as an oblique case. See also Halle (1997) for a case decomposition that characterizes genitive as oblique and structural.}
(24) a. Structural cases:
NOM [-obl,-obj]
ACC [-obl,+obj]
GEN [+obl,-obj]
b. Semantic cases:
ABL [+obl,+obj], [-f,-g,...]
DAT [+obl,+obj], [+f,-g,...]
INSTR [+obl,+obj], [-f,+g,...]
Since the semantic cases are all specified as [+obl, +obj], further features are necessary to distinguish between them. We assume that this is done by a set of semantic features which are abstractly represented as [±f], [±g], ... in (24); their exact meaning does not matter for our purposes. As a consequence, the semantic cases are more complex than the structural cases (cf. Béjar and Massam 1999). They consist of two case feature sets: like the structural cases they have a feature set that contains values for [±obl] and [±obj], but unlike the structural cases they have a second set of semantic features.
The assumption that semantic cases are more complex than structural cases is independently motivated by the fact that in various non-related languages, the markers of the semantic cases are built upon a structural case marker, exemplified by the paradigms in (25) (Arkadiev 2006).\(^8\) In Romani for example, the semantic cases are built on the basis of the structural case accusative.
(25) a. Case in Romani:
| | ‘pigeon’ |
|-------|----------|
| Nom | golumbo |
| Acc | golumbo-s|
| Loc | golumbo-s-te |
| Dat | golumbo-s-ke |
| Abl | golumbo-s-tyr |
| Ins | golumbo-s-a |
b. Case in Naukan Eskimo:
| | ‘dog’ |
|-------|-------|
| Nom | ayna-q |
| Erg/Gen | ayna-m |
| Ins | ayna-m-iŋ |
| All | ayna-m-un |
| Loc1 | ayna-m-i |
| Loc2 | ayna-kun |
With this background, we turn to our assumptions about the lexical properties of relevant items. First, we assume that all case bearing elements in Udmurt have exactly two case slots; more precisely, they have a lexical property allowing them to receive up to two case feature sets; see (26-a) for D and (26-b) for N.
\(^8\)In Nanosyntax, semantic cases are also more complex than structural cases: privative case features are represented in a hierarchy in which the semantic cases dominate the structural cases, cf. Caha (2008, 2009).
Each of these unvalued “slots” can be valued by a syntactic or a semantic case feature set, each of which is a bundle of binary case features. Consequently, D and N heads (as any other case bearing elements) can be assigned up to two abstract case feature sets. This is to say that Udmurt exhibits syntactic case stacking (see section 5 and footnote 6 for further discussion). A number of languages can overtly stack cases on the possessor: it carries the genitive marker plus the case marker realizing the case assigned to the DP containing it. An example from Huallaga Quechua is given in (27). What we assume is that this stacking happens in Udmurt syntax as well (stacking of abstract cases), although the cases cannot be stacked overtly in Udmurt (stacking of case exponents). We will come back to that issue in section 4.3.
(27) Case stacking in Huallaga Quechua (Pylkkänen 2002):
Hipash-nin-ta kuya-: Hwan-pa-ta
daughter-3POSS-ACC love-1 Juan-GEN-ACC
‘I love Juan’s daughter.’
Since there are two case slots on D and N heads in Udmurt, a comment on the Case filter is necessary: in order to fulfill the Case filter, every DP, i.e., its D head and the head of the NP selected by D, must receive at least one abstract case, i.e., one case feature set; it is not necessary for the derivation to converge that both case slots on D and N are valued by an abstract case. An unvalued case slot does not violate Full Interpretation as long as there is a valued case slot on the same head.\(^9\) Only if none of the case slots of a head is valued, a fatal violation of the Case filter obtains.
The second assumption concerns the valuation potential of structural and semantic cases: we assume that semantic cases fill two case slots on a head rather than one like structural cases (similar ideas have been put forward by Béjar and Massam 1999, Richards 2008). The reason for this is that semantic cases are more complex than structural cases: they consist of a syntactic and a semantic case feature set. If a semantic case is valued on D (or N), one of D’s case slots is filled by the syntactic case feature set \([\pm\text{obl}, \pm\text{obj}]\); the second
\(^9\)Alternatively, one might assume that unvalued case features can be deleted by default at the end of the derivation if there is a valued case slot on the same head. The decision between the two options does not have any crucial impact on the analysis of the case split in Udmurt and we continue to adopt the solution without deletion of unvalued case slots in what follows.
slot is filled by the semantic case feature set. It is not possible to value only one of the two sets of the semantic case on D; both of them must be copied under Agree with D, they form a unity. An important consequence of this assumption is that only two structural cases can stack. A structural and a semantic or two semantic cases cannot stack because one semantic case alone already fills the two case slots on D (or N) and no further valuation is then possible. In what follows, the relevant configuration will be one in which the head of the possessor DP has been assigned genitive case and is to receive a semantic case from an external head: the prior assignment of the genitive blocks valuation of the semantic case because there are only two case slots on the D head and genitive+semantic case would need three slots.\footnote{The fact that the possessum can bear a semantic case motivates that N and D heads must have at least two case slots because a semantic case needs to value two case slots. That these heads have \textit{exactly} two case slots and not more is motivated by the distribution of genitive and ablative in multiple possessor constructions. See section 5.2 on cross-linguistic variation concerning the number of cases that can stack and the derivation of multiple possessor constructions in (32) below for motivation on this upper boundary of the number of case slots on D and N: if D and N heads had more than two case slots, the analysis in section 4 would wrongly predict that not only the structurally highest possessor but also more deeply embedded possessors should get ablative marking in recursive possessor constructions.}
\subsection{The Syntax}
As indicated before, we assume that abstract case, represented by decomposed case features, is assigned by functional heads to arguments under Agree. D assigns abstract genitive case to a possessor in SpecD; v assigns abstract accusative case to the internal argument, and T assigns abstract nominative case to the external argument under c-command.\footnote{Under the assumption that the case assigner must c-command the DP, a problem with genitive case assignment arises: we assume that possessor DPs are specifiers within DP. Consequently, they are not in the c-command domain of the D head which assigns genitive case. In order to solve this problem one could adopt the search algorithm in Řezáč (2004). In this approach, the search space of Agree can be expanded “upward” if and only if there is no suitable goal in the c-command domain of the probe. Assuming that the complement NP of D does not constitute a suitable goal, the search space of D is expanded to include the specifier.}
tional head can be assigned to more than one element.\textsuperscript{12} Only those elements that have an unvalued case feature can receive a value. In this system, case assignment for abstract structural and semantic cases is identical, i.e., both are assigned in the syntax. For the sake of concreteness, we assume that semantic cases are assigned to their complements by zero adpositions (cf. Pylkkänen 2002, Hole 2008, among others).
Given these assumptions, case assignment in clauses with a possessor proceeds as follows. We start with genitive assignment in the DP. As shown in (28), the possessor is merged as the specifier of the D head of the possessum. D assigns genitive [+obl, –obj] to its specifier. More precisely, it assigns it to the N head of the possessor and thereby values one of its two case slots; in addition, given the possibility of Multiple Agree, the D head in the box assigns genitive to the D head that selects the possessor NP, filling one of its two case slots, too. The second case slot on the D and the N head in the possessor DP remains unvalued.
\textbf{(28)} \quad Genitive case assignment in the DP:
\begin{center}
\begin{tabular}{c}
DP \\
\begin{tabular}{c}
DP\textsubscript{poss} \\
D \\
\begin{tabular}{c}
[ ] \\
[+obl,–obj]
\end{tabular} \\
NP \\
\begin{tabular}{c}
…Poss… \\
[ ]
\end{tabular} \\
GEN
\end{tabular} \\
D \\
\begin{tabular}{c}
D \\
\begin{tabular}{c}
[ ] \\
[+obl,–obj]
\end{tabular} \\
NP \\
\begin{tabular}{c}
…N…
\end{tabular}
\end{tabular}
\end{tabular}
\end{center}
\textsuperscript{12}There are two related proposals on concord that would also be compatible with our analysis. (i) Case is assigned to the sister node $\delta$ of a case assigner and, unless blocked by independent principles, the case value on $\delta$ spreads downward in the domain dominated by $\delta$ (see Matushansky 2008, Bjorkman to appear, Erlewine 2012). This mechanism is, however, counter-cyclic (cf. the SCC in (7)). (ii) Concord can also be modeled as feature-sharing (cf. Frampton and Gutman 2006, Schoorlemmer 2009). But then two different mechanisms are applied to model agreement and concord. Multiple Agree handles both phenomena in a uniform way.
In the following derivations, the entire DP in (28) is merged into different positions in the clausal spine. The initial step of DP-internal genitive assignment to the D and N head in the possessor DP always takes place, but for the sake of clarity we do not indicate it anymore in the following trees. For the same reason, we will only indicate case assignment to D heads in what follows; we omit case assignment to N heads (the possessum), but the reader may verify that no complications arise for case assignment to them; the N head will always show the same case as the D head that selects the NP projected by N.
First, the DP containing a possessor is merged as the external argument of a transitive verb in Specv. This DP is assigned nominative by the c-commanding T head, cf. (29). T values nominative [–obj, –obl] on the D head of the possessor DP contained in the external argument DP. The head of the possessor already bears genitive, but the second slot is still available for nominative from T; genitive and nominative thus stack on this D head. In addition, T assigns nominative to the D head of the external argument, filling one of the two case slots on this D head.
(29) Nominative case assignment:
```
TP
vP
v' ... DPint
v ... DPext
DPposs
D [+obl,-obj]
[-obl,-obj]
NP ...Poss...
D [-obl,-obj]
NP ...N...
```
Virtually the same happens if the DP in (28) is merged as the internal argument of a transitive verb. In that position, it is assigned accusative [–obl, +obj] by v, cf. (30). Just as T, v assigns accusative to the D head of the internal argument, filling one of its two case slots, and to the D head of the possessor contained in the internal argument, filling its remaining case slot. The result is stacking of genitive and accusative on the possessor’s D head.
(30) Accusative case assignment:
The DP in (31) is assigned a semantic case. This happens if the DP is the sister of a (phonologically empty) zero postposition. This PP may, for example, be merged as the internal argument of V, cf. (31). For concreteness, we illustrate semantic case assignment with dative, but the derivation would be the same with any other semantic case value. The only thing that varies between them is the semantic features \([+f, +g, \ldots]\). In (31), P assigns dative \([+obl, +obj], [+f, -g, \ldots]\) to the D head of the internal argument. Since semantic cases are complex, they value both case slots of this D head: one with the syntactic features \([+obl, +obj]\) and the other one with the semantic case feature set \([+f, -g, \ldots]\). Crucially, however, P cannot assign dative to the D head of the possessor (see the crossed out arrow in (31)). The reason is that this head already bears genitive which, due to cyclicity, has been valued on D before the entire DP is merged as the complement of P. But since semantic cases need to fill two case slots, there is not enough “space” left on the D head of the possessor for the dative case: prior assignment of the genitive (or any other case) thus bleeds assignment of a semantic case in the syntax. As a consequence,
there is no case stacking on the possessor if the case assigned to the dominating DP is a semantic case. The possessor D head thus ends up only bearing genitive in these contexts.\footnote{The second case slot of D can remain unvalued. Recall that it is sufficient for the Case filter if one of the two case slots is valued, see the discussion in section 4.1.}
(31) \hspace{1cm} \textit{Dative case assignment:}
Finally, consider a case of double possessors with double genitive assignment to the most deeply embedded possessor. In (32), the structurally highest DP contains a possessor DP ($DP_{poss_1}$) in its specifier which in turn contains a possessor ($DP_{poss_2}$). The lowest possessor ($DP_{poss_2}$) gets genitive $[+obl,-obj]$ from the D head that selects it, as illustrated in (28). This first step is not indicated in (32). Next, $DP_{poss_1}$ is merged in the specifier of the D head in the box (the head of the structurally higher possessum). This D head also assigns genitive to its specifier ($DP_{poss_1}$). More precisely, it assigns it to all elements in its specifier with an empty case slot (see the arrows starting from the boxed D in (32)). This is the case for the D head of $DP_{poss_2}$ and the D head of $DP_{poss_1}$. As a result, the D head of $DP_{poss_2}$ bears genitive twice and the D head of $DP_{poss_1}$ bears it once, its second case slot is yet unvalued.
The complex DP containing the two possessors can now be merged with another head, e.g. in the specifier of T, v or as the complement of P. The interesting case is the one in which this DP is merged as the sister of a transitive verb such that it gets accusative case from the closest c-commanding case assigner v. Recall that, empirically, it is the case that in such a configuration only the structurally highest possessor ends up with ablative, which depends on having received accusative (cf. (22)); the most deeply embedded possessor must bear genitive, which means that it does not receive accusative. The tree in (32) with the complex DP merged as the sister of V illustrates why this is the case: v assigns accusative [−obl, +obj] to all elements in its c-command domain that have unvalued case slots. Accusative can thus be assigned to the D head of the structurally higher possessor (DP\textsubscript{poss1}) and to the D head selecting DP\textsubscript{poss1} (see the arrows starting from v in (32)). The former received genitive case before but still has an empty case slot for another structural case; the latter still has two empty case slots of which the accusative values one. Since the D head of the structurally higher possessor is assigned accusative in addition to genitive, we will find ablative marking on this possessor. Now consider the D head of the lower possessor DP\textsubscript{poss2}. It cannot receive accusative from v because its two case slots are already filled, each of them is valued by the genitive. Hence, there is no unvalued case feature left for the accusative (see the crossed out arrow in (32)). And since accusative marking of the possessor’s D head is a prerequisite for its occurrence with ablative marking, DP\textsubscript{poss2} will bear the genitive suffix. The different morphological marking of the two possessors in a multiple possessor construction thus follows from the restriction of the number of case slots in Udmurt (an assumption that will be further discussed in section 5) and their structural position: due to its deeply embedded position in the tree, the lower possessor gets genitive twice and is then not able to get accusative; the higher possessor does not get the first genitive value because it is not in the domain of case assignment of the relevant head, and it can thus receive accusative from the external head. This mechanism also works if more than two possessors occur. Only the highest will be able to carry the ablative marker.
Double possessors: genitive case assignment:
In the next subsection, we will show how exactly a D head with the accusative value stacked on the genitive value ends up with the ablative case morpheme.
4.3. The Morphology
We assume a postsyntactic realizational morphology. The syntax only operates with abstract feature bundles that are realized by exponents in the morphological component. For concreteness, we adopt the framework of Distributed Morphology (DM, Halle and Marantz 1993, 1994, Harley and Noyer 1999): vocabulary items (VIs) that are pairings of morphosyntactic features with phonological information are inserted into terminal nodes in the syntactic structure. VIs can be underspecified with respect to their morphosyntactic features which leads to competition for insertion between them. This competition is resolved by the Subset Principle and Specificity: only the most specific
matching VI can be inserted into a terminal node, i.e., the VI that has the largest subset of the morphosyntactic features of the terminal.
In the present discussion, the question is how the abstract binary case features are realized by case exponents. We assume that case VIs in Udmurt are exclusively specified for positive features, cf. (33) (see Zwicky 1977, Wunderlich 1996, Harley and Ritter 2002, Nevins 2003, among others).
(33) Case vocabulary items in Udmurt:
\[
\begin{align*}
[+obl,+obj,+f] & \leftrightarrow /li/ \quad (\text{DAT}) \\
[+obl,+obj] & \leftrightarrow /leš/ \quad (\text{ABL}) \\
[+obl] & \leftrightarrow /len/ \quad (\text{GEN}) \\
[+obj] & \leftrightarrow /e/ \quad (\text{ACC}) \\
[ ] & \leftrightarrow /Ø/ \quad (\text{NOM})
\end{align*}
\]
The nominative exponent is the completely underspecified elsewhere marker. The genitive and the accusative exponent are underspecified: they are only specified for one of the two syntactic case features [+obl] and [+obj], respectively. All semantic case exponents are fully specified for the structural case features. In order to distinguish between the various semantic cases, the relevant VIs are specified for some of the semantic features [±f, ±g, ...]. In (33), the dative VI, for example, is specified for the semantic feature [+f] in addition to being specified as [+obl, +obj]. Another semantic case VI may instead be specified as [+g] or [+f, +g]. How exactly the semantic case features are distributed over the semantic case VIs is of no importance and we thus only indicated the specification for the dative in (33). What is of central importance, however, is the specification of the ablative exponent: crucially, this semantic VI is fully specified for [+obl, +obj], as all the semantic case VIs; however, if it is completely underspecified for the semantic case features, in contrast to all remaining semantic case VIs. This encodes the default character of the ablative; recall the conclusion from section 3.2 that the ablative marker is the default semantic case exponent in Udmurt. It occurs in a variety of contexts that do not form a natural class. The representation in (33) reflects this fact: the underspecified ablative exponent is in principle compatible with every syntactic context that is specified as [+obl, +obj]; it is, however, often blocked by a more specific semantic case VI.
We can now have a look at the operations that happen in the morphological component. In the last section we assumed that Udmurt has case stacking
in the syntax. However, Udmurt obviously does not exhibit overt case stacking, i.e., stacking of case exponents on the possessor as, for example, Huallaga Quechua in (27) does. To implement this, we assume that Udmurt has a filter which excludes the co-occurrence of two case exponents. As a consequence, a problem arises if case stacking took place in the syntax because only a single case exponent can be realized but two abstract case values are present on a terminal. In order to obey the filter, a repair operation applies in the morphological component prior to vocabulary insertion: the two case features sets on the terminal node (D or N) have to fuse into a single feature set (see Noyer 1992, Halle and Marantz 1993 for the concept of fusion). Fusion is a set-building operation which unifies the features of the two case slots into one.\(^{14}\) Several instances of identical values are reduced to a single instance of that value. The results of fusion are shown in (34). To the left of the fusion arrow, it is shown which abstract cases (are supposed to) stack; to the right, the resulting feature set is indicated. The VI from (33) that realizes this fused feature structure is given in brackets.
(34) a. genitive + dative:
\[ [+obl,-obj] + [ ] \xrightarrow{\text{fusion}} [+obl,-obj] \quad (= \text{gen. VI}) \]
b. genitive + nominative:
\[ [+obl,-obj] + [-obl,-obj] \xrightarrow{\text{fusion}} [+obl,-obl,-obj] \quad (= \text{gen. VI}) \]
c. genitive + genitive:
\[ [+obl,-obj] + [+obl,-obj] \xrightarrow{\text{fusion}} [+obl,-obj] \quad (= \text{gen. VI}) \]
d. genitive + accusative:
\[ [+obl,-obj] + [-obl,+obj] \xrightarrow{\text{fusion}} [+obl,-obl,+obj,-obj] \quad (= \text{abl. VI}) \]
e. nominative + accusative:
\[ [-obl,-obj] + [-obl,+obj] \xrightarrow{\text{fusion}} [-obl,-obj,+obj] \quad (= \text{acc. VI}) \]
\(^{14}\)Note that fusion as we use it here is a bit different from the concept in the literature. Fusion is standardly applied to two terminal nodes (that are sister nodes) and fuses them into a single node which contains all the features of the two original nodes. As a consequence, only a single VI can be inserted into the newly created terminal. In the present analysis, two feature sets on a single terminal node fuse into one feature set. In contrast to the standard definition, we take fusion to be a set-building operation. Therefore, not all the features of the two sets are part of the fused set; identical features are reduced to a single instance of that feature.
We begin with the trivial case in which the D head of a possessor that has been assigned genitive in the DP is to be assigned an abstract semantic case from an external head in addition; this semantic case is the dative in (34-a), but the result would be the same for any other semantic case. Recall that only structural cases can stack in the syntax and thus fuse in the morphological component. Any stacking of an abstract semantic case and the genitive is excluded already in the syntax (cf. the derivation in (31)). The D head of the possessor has only one valued case slot in such a context. Thus, fusion of the genitive feature set with an empty set trivially results in the feature structure of the genitive \([+obl, −obj]\). The most specific matching VI for this feature set is the genitive VI.
Next, consider the fusion of abstract nominative and abstract genitive in (34-b). This happens, for example, if a DP that contains a possessor is merged as the external argument of a transitive verb and is assigned nominative from T (cf. the derivation in (29)). Since the nominative contributes only negative feature values to the fused feature set, and since VIs only spell out positive feature values, the nominative will never have an impact on the realization of the case features. The most specific matching VI for the fused set \([+obl, −obj, −obj]\) is thus determined by the positive feature from the abstract genitive alone; it is again the genitive VI.
In the case of multiple possessors, all possessors except for the structurally highest one end up with genitive-genitive stacking (cf. (32)). Since fusion is a set-building operation, fusion of the representation of the genitive with an identical feature set results in a single instance of the representation of the genitive, which is of course also realized by the genitive VI, cf. (34-c).
So far, the possessor always bears the genitive case marker. The interesting context is the one shown in (34-d): abstract accusative and abstract genitive stack. This happens for example if a DP containing a possessor is merged as the internal argument of a transitive verb and thus receives accusative from v (cf. the derivations in (30) and in (32)). If the features of the accusative and the genitive case fuse, they create a new feature set which contains both \([+obl]\) and \([+obj]\). Crucially, these features must be realized by a *semantic* case VI, since these VIs are specified for \([+obl, +obj]\) and are thus the most specific matching VIs. The structural case VIs, including the genitive VI, would also match these features but they are less specific than the semantic case VIs. The question is now which of the semantic VIs realizes the fused feature set. The only matching semantic VI is the ablative VI, which is the most underspecified.
semantic case marker. The reason is that since two abstract structural cases have been fused, there are no semantic features ([±f, ±g, …]) in the newly created feature structure; structural cases simply do not bear these semantic features in the first place, they are less complex than the abstract semantic cases. All semantic case VIs except for the ablative are specified for semantic features and are thus not a subset of the fused feature set in (34-d). It is because of the underspecification of the ablative VI for these semantic features (which leads to its default nature) that it shows up in this context.
For the sake of completeness, there is another possible combination of abstract case features that does, however, not involve case stacking on a possessor: nominative and accusative, cf. (34-e). These could potentially stack on the subject DP of a clause embedded under an ECM verb (without nominalization) or on the head of an internal argument of a transitive verb. In the latter case, the internal argument receives accusative from v, filling one of its case slots, and nominative from T, filling the second case slot. As before, the nominative with its negative values does not have any influence on the realization of the accusative. The most specific matching item is the accusative VI, in accordance with the empirical facts.
To conclude, the possessor always bears a genitive marker unless it is assigned accusative in addition to genitive in the syntax; in this case, it bears the ablative marker. Crucially, this ablative marker does not realize the abstract semantic ablative case ([+obl, +obj], [−f, −g, …]) on the possessor; rather, it realizes the combination [+obl, +obj] that arises due to fusion of abstract genitive and accusative.
Finally, note that the analysis presented above naturally accounts for the case pattern with multiple possessors where only the highest possessor can receive ablative case (cf. the derivation in (32)). Lower possessors will receive genitive twice which leaves no slot left for the accusative case to be assigned, which in turn does not create a context where the ablative marker can be inserted. This context only arises on the structurally highest possessor and thus only this possessor will bear the ablative marker. This analysis crucially relies on the restriction that D heads (and all other case bearing items) cannot have more than two case slots: if they had more, the abstract accusative could spread to more deeply embedded possessors in recursive possessor constructions and these possessors would then be wrongly predicted to bear the ablative marker (see section 5.2 for further discussion of this restriction).
4.4. Interim Conclusion
Under the assumption that D and N heads in Udmurt bear two case slots, Udmurt (sometimes) allows for case stacking in the syntax. Postsyntactic morphological fusion unifies the two case slots (see (34)). If abstract genitive and accusative features are combined, the fused case feature set can only be realized by the ablative marker. In all other combinations of the genitive and another structural case, fusion results in a feature structure that must be realized by the genitive marker. The ablative case on possessors is not an abstract case assigned in the syntax (there are no semantic case features on the possessor that are part of the abstract ablative case). The analysis thus crucially relies on the distinction between abstract and morphological case.
In the present account, case assignment in the syntax is local. The lookahead problem does not arise because under a case stacking analysis the relevant information about the cases assigned to the possessor DP-internally and DP-externally is present on the possessor; there, it is manipulated by fusion in the postsyntactic morphological component.
5. Discussion of the Consequences
This section provides a discussion of technical and empirical consequences. We start with a discussion of some theoretical issues, especially the cyclicity and locality of syntactic operations. Afterwards we will turn to a discussion of the typology of case stacking predicted by the present account.
5.1. Theoretical Issues
5.1.1. Look-Ahead and Counter-Cyclicity Revisited
In section 2 we have argued that under the two assumptions that (i) case of DPs is determined in syntax only and (ii) all operations apply locally, an analysis of the case split with possessors in Udmurt runs into the problem of look-ahead and counter-cyclicity.
The analysis developed in section 4 overcomes both problems. The problems were avoided by adopting the possibility of case stacking and the postsyntactic morphological operation fusion. Due to case stacking, the information which case the DP containing the possessor receives is available on the possessor as well, in addition to the genitive case. Postsyntactic fusion combined
with specific vocabulary insertion rules ensured that the ablative case marker is used when the DP containing the possessor has been assigned accusative.
Since in the present approach all the relevant information is locally available on the possessor due to case stacking and since the final determination of the case marker is postponed to the morphological component, the analysis in section 4 does not encounter either look-ahead or counter-cyclicity.
5.1.2. Locality of Case Assignment without Locality Restrictions
One further interesting outcome of the analysis in section 4 is that the locality of case assignment is not the result of absolute locality domains, like e.g. phases (Chomsky 2001). Rather, the number of case slots restricts the locality of case assignment.
More concretely, the locality between a case assigner and a case assignee comes about as follows: the case assignee enters the derivation and has a limited number of case slots. Case assigners that enter the derivation shortly after the case assignee – and are consequently representationally close to the case assignee – may enter into a case relation with the case assignee. Case assigners that enter the derivation much later than the case assignee – and are consequently not close to the case assignee – are likely *not* to be able to establish a relation with the case assignee since the case assignee’s capacities of entering into case relations are exhausted as soon as all the case slots are filled, see (35).
(35)
```
...
Case assigner_2
...
Case assigner_1
...
Case assignee
[case:c]
①
X ② X
```
Assuming that the case assignee in (35) bears only one case slot, only case assigner_1 can establish a case assigning relation with it, since it is the first case assigner to enter the derivation. Case assigner_2 comes to late and can therefore
not establish a long-distance case assignment relation with the case assignee (see the crossed out arrow in (35)).\textsuperscript{15}
Finally, note that even though the present account derives the locality of case assignment without the concept of phases (Chomsky 2001), it is in principle compatible with it because the possessor being in SpecD is visible to the functional heads v and T at all time.\textsuperscript{16}
\subsection*{5.1.3. Morphology as an Autonomous Component of Grammar}
Finally, it should be noted that if the present approach is on the right track, it suggests that morphology has to be a component different from syntax. In the analysis in section 4, the syntax and the morphology have conflicting constraints concerning the number of case slots. While the syntax tolerates the two case slots coming from the lexicon, the morphology has a constraint that prohibits the occurrence of two case slots on one head. Fusion has to apply as a repair mechanism. Thus, it is plausible that the conflict of constraints arises because the syntax and the morphology are different components.
\subsection*{5.2. Cross-Linguistic Variation}
In the analysis in section 4, it is assumed that Udmurt exhibits syntactic case stacking even though it does not exhibit overt case stacking like Huallaga Quechua in (27) does. Thus, we take syntactic case stacking to be a very widespread phenomenon that is, however, sometimes disguised by the way morphology realizes stacked abstract cases. In fact, a number of other phenomena have been treated as case stacking as well under the term \textit{Suffixaufnahme}. Suffixaufnahme is the traditional label for case stacking on possessors (cf. Plank 1995 for an overview on Suffixaufnahme). The present analysis predicts a certain range of variation between languages along the following three
\textsuperscript{15}This is a derivational re-interpretation of Relativized Minimality (Rizzi 1990).
\textsuperscript{16}Note that in the present approach, DP cannot be a phase, at least not in Udmurt. If DP was a phase, the NP complement of the D head would already be transferred at the point when the functional heads v or T assign case to the DP. Assuming Multiple Agree, the case slots on the case bearing elements inside the NP could not be filled and the derivation would crash due to the Case Filter. Thus, the assumption of DP being a phase is incompatible with the assumption of case assignment as Multiple Agree. Note further that this is not only a problem of Multiple Agree, but a problem of case concord in general: assuming that DPs are phases and that case is assigned by a DP-external head, the elements in the complement of D should be able to receive case after they have been transferred, which is not possible.
parameters: (i) a language has syntactic case stacking or not; (ii) a language has overt (morphological) case stacking or not; (iii) there are (no) restrictions on the number of cases that can stack (syntactically or overtly). We will show that examples for all these language types exist and that, consequently, the pattern in Udmurt presents just one of various possible realization strategies. We take this state of affairs as indirect evidence for the case stacking analysis of the Udmurt case split.
Parameter (i) is trivial: a language may or may not have syntactic case stacking. If it does not, then there can of course be no overt case stacking. We simply expect the realization of the single case value on a terminal. What is of interest are languages with syntactic case stacking. The question is whether such languages can stack cases overtly, this is parameter (ii) on the morphological realization of case stacking:
(36) Parameter (ii) on the realization of abstract case values:\(^{17}\)
a. Realization of all cases: overt case stacking; e.g. Huallaga Quechua.
b. Realization of only one case:
(i) Case attraction: the case value that is assigned last is realized; e.g. Rithangu.
(ii) Allomorphy: a portmanteau morpheme realizes all abstract cases at once; e.g. Udmurt, Beztha (and other Daghestanian languages).
(iii) First case: the case that is assigned first to an element is realized; e.g. languages without case stacking that do neither apply the allomorphy nor the case attraction strategy, e.g. German.
(iv) Phonological repair: Phonologically identical case markers are not tolerated; e.g. Jiwarli, Old Georgian, Dyirbal.
If all of the abstract case values are realized by an overt case marker, a language is said to have case stacking or Suffixaufnahme (cf. the strategy in (36-a)). Huallaga Quechua (see (27)) is such a language. If, however, a language does not allow for the realization of more than one case marker, it can choose from
\(^{17}\) See Corbett (1995), Moravcsik (1995) for a similar though not identical typology of case stacking in the DP.
among four different strategies to fulfill the morphological restriction to a single case marker.
The first strategy (cf. (36-b-i)) is reminiscent of case attraction: it is only the case value that is assigned last to an element that is morphologically realized. This pattern is found e.g. in Rithangu (Pama-Nyungan, Schweiger 1995: 354f.). The genitive case morpheme of the possessor is replaced by the case of the head noun if the latter is ablative, locative, allative or pergressive. If the head noun bears a different case, only the genitive is realized on the possessor, cf. the data in (37).
(37) Rithangu, case attration in the DP:
a. \( \text{n}u\text{-}ju \ d\text{a}w\text{al} \)
2SG-GEN country.NOM
‘your country’
b. \( \text{wa}\text{n}-i+\text{n}u+\text{ra} \quad \text{n}u\text{:-kala-li?} \ d\text{a}w\text{al}-li? \)
go-FUT+now+1SG 2SG-LIG-ALL country-ALL
‘I will now go to your country.’ head=allative
c. \( \text{yaka-n?}-\text{gu}+\text{n}a+\text{ra} \quad \text{l}a-\text{na} \quad \text{m}a\text{d}a\text{l}u\text{ng}u-y \)
this=AUG=GEN=3SG=ACC=1SG spear-PAST hook=spear-INS
‘I speared him with this [man’s] hook spear.’ head=instrumental
The second strategy is the allomorphy strategy in (36-b-ii): the stacked cases are realized by a marker M that does not correspond to any of the morphemes that would realize each of the abstract cases alone. Rather, it seems to be the case that the marker M is a kind of portmanteau morpheme that realizes all stacked cases at once (cf. Moravcsik 1995: 462 for the term portmanteau in this context). This is the situation we find in Udmurt: if abstract genitive and accusative stack, we find a morpheme that does neither correspond to the genitive nor to the accusative VI, but another marker (which, in Udmurt, is identical to the marker of the abstract ablative). Indeed, the Udmurt pattern has been described as a special case of case stacking in the literature (cf. Corbett 1995, Kibrik 1995, Moravcsik 1995).
Another possible strategy of languages that have syntactic but not overt case stacking is given in (36-b-iii): the case that is assigned first to an element is realized; the cases that are assigned later are ignored for morphological realization which is the reverse of the case attraction strategy. Any language without overt stacking that neither applies the case attraction nor the allomorphy strategy can be described in this way, e.g. German. Note that an ambiguity arises: it cannot be detected on the surface that these languages have syntactic case stacking. All of these languages could also be described by saying that they do not have syntactic case stacking in the first place, i.e., that only a single case value can be assigned to an element.
Finally, there are languages that do not have a morphological restriction on the number of cases that can be realized but a phonological restriction (cf. strategy (36-b-iv)): in some languages, case stacking is possible, but if two stacked case morphemes on the possessor are phonologically identical, one of them is deleted. This is the case in Jiwarli (Pama-Nyungan, Austin 1995), Old Georgian (Kartvelian, Boeder 1995: 182) and Dyirbal (Pama-Nyungan, Schweiger 1995); see Dench and Evans 1988 for further examples.
The last parameter concerns the number of cases that can stack:
(38) Parameter (iii) on the number of cases that can stack:
a. Number of cases limited:
(i) limited to one:
no case stacking or allomorphy / case attraction strategy
(ii) limited to two:
in Kanyara and Mantharta languages (West Australia) only two cases can stack.
...
b. Number of cases unlimited: e.g. Martuthunira.
Recall that we assumed that in Udmurt only two cases can stack in the syntax (see footnote 10 for discussion.) This is a stipulation, but apart from the fact that it makes correct predictions about the distribution of the ablative marker in structures with recursive possessors, it can be justified by the following fact: languages with overt case stacking also have restrictions on the number of cases that can stack. In Kanyara and Mantharta languages (West Australia, Austin 1995), for example, the number of case markers that can stack overtly is limited to two. Hence, language-specific restrictions on the number of case slots seem to be unavoidable anyway. In Martuthunira (Pama-Nyungan, Corbett 2006: 135), however, the number of cases that can stack is unlimited, cf. (39).
(39) Case stacking in Martuthunira:
Ngayu nhawu-lha [ngurnu tharnta-a [mirtily-marta-a
1SG.NOM see-PST that.ACC euro-ACC joey-PROP-ACC
[thara-ngka-marta-a]]]
pouch-LOC-PROP-ACC
‘I saw that euro (hill kangaroo) with a joey (young kangaroo) in (its) pouch.’
To summarize, linguistic variation reduces to (a) variation in the morphological realization of syntactic case stacking and (b) a lexical restriction on the number of cases that can stack (overtly or syntactically). Given these parameters, Udmurt exhibits just one of the expected repair strategies that apply when a language has syntactic case stacking but only a single morphological case slot. The present analysis is a formal implementation of the intuition found in the typological literature that the Udmurt pattern (the allomorphy strategy) is indeed a special case of case stacking in which the two cases are expressed by a single lexical item. This view seems to be on the right track given that in all the languages with the Udmurt pattern that we know of (in particular the Daghestanian languages like Bezhta in (2)) the case split depends on the case of the possessor (genitive) plus the case it is assigned by an external head.
6. Conclusion
Udmurt exhibits a case split: possessors bear either a genitive or an ablative case suffix. These cases are in complementary distribution. Traditionally, the case split in Udmurt is described as being driven by the GF of the XP containing the possessor, defined via its position in the syntactic structure in minimalism. The choice of the possessor case in the DP thus seems to require look-ahead: at the point of case assignment to the possessor in the DP this DP is not yet merged with an external head and therefore, its GF is not yet determinable. We have argued that the case split does not depend on GFs; rather, it is determined by the case value that the DP containing the possessor is assigned. This new generalization facilitates a local reanalysis in terms of case stacking: the possessor is always assigned genitive in the DP and it may in addition be assigned another structural case from the external head which selects the DP (assignment of a semantic case in addition to the genitive is bled by a restriction on the number of case slots on D and N heads and the
different timing of case assignment from DP-internal and DP-external heads that follows from cyclicity). Since there is only a single slot for a case marker in Udmurt, the two case features fuse into a single feature structure in the postsyntactic morphological component. Syntactic case stacking thus feeds postsyntactic fusion. Only in case of a combination of genitive and accusative does a feature structure arise which is realized by the default semantic VI, the ablative exponent. There is never abstract syntactic ablative case on the possessor. This analysis does neither require look-ahead nor counter-cyclic case assignment at any point of the derivation. Independent motivation for the case stacking analysis comes from cross-linguistic variation: Udmurt simply uses one of the various expected strategies to resolve the conflict that arises when several abstract cases ‘compete’ for a single morphological case slot. Some languages realize both cases (overt case stacking), some only one of them and others, like Udmurt, fuse the abstract cases. The resulting case feature is realized by an exponent that may be different from the exponents that would have realized each of the two original case values, thus creating the illusion that the possessor is sometimes assigned genitive and sometimes ablative in the syntax, although it is never assigned abstract ablative.
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Ocean and Sea Ice SAF
Technical Note
SAF/OSI/KNMI/TEC/TN/163
Calibration and Validation of ASCAT Winds
Jeroen Verspeek
Marcos Portabella
Ad Stoffelen
Anton Verhoef
Version 5.1
May 2013
| Issue / Revision | Date | Change | Description |
|------------------|------------|--------|-----------------------------------------------------------------------------|
| Version 0.9 | 2007-02-22 | | Draft version. |
| Version 1.0 | 2007-06-15 | Major | Adapted description and figures |
| | | | Adapted correction tables and monitoring tables |
| Version 2.0 | 2007-10-01 | Major | Adapted document to one-transponder calibrated data |
| Version 2.1 | 2007-10-22 | Minor | Title changed, minor adaptations |
| Version 3.0 | 2008-03-26 | Major | Adapted document to three-transponder calibrated data |
| Version 3.1 | 2008-10-01 | Minor | Added section about MLE normalisation. Adaptations on figures and tables |
| Version 4.0 | 2008-11-25 | Major | Adapted document to L1b version PPF6.3.0. |
| Version 4.1 | 2009-05-12 | Minor | Adapted references. |
| Version 5.0 | 2011-06-24 | Major | Adapted document to L1b version PPF7.4.0 and to NOC corrections. |
| Version 5.1 | 2013-05-30 | Minor | Added comment on Bayesian ice screening method. |
Summary
Based on the OSI SAF cone visualisation tools at KNMI and the NOC corrections, calibration of the ASCAT scatterometer is checked. In this report we describe and evaluate level 1b corrections to the operational L1b ASCAT backscatter data version PPF740 as provided by EUMETSAT based on their three transponder calibration campaign. For the left mid antenna an offset in ocean calibration results has disappeared with respect to the former version, suggesting improved L1b calibration as anticipated. For all antennas the “wiggles” have reduced in amplitude. In the outer swath consistent large departures remain, which may be included in an updated version of the geophysical model function, i.e., CMOD5na. Indeed, still the ASCAT wind product based on L1b version PPF740 shows very similar characteristics to the ASCAT scatterometer wind product based on L1b version PPF730 and meets the wind product requirements.
Deviations between scatterometer and Numerical Weather Prediction wind derived backscatter still show a significant improvement after correction. Without correction the difference ranges from +0.4 dB to -0.8 dB going from the inner side to the outer side of the swaths. Also, the PPF 740 L1b data show smaller interbeam differences and the wiggles in the antennas have been reduced. After the NOC correction is applied the difference ranges from -0.12 dB to +0.26 dB and is almost identical for the PPF740 and the PPF730 L1b data.
The operational OSI SAF ASCAT level 2 wind product stream runs at KNMI using the validated ASCAT level 1b stream at 12.5 km and 25 km sampling as input, and may be maintained without any significant effects on product quality. The new L1b $\sigma^0$ stream will be corrected using the new linear scaling factors in the transformed z domain, which correspond to addition factors in the logarithmic domain (dB). These changes correspond to slightly resetting the ASCAT instrument gain per beam and per Wind Vector Cell (WVC) in order to maintain the backscatter data consistency and wind product quality.
## Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Summary | 3 |
| Contents | 4 |
| 1 Introduction | 5 |
| 2 NOC correction | 6 |
| 3 Normalisation correction | 8 |
| 4 Total NOC correction factors | 10 |
| 5 NWP backscatter comparison | 14 |
| 6 Wind statistics | 16 |
| 7 MLE statistics and QC | 19 |
| 8 Conclusions | 23 |
| Appendix A1 – Normalisation correction table for PPF740 to PPF730 | 25 |
| Appendix A2 – Total NOC correction table for PPF740 | 26 |
| Acronyms and abbreviations | 27 |
| References | 28 |
1 Introduction
An operational OSI SAF ASCAT level 2 wind product stream is running at KNMI using the commissioning ASCAT L1b stream at 12.5 and 25 km sampling as input. The L1b $\sigma^0$ stream is corrected using linear scaling factors in the transformed $z$ domain [STOFFELEN and ANDERSON 1997], corresponding to addition factors in the logarithmic domain (dB). These changes correspond to resetting the ASCAT instrument gain per beam and per Wind Vector Cell (WVC). The objective is set to reproduce wind distributions similar to those from the ERS scatterometer, which provides a transfer standard from the ERS to the ASCAT era.
The Advanced Scatterometer (ASCAT) [FIGA et al 2002] is part of the payload of the MetOp satellite series of which the first one, MetOp-A, has been successfully launched on 19 October 2006. ASCAT is a fan beam scatterometer with six fan beam antennae providing a swath of WVCs both to the left and right of the satellite subsatellite track. Each swath is thus illuminated by three beams and is divided into 41 WVCs of 12.5 km size, numbered from 1-82 from left to right across both swaths (when looking into the satellite propagation direction). [STOFFELEN and ANDERSON 1997] describe the so-called measurement space. In this space the three backscatter measurements are plotted along three axis, spanning the fore, mid and aft beam backscatter measurements. As the satellite propagates and the wind conditions on the ocean surface vary in each numbered WVC, the 3D measurement space will be filled. CMOD5 [HERSBACH 2007] describes the geophysical dependency of the backscatter measurements on the WVC-mean wind vector as derived from ERS scatterometer data. Since, this dependency involved two geophysical parameters, namely two orthogonal wind components (or wind speed and direction), the 3D measurement space is filled with measurements closely following a 2D surface [STOFFELEN and ANDERSON 1997]. This folded surface is conical and consists of two sheets, one sheet for when the wind vector blows against the mid beam pointing direction (upwind section) and one for an along mid beam pointing direction wind vector (downwind section). The knowledge on the position of this surface through the Geophysical Model Function (GMF), CMOD5 provides a powerful diagnostic capability for the calibration and validation of the ASCAT scatterometer, since the same geophysical dependency should apply for both the ERS and MetOp scatterometers.
Besides ocean calibration EUMETSAT relies on the rain forest response, the backscatter over ice and transponder measurements for ASCAT calibration [FIGA et al 2004]. In this report we explore ocean calibration. In this report we assume that the main challenge lies in setting the antenna pattern or gain settings of the six beams and explore normalisation corrections to the experimental L1b backscatter data as provided by EUMETSAT during the commissioning phase of MetOp.
EUMETSAT has provided several preliminary datasets during the MetOp commissioning:
1) from 19 October 2006 until 29 January 2007, denoted “ss” data;
2) from 30 January 2007 until 12 February 2007, denoted as “zz” data;
3) from 13 February 2007 until 10 October 2007. (latest configuration of the pre-validated L1b data stream denoted as “zzz” data)
4) from 10 October 2007 until 28 February 2008. One-transponder calibrated data, denoted as “PPF530” data with reference to the level 1B processor software version. This data was previously denoted as “z4” data
5) from 28 February 2008 to 23 October 2008. Three-transponder calibrated data, denoted as “PPF550”.
6) from 23 October 2008 to 27 November 2008, “PPF620” data.
7) from 27 November 2008 to 7 September 2009, “PPF630” data
8) from 7 September 2009 to … July 2011, “PPF730” data
9) from …July 2011 onwards, “PPF740” data
A synchronized data set from L1b version PPF740 and PPF730 was provided by EUMETSAT, of which data from 2011-03-26 to 2011-04-10 is used in this document.
In this document these synchronized data sets are used. From March 2008 onwards the L1B software identifier is written in the BUFR message and is used for automatic determination of the applicable calibration correction table in the ASCAT Wind Data Processor (AWDP).
In section 2 and 3 the correction based on the NWP Ocean Calibration (NOC) residuals and the normalisation correction based on the averaged backscatter difference between the two level 1b software versions PPF740 and PPF730 are described respectively. Section 4 shows the data in measurement space as well as the total (NOC+normalisation) correction factors. In sections 5, 6 and 7 the ocean calibration results, the wind statistics, and the Maximum Likelihood Estimator (MLE) statistics are discussed, respectively. The conclusions and outlook are presented in section 8. Note that correction tables are listed in appendix A1 and A2.
In 2012, a Bayesian sea ice screening algorithm was introduced in the operational ASCAT wind processing. This algorithm replaces the ice screening based on the Sea Surface Temperature (SST) field from the ECMWF global NWP model. It was extensively tested that the new algorithm is better capable to distinguish between open water and sea ice, especially during melting and freezing. The ice screening algorithm is extensively described in [BELMONTE 2012]. The ice screening method does not change the results in this report, since it only influences the regions where winds will be available or not, near the ice edges; it does not influence the wind retrieval itself.
## 2 NOC correction
The NOC method resides in direct comparison of measured $\sigma_0$ data with simulated values from NWP winds using the GMF [Stoffelen, 1998; Freilich, 1999; Verspeek, 2011]. For the ASCAT and ERS scatterometers, the NOC estimates $<z>$, i.e. the mean transformed backscatter over the ocean for a uniform wind direction distribution and compares it with the mean measured backscatter over the ocean for a given wind distribution.
The NOC technique [Stoffelen 1998] is used to assess the difference between scatterometer backscatter data and simulated backscatter data out of collocated NWP winds using the GMF. Discrepancies between mean measured and simulated backscatter may be due to instrument calibration, systematic and random errors in NWP wind speed and direction and GMF errors. These sources of error should therefore be analyzed carefully. The NOC method is based on the analysis of a large measurement dataset to estimate Fourier coefficients that can be directly compared to those in the CMOD5.n GMF. For any particular WVC in any beam the incidence angle is very nearly constant around the orbit and we can model the backscatter with
$$\sigma_0(v, \phi) = B_0(v)[1 + B_1(v)\cos\phi + B_2(v)\cos(2\phi)]^{1.6}$$
where $v$ is wind speed and $\phi$ is wind direction with respect to the beam pointing direction. The mean backscatter is essentially determined by the value of $B_0$ with contributions from $B_1$ and $B_2$. In $z$-space, where $z = c_0^{-0.625}$, this becomes
$$z(v, \phi) = \frac{1}{2}a_0(v) + a_1(v)\cos\phi + a_2(v)\cos(2\phi)$$
where $a_0 = 2B_0^{-0.625}$, $a_1 = B_1B_0^{-0.625}$ and $a_2 = B_2B_0^{-0.625}$. Integrating uniformly over the azimuth angle gives
$$\frac{1}{2\pi}\int_0^{2\pi} z(v, \phi) \, d\phi = \frac{1}{2}a_0(v)$$
As such, when the wind direction distribution is sampled uniformly for all wind speeds, the mean of $2a_0$ should be identical to the mean of $z$. This means that uncertainties in $a_1$ and $a_2$ do not contribute to the error in the simulated mean $z$.
To arrange a uniform wind direction distribution, we split the data into wind speed bins and azimuth angle bins. Bins are defined so that they are large enough to contain a certain minimum number of measurements and small enough to provide a good approximation of the integral. In the following, indices $i$ and $j$ refer to wind speed bin $i$ and azimuth angle bin $j$ respectively. Index $k$ is used to refer to an individual measurement $z_k$. Parameters $I$, $J$ and $K$ refer to the total number of bins or measurements, so $i=1, 2 \ldots, I$, $j=1, 2 \ldots, J$ and $k=1, 2 \ldots, K(i,j)$.
The mean $z$ in a fixed wind speed row is, let's call this $z(i)$:
$$z(i) = \frac{1}{J} \sum_{j=1}^{J} \frac{1}{K(i,j)} \sum_{k=1}^{K(i,j)} z_k(i,j)$$
Summation over the wind speed rows gives
$$\langle z \rangle = \frac{1}{KJI} \sum_{i=1}^{I} KJ(i)z(i)$$
with
$$KJ(i) = \sum_{j=1}^{J} K(i,j), \quad KJI = \sum_{i=1}^{I} \sum_{j=1}^{J} K(i,j)$$
$\langle z \rangle$ is the mean backscatter value over a uniform wind direction distribution and may be either measured or simulated by collocated NWP wind inputs and the GMF, where mainly the term as given by $a_0(v)$ or $B_0(v)$ contributes. Any discrepancy between the simulated and measured mean backscatter values is computed as a ratio. A ratio not equal to one may be related to inaccuracies in the instrument gain, e.g., beam pattern determination, or to errors in the NWP input winds and GMF.
This method needs only a few days of collocated ASCAT data and ECMWF winds to produce a reasonable estimate of difference in $a_0$. We use CMOD5.n with the ECMWF equivalent neutral 10-meter winds to calculate model backscatter values corresponding to the collocated measured values and apply the process as described above. The difference between the two values of $a_0$ then provides an estimate of the mean difference between model and measurement backscatter.
The ocean calibration gives residuals in backscatter as a function of incidence angle for each antenna. When these residuals are stable over time they may be used as correction factors for errors in the instrument, for monitoring instrument health or for GMF development.
A time series of the ocean calibration is performed over the period of one year, from 2008-09-01 to 2009-08-31 for the ASCAT scatterometer in both 25 km and 12.5 km WVC spacing resolution. The one-year period is taken to average out the seasonal variations in the wind distribution that have an effect on the NOC residual. Successive periods of day 1-14 and day 15-last day of the month are taken as input for an ocean calibration run. The cone corrections [Verspeek et al, 2008] need not be applied anymore.
We use the OSI SAF visualisation package [VERSPEEK 2006-2] to produce visualisation plots in $z$-space, i.e., $(z_{\text{fore}}, z_{\text{aft}}, z_{\text{mid}})$ where $z=(\sigma^\circ)^{0.825}$ [STOFFELEN, 1998]. Figure 1 is an example of such a visualisation from ASCAT. The double cone surface of CMOD5n is depicted in blue. The measured data is shown as a cloud of black points around the cone surface. The cloud of ASCAT backscatter ($\sigma^\circ$) triplets (corresponding to the fore, mid, and aft beams) match the CMOD5n GMF in the 3-D measurement space [HERSBACH 2007].
3 Normalisation correction
The NOC corrections were applied to adapt the backscatter values in the original (version 7.2) L1b stream with the 3-transponder calibrated data. Since the launch of METOP-A, EUMETSAT several times improved their normalisation tables in the L1b processing. A correction that accounts for the differences in level1B software processing versions is applied. These corrections have been able to transform the ASCAT backscatter measurements from each L1B calibration cycle to the next cycle within a few hundredths of a dB with L1B software version 7.2 taken as the reference. Thus the results are made independent of the level1B software version that is used.
The normalisation factors are assumed to be multiplication factors in linear space, like the visual correction that we apply. Because all correction factors are linear, the corrections can be applied on top of each other. Normalisation correction tables are determined for each update of the L1b data.
This is done by averaging the $\sigma^0$ differences in dB value from the new L1b data stream and the parallel original L1b data stream over one or more collocated orbits. The differences appear rather constant and show insignificant spread, confirming that the main effect in these conversions is a gain factor. Figure 2a) shows the average value per antenna and WVC of the difference in $\sigma^0$ value between the PPF740 and the PPF730 data stream. Figure 2b) shows the standard deviation (SD) for the correction as shown in Figure 2a). Figure 2c) and Figure 2d) show the same for the 25 km resolution product. Synchronized batches are used for an assessment of the spread in the differences (SD). The differences show a smooth course. The SD plot in Figure 2b) shows a systematic deviation for the mid beams with increasing SD going from the center of the swath toward the near swath and the far swath. This is caused by a wrong implementation of a table for the Hamming window width as a function of WVC in the level 1b processing which has been corrected for in the new version. This correction was only needed for the 12.5 km product so it is does not show up in the SD plot for the 25 km resolution in Figure 2d). For the other beams the SD plots show small values indicating that the pattern is persistent. It is an order of magnitude below the typical calibration changes. This is compatible with all earlier ASCAT calibration changes, thus guaranteeing a constant-quality backscatter input to the L2 processing.
Figure 2 – Average and standard deviation of the difference between the L1b versions PPF740 and PPF730 for the fore, mid and aft antenna as a function of incidence angle.
a) average of $\sigma^0$ difference, 12.5 km resolution
b) standard deviation of the difference, 12.5 km resolution
c) average of $\sigma^0$ difference, 25 km resolution
d) standard deviation of the difference, 25 km resolution
Figure 3a) shows the backscatter difference for the fore antenna from the ascending part of the orbits on 2011-03-27. Any dependency of the difference in backscatter on geographical location should be visible in these figures. The dependency appears to be mainly on WVC number or incidence angle. The orbits have a systematic pattern across the swath, showing the WVC dependency of the correction. Figure 3b) shows the same data corrected for the average PPF740-
PPF730 $\sigma^0$ difference as shown in Figure 2a). The remaining difference is small and rather uniform, no pattern as function of incidence angle can be observed. Figure 3c) and Figure 3d) show the same for the mid beam. In Figure 3d) an increase in the remaining difference when going from the center of the swath to the outer sides can be seen. This is consistent with Figure 2b) and has the same cause.
Figure 3 – Spatial plot (West-Africa) of the average difference in $\sigma^0$ of the PPF740-PPF730 data for the fore and mid antenna. 12.5 km resolution data from ascending tracks of 2011-03-27 are used.
a) fore antenna, difference PPF740-PPF730
b) fore antenna, difference PPF740-PPF730, with corrections (Figure 2a) subtracted
c) mid antenna, difference PPF740-PPF730
d) mid antenna, difference PPF740-PPF730, with corrections (Figure 2a) subtracted
4 Total NOC correction factors
A total correction is applied to adapt the backscatter values in the level 1b stream, which consists of the NOC correction and the normalization correction as discussed in sections 2 and 3. In the following sections GMF version CMOD5.n is used in the ASCAT Wind Data Processor (AWDP) and the ocean calibration. CMOD5.n is a version of CMOD5 that is adapted for neutral winds. It is basically identical to CMOD5 with a 0.7 m/s shift in the input wind speed. The shape of the wind cone for CMOD5 and CMOD5.n is identical. The 28 fit-coefficients in the CMOD function have been recalculated for CMOD5.n by ECMWF, which lead to negligible deviations within the numerical precision of the fit procedure. The neutral wind speed GMF is the result of a triple collocation study with ECMWF winds and buoy winds [Portabella and Stoffelen 2009].
Figure 4 shows CMOD5.n and the corrected PPF740 data for the plane $z_{\text{fore}} = z_{\text{aft}}$. Figure 5 shows the same as Figure 4 but now for the projection of the wind cone and data points on the plane $z_{\text{mid}} = 0$. Figure 6 shows the intersection of the cone with the plane $z_{\text{fore}} + z_{\text{aft}} = 2z_{\text{ref}}$, for several values of $z_{\text{ref}}$, which correspond to (approximately) constant wind speed values. Also here the match between
measurements and GMF is good. For other WVCs similar plots have been examined (not shown). For all examined WVCs the correspondence between data and model remains good.
**Figure 4** - Projection of the CMOD5.n wind cone (blue) and data points on the plane $z_{\text{fore}} = z_{\text{aft}}$. Purple points belong to the upwind (outer) manifold, green points to the downwind (inner) manifold. For black points the inversion failed. Data is from level1b version PPF740, NOC corrected.
Figure 5 - Projection of the CMOD5.n wind cone (blue) and data points on the plane $z_{\text{mid}} = 0$. Purple points belong to the upwind (outer) manifold, green points to the downwind (inner) manifold. For black points the inversion failed. Data is from level1b version PPF740, NOC corrected.
a)
b)
Figure 6 – Visualisation for WVC 82 of the corrected $\sigma^0$ triplets (version PPF7.4.0) and CMOD5.n (blue ellipses), for several intersections of the cone with the plane $z_{\text{fore}} + z_{\text{aft}} = 2z_{\text{ref}}$. Purple points belong to the upwind (outer) manifold, green points to the downwind (inner) manifold. For black points the inversion failed. The plots correspond to the following wind speeds:
a) V = 2 m/s b) V = 5 m/s c) V = 8 m/s d) V = 15 m/s
The correction factors are again determined per wind vector cell (WVC) and beam. See appendix A1 for the normalisation correction factor table.
To show the effect of the correction factors in Figure 7a) and Figure 7b) the measurement space with uncorrected data is shown, analogous to Figure 4a) and Figure 6c) respectively. From this figure it is clear that correction factors are necessary and indeed do effectively remove the mismatch between data cloud and GMF.
Figure 7 Visualisation in measurement space for uncorrect data from WVC 82, level1b software version PPF740. CMOD5.n is shown in blue. Purple points belong to the upwind (outer) manifold, green points to the downwind (inner) manifold. For black points the inversion failed.
a) projection of the CMOD5.n wind cone (blue) and data points on the plane $z_{\text{fore}} = z_{\text{aft}}$.
b) Intersection of the cone with the plane $z_{\text{fore}} + z_{\text{aft}} = 2z_{\text{ref}}$, corresponding to a wind speed of 8 m/s.
Figure 8a) and b) show the total correction factor for the PPF740 and PPF730 data respectively. The correction from Figure 2a) has been added to the total correction factor for the PPF730 data in order to generate the total correction factors for the PPF740 data. The patterns look very consistent for all antennas. This is an indication that the inter-beam biases are small and that only an overall
correction, which is basically incidence angle dependent, is needed. The corrections for PPF740 look even more consistent than for PPF730, especially between the left mid beam and right mid beam. Also the wiggles in the various antenna responses have been reduced. For high incidence angles the correction is still large, i.e., around 0.8 dB. This may be caused by either a L1b calibration issue or more likely a CMOD5.n issue, since CMOD5.n has not yet been validated for such high incidence angles. We suggest ancillary sea ice, rain forest and soil geophysical comparisons to gain confidence in the backscatter calibration in the outer swath.
a) PPF740 data
b) PPF730 data
The tables with total correction factors can be found in appendix A2.
## 5 NWP backscatter comparison
A NWP simulated backscatter comparison [VERSPEEK 2006] is performed with the parallel L1b data steams PPF740 and PPF730, both for the corrected and uncorrected case. Both L1b products are processed with AWDP using 2D-VAR ambiguity removal to provide a level 2 product with scatterometer retrieved winds and collocated NWP winds from the ECWMF model. The data is conservatively filtered to exclude land and ice. The residuals are the difference between the averaged measured $\sigma^0$ values and the averaged $\sigma^0$ values simulated from the NWP winds.
Figure 9 shows the results. Figure 9a) and Figure 9b) show the PPF740 and PPF730 residuals when using CMOD5na as GMF and no corrections. CMOD5na is a modification to CMOD5.n. A polynomial fit through the NOC residuals as a function of incidence angle $\theta$ is performed and this function $B_0^{\text{corr}}(\theta)$ is added to CMOD5.n yielding CMOD5na [VERSPEEK 2011-2]. The result is that the remaining residuals will very clearly show any interbeam bias or errors in the level 1b calibration and processing. The features shown in Figure 8 in the previous section show up even more clearly here and the same conclusions as from Figure 8 can be drawn from Figure 9a) and Figure 9b).
Figure 9 – Ocean calibration residuals of ASCAT backscatter values and simulated backscatter values from ECMWF 10m winds.
a) PPF740 with CMOD5na, no corrections
b) PPF730 with CMOD5na, no corrections
c) PPF740 with CMOD5n+NOC+normalisation corrections
d) PPF730 with CMOD5n+NOC+normalisation corrections
For Figure 9c) and Figure 9d) the NOC correction factors and normalisation correction factors were applied to the L1b backscatter values. The difference ranges from -0.12 dB to +0.26 dB. This is a clear improvement with respect to the uncorrected cases in Figure 8. In both cases there is a positive $\sigma^0$ bias around +0.18 dB. This corresponds to the fact that we use real 10-m ECMWF winds as input for CMOD5.n. When neutral ECWMF winds would have been used instead, the bias would be close to zero. The wiggles in the $\sigma^0$ residuals have disappeared. They have been effectively compensated for by the NOC corrections. The difference between Figure 9c) and Figure 9d) is very small. The normalisation corrections have effectively made the results alike.
6 Wind statistics
In this section some statistical plots comparing ASCAT wind and ECMWF wind are given.
First of all it is of interest to look at differences between the PPF740 corrected and PPF730 corrected wind solutions. Because the PPF740 correction incorporates the average difference between PPF740 and PPF730, both wind solutions are expected to highly correlate and show only small differences. Figure 10a) shows a scatter plot of the wind vector differences for the two data streams for one orbit. The outliers can be clearly identified and are due to selection of the “other” solution by 2DVAR ambiguity removal at low winds. They tend to clutter around the upwind and crosswind direction with respect to the mid antenna. The fraction of outliers with $|\Delta u| > 5$ m/s is in the order of 0.001. Figure 10b) shows the same plot but in a zoomed view. The points are centred around the origin with a standard deviation of 0.37 m/s in u and v direction.
a) wide view b) zoomed view
Figure 11 shows the wind statistics per WVC for PPF740 and PPF730 NOC corrected data.
PPF740 data is represented in red, PPF730 in orange. The statistics for the two data sets are almost identical. This is to be expected because the PPF740-to-PPF730 correction is small and almost linear. The wind speed bias shown in Figure 11a) has an average value of $\sim 0.17$ m/s. This is due to the fact that CMOD5.n is used while we compare to real ECMWF winds rather than to neutral winds. Neutral winds have a bias of 0.2 m/s with respect to real 10 m winds. The improvement in standard deviation of wind speed and wind direction shown in Figure 11c) and Figure 11d) is merely caused by an increased rejection rate due to high Kp values that will be discussed in section 7.
Figure 11 – Wind comparison per WVC between ASCAT and ECMWF for level1b software versions PPF740 and PPF730. Backscatter data is NOC corrected. Wind direction statistics are for the 2DVAR wind solutions for ECMWF winds larger than 4 m/s.
a) wind speed bias b) wind direction bias
c) wind speed SD d) wind direction SD.
Figure 12 shows the wind scatter plots for PPF740 NOC corrected data. PPF730 wind scatter plots and statistics are very similar in terms of wind performance, as may be expected from Figure 10.
Figure 12 – Two-dimensional histogram of the 2D-VAR KNMI-retrieved wind solution versus ECMWF wind for all WVCs. The PPF740 data with NOC correction is used. N is the number of data; mx and my are the mean values along the x and y axis, respectively; and cor_xy is the correlation coefficient for the xy distribution. The contour lines are in logarithmic scale: each level up is a factor of 2. Lowest level=10, there are 15 levels in total.
a) wind speed (bins of 0.4 m/s). The red dots show <Vnwp> for each Vscat bin, the blue dots show <Vscat> for each Vnwp bin.
b) wind direction (bins of 2.5°) for ECMWF winds larger than 4 m/s.
c) wind component u (bins of 0.4 m/s).
d) wind component v (bins of 0.4 m/s).
7 MLE statistics and QC
Figure 13 shows the normalised distance to cone or Maximum Likelihood Estimator (MLE) [PORTABELLA and STOFFELEN 2006] as a function of WVC for PPF740 NOC corrected data. The data range is divided into 15 levels equally spaced on a logarithmic scale, each successive level is a factor of two higher than the previous level. For low MLE values there is no dependency on WVC number. For higher MLE values a dependency on WVC number can be seen that is symmetric for the left and right swath, so in fact the dependency is on incidence angle. The plot for PPF730 NOC corrected data is very similar.
**Figure 13** - MLE distribution per WVC shown for PPF740 NOC corrected data. The data range is divided into 15 levels equally spaced on a logarithmic scale, each successive level is a factor of 2 higher than the previous level.
Figure 14 shows the MLE as a function of the scatterometer wind speed for PPF740 NOC corrected data. For high wind speed values the cone cross section is large compared to the spread of the triplets around the cone surface. A symmetrical pattern around the origin is expected here as an equal amount of triplets are on the inner and outer side of the cone surface (see Figure 6). For low wind speed values, i.e. smaller than ~4 m/s, the cone radius is small and the spread of triplets is relatively large. More triplets are expected to lie outside the cone and thus have a negative MLE.
Figure 14 – Cone distance distribution versus measured wind speed for PPF740 data.
Note that around 5 m/s most corrected triplets lie within the cone. This corresponds to earlier assessments that the CMOD5.n cone is too wide for these winds [Portabella and Stoffelen, 2006]. After the ASCAT Cal/Val, we anticipate to use the MLE to correct CMOD5.n.
The MLEs in the ASCAT BUFR product have been normalised. In order to compute a normalisation table, ASCAT 25-km data from 20 September 2008 to 19 October 2008 (both inclusive) have been reprocessed. In the wind inversion, the CMOD5.n GMF for neutral winds was used [VERHOEF et al 2008] and the appropriate backscatter correction (PPF740) was applied. All WVCs with latitude above 55 degrees North or below 55 degrees South were skipped to exclude any ice contamination. Only those wind solutions closest to the ECMWF forecast winds and with wind speeds above 4 m/s have been used. No quality control regarding maximum acceptable MLE values was applied. Using these data, for each WVC number (1 to 42), the mean absolute cone distance was calculated: <MLE1>.
The reprocessing was repeated, but in this second step the MLEs were normalised using the <MLE1> table obtained in the first step. Moreover, WVCs with an absolute normalised MLE above
18.45 were skipped, yielding a rejection rate of approximately 0.4 to 0.5%. For the accepted data, the mean absolute cone distance vs. WVC number was calculated again: \(<\text{MLE2}>\). The final MLE normalisation table was computed as the product of the mean values from step 1 and 2 WVC-by-WVC: \(<\text{MLE}> = <\text{MLE1}> \times <\text{MLE2}>.\) Also, a quality control threshold table QC (again as a function of WVC number) was computed as \(QC = 18.45 / <\text{MLE2}>.\) WVCs with a normalised absolute MLE value above the QC table value are rejected in the wind processing software. In this way, we keep the rejection rate at 0.4 to 0.5%.
The justification for the MLE threshold of 18.45 is that we looked for a value that produced a rejection rate of about 0.4%, which was the initial rejection rate of the AWDP ASCAT quality control before any development or tuning. The reason for this is that we discovered that users were very satisfied with such a low rejection rate, as compared to the rejection rate of 1-2% that was obtained in the ERS processing in the past. Actually we see that there is no sharp cut in the MLE (with respect to the quality of the data) but rather a smooth degradation of the quality of the winds as the MLE increases.
Using the MLE normalisation table that we thus obtained for wind speeds above 4 m/s, i.e. \(<\text{MLE}>,\) we also looked at the MLE characteristics as a function of wind speed and WVC number for low wind speeds. It appears that the MLEs strongly increase below 2 m/s. This also leads to a strong increase of the rejection rate at low wind speeds, which is generally undesirable: for wind speeds below 2 m/s, the wind speed and wind component deviations from the true wind are almost always small and well within the product specification. Hence we decided to apply an extra normalisation to the MLEs below 2 m/s. A wind speed dependent parabolic function (not shown) was fitted to the mean MLEs below 2 m/s and this function is used as an extra (WVC independent) correction value for the MLEs. Details on the MLE normalisation and QC threshold setting for NOC corrected data can be found in [VERSPEEK 2011].
Figure 15 shows the average absolute MLE after applying the \(<\text{MLE}>\) normalisation and using the QC threshold. The mean MLE is not exactly equal to 1 since in this plot also low winds (for which an ad-hoc normalisation using the parabolic function is performed) are taken into account. The mean MLE of the selected solutions is around 0.8 and reasonably constant over the swath.
a) 12.5 km resolution
b) 25 km resolution
Figure 16 shows the instrument noise Kp for level 1B software versions PPF740 and PPF730 as a function of WVC number per antenna. The jump in Kp at WVC 20 for the fore and aft antennas is caused by a transition from 6 to 8 looks in the full-resolution product. A new algorithm has been
implemented for the calculation of the Kp value out of the full-resolution product. The new algorithm takes the weight-factors into account, as the backscatter is a weighted average over the full-resolution radar return signals [ANDERSON 2011]. The new algorithm generally leads to a higher value for Kp.
Figure 16 – Averaged instrument noise Kp as a function of WVC number per antenna for a) level 1B software version PPF740 and b) version PPF730.
Figure 17 shows some level 2 quality flag occurrences as a function of WVC number. Figure 17a) and b) show the 12.5 km resolution of version PPF740 and PPF730 respectively, and Figure 17c) and d) show the same for the 25 km resolution. An overall increase in kp quality flag occurrence can be noticed for both the 12.5 km and 25 km resolution. This is caused by the new Kp algorithm implemented at EUMETSAT as described before.
Figure 17 – ASCAT quality flags occurrence as a function of WVC number. Results are shown for all wind speeds, including those below 4 m/s, Level 1b version PPF740 and PPF730 data is used with NOC corrections applied.
a) 12.5 km resolution version PPF740
b) 12.5 km resolution version PPF730
c) 25 km resolution version PPF740
d) 25 km resolution version PPF730
In the 12.5 km resolution mode clearly the Kp quality flag is dominating as contributor to the knmi_qc flag. Its influence can be reduced by relaxing the Kp-threshold setting for the 12.5 km resolution in the level 2 processing to obtain the same profile as for the 25 km resolution, i.e., a relaxation by a factor of two. This would slightly decrease the swath wind accuracy by about 0.02 m/s and a $10^\circ$ of a degree in wind direction (cf. figure 11), but with a considerable reduction in QC rejections. The distance-to-cone check and the Kp check work in a similar manner, but the former is supposed to be the main mechanism for detecting backscatter anomalies for wind retrieval.
The rejection rate increases when we go from the inner part to the outer part of the swath. This can be explained as follows. The cone opens up with incidence angle. Therefore, larger MLE values inside the cone are more frequent in the outer swath (less aliasing effect). Also noise is somewhat larger at higher incidence angles. These effects broaden the MLE distribution at high incidence angles and therefore increases the QC rejection rate.
Routine monitoring statistics are accessible through the OSI SAF ASCAT product viewer web site: http://www.knmi.nl/scatterometer/ascat_osi_25_prod/ascat_app.cgi by selecting “Monitoring information”.
8 Conclusions
Based on the OSI SAF cone visualisation tools at KNMI and the NOC method calibration of the ASCAT scatterometer is attempted. CMOD5n was carefully derived for the ERS scatterometer and thus our calibration should result in the compatibility of the ERS and ASCAT scatterometer products. Indeed, the scatterometer wind product of ASCAT is shown to have similar characteristics to the ERS scatterometer wind product and meets the wind product requirements.
ECMWF short range forecast winds are used here as reference. With the implementation of new ECMWF model cycles the ECMWF winds may become more or less biased. ECMWF verification statistics indicate that the low bias of ECMWF winds at the beginning of this century (e.g. [HERSBACH 2007]) have compensated by more recent ECMWF model cycles [HERSBACH,
Moreover, the random wind component errors in ECMWF and ERS scatterometer winds and their respective spatial representation are generally different. These differences may result in absolute overall biases of a few $10^{-3}$ m/s; which results in a few $10^{-3}$ dB uncertainties in backscatter as well, however, rather uniformly spread over the WVCs [STOFFELEN 1999].
The ASCAT PPF740 L1b backscatter data, is compared to the currently used PPF730 L1b backscatter data. For the corrected case, consistency between the two sets is found, and the new "PPF740" set shows smaller interbeam differences, and the former offset in the left mid beam antenna response has disappeared, and former "wiggles" in antenna responses have been reduced, suggesting improved L1b calibration. In the outer swath consistent large departures remain for the uncorrected case. The level 2 monitoring statistics, like average MLE, average wind speed bias with respect to the NWP wind speed, SD of the wind speed and wind direction show almost identical pictures for the PPF740 and PPF730 corrected data.
An overall increase in Kp quality flag occurrence can be noticed for both the 12.5 km and 25 km resolution. This is caused by the new Kp algorithm implemented at EUMETSAT. In the 12.5 km resolution mode clearly the Kp quality flag is dominating as contributor to the knmi_qc flag. It is recommended to relax the Kp-threshold setting for the 12.5 km resolution product in AWDP.
When using the correction table, the level 2 wind product is of high quality. The aim is to get also a high-quality product without using a correction table. Of course, this could be easily achieved by incorporating the correction table in the CMOD fit-parameters.
The current corrections may be split in a GMF dependent part, which lead to the development of CMOD5na, and a remaining antenna-dependent part, named NOCa. Initial results for CMOD5na+NOCa are promising and show very little difference in wind quality compared to the present CMOD5n+NOC combination. The current NOCa corrections from the ocean calibration are relevant and uncorrected (CMOD5na) wind retrievals are not acceptable as a level 2 wind product. This issue should be resolved by checking against other ancillary geophysical data like from sea ice or rain forest surfaces. This could be done by making the NOCa corrections available for these other products. This will help in resolving any remaining errors in, and assessing the validity of, the CMOD5na GMF and L1b calibration, especially for the high incidence angles.
Appendix A1 – Normalisation correction table for PPF740 to PPF730
The PPF740-PPF7300 normalisation correction factors (dB) as a function of WVC and beam for level 1b version PPF7.4.0 This table is copied from awdp_tables.F90. All other normalisation and NOC tables can also be found in awdp_tables.F90:
real, public, parameter, dimension(3, 42) :: PPF740_PPF730 = &
& reshape(/ &
! fore mid aft WVC
& 0.0491216779, 0.2339349240, 0.0749431625, &
& 0.0741123781, 0.2472979873, 0.0204478130, &
& 0.0833247676, 0.2368329167, 0.0106915683, &
& 0.0715792254, 0.2223740965, 0.0502690859, &
& 0.0479178727, 0.2201206237, 0.1064242497, &
& 0.0351666467, 0.2156254649, 0.1358111799, &
& 0.0470025763, 0.1915938407, 0.1223498136, &
& 0.0674543679, 0.1626400501, 0.0949696824, &
& 0.0707231164, 0.1616159827, 0.0915157795, &
& 0.0529696979, 0.1820696592, 0.1137874052, &
& 0.0487175994, 0.1965580732, 0.1266795397, &
& 0.0809939280, 0.2020357251, 0.1139135212, &
& 0.1147888601, 0.2120908946, 0.1103064492, &
& 0.1066388264, 0.2161434591, 0.1479501575, &
& 0.0908546671, 0.1937965602, 0.2011490315, &
& 0.1150840223, 0.1710261703, 0.2057146579, &
& 0.1420959383, 0.1809860617, 0.1422612816, &
& 0.1385128945, 0.1920581907, 0.0842834041, &
& 0.1487949193, 0.1826629937, 0.1156541109, &
& 0.1462981850, 0.2195623368, 0.1553411931, &
& 0.0573837608, 0.3059579730, 0.1064248234, &
& 0.0411227606, 0.2083124071, 0.0699237138, &
& 0.0193028264, 0.1107679605, 0.0353857800, &
& 0.0582766719, -0.0160341561, 0.0373659655, &
& 0.0301724058, 0.0001192564, 0.0006311740, &
& 0.0507036075, 0.1158812344, 0.0274859294, &
& 0.0708795488, 0.1377207041, 0.1046826020, &
& 0.0537209697, 0.0729686394, 0.1148708314, &
& 0.0863103643, 0.0578709058, 0.0802730322, &
& 0.1282445788, 0.1080681607, 0.0932910964, &
& 0.0881947353, 0.1342471987, 0.1482791901, &
& 0.0203652512, 0.1108020395, 0.1756841838, &
& 0.0306689143, 0.0887288228, 0.1484314352, &
& 0.1006661952, 0.096682631, 0.1031101272, &
& 0.1375977248, 0.1068495959, 0.0766030997, &
& 0.1100371554, 0.0975567773, 0.0751849040, &
& 0.0697703511, 0.0911428183, 0.0861512423, &
& 0.0679622293, 0.1094608903, 0.0946975350, &
& 0.0998593122, 0.1312490404, 0.0959790275, &
& 0.1232077777, 0.1148580536, 0.0881734192, &
& 0.1100593358, 0.0629693195, 0.0694682971, &
& 0.0697369128, 0.0168079957, 0.0376824737 &
& /), (/3, 42//) ! (iBeam, iNode)
Appendix A2 – Total NOC correction table for PPF740
The total NOC correction factors (dB) as a function of WVC and beam for level 1b version PPF7.4.0. This table is copied from awdp_prepost.F90. All other total NOC correction tables can also be found in awdp_prepost.F90:
# total correction factors in dB for PPF740
| | fore | mid | aft |
|---------|---------------|--------------|--------------|
| tot_cf(1, 1) = 0.8018716779; tot_cf(2, 1) = 0.0859305073; tot_cf(3, 1) = 0.7325258718 |
| tot_cf(1, 2) = 0.7181340448; tot_cf(2, 2) = 0.0363628206; tot_cf(3, 2) = 0.6042055213 |
| tot_cf(1, 3) = 0.6295362676; tot_cf(2, 3) = -0.0244297083; tot_cf(3, 3) = 0.4839094016 |
| tot_cf(1, 4) = 0.5176335171; tot_cf(2, 4) = -0.0571292368; tot_cf(3, 4) = 0.4064279192 |
| tot_cf(1, 5) = 0.3947779144; tot_cf(2, 5) = -0.0776668346; tot_cf(3, 5) = 0.3473067080 |
| tot_cf(1, 6) = 0.2975472147; tot_cf(2, 6) = -0.0927377434; tot_cf(3, 6) = 0.2745190132 |
| tot_cf(1, 7) = 0.2325232430; tot_cf(2, 7) = -0.1039539926; tot_cf(3, 7) = 0.1845415636 |
| tot_cf(1, 8) = 0.1741605346; tot_cf(2, 8) = -0.1228798249; tot_cf(3, 8) = 0.0940875574 |
| tot_cf(1, 9) = 0.1079525331; tot_cf(2, 9) = -0.1256100173; tot_cf(3, 9) = 0.0319477378 |
| tot_cf(1, 10) = 0.0304863229; tot_cf(2, 10) = -0.1214661325; tot_cf(3, 10) = 0.0035836365 |
| tot_cf(1, 11) = 0.0386470673; tot_cf(2, 11) = -0.1112376768; tot_cf(3, 11) = 0.0406098353 |
| tot_cf(1, 12) = 0.0712857387; tot_cf(2, 12) = -0.0784461916; tot_cf(3, 12) = 0.0859860621 |
| tot_cf(1, 13) = 0.0804471816; tot_cf(2, 13) = -0.0607186887; tot_cf(3, 13) = 0.1411249258 |
| tot_cf(1, 14) = 0.0845171736; tot_cf(2, 14) = -0.0590661659; tot_cf(3, 14) = 0.1660108008 |
| tot_cf(1, 15) = 0.0895250829; tot_cf(2, 15) = -0.0775878148; tot_cf(3, 15) = 0.1630972185 |
| tot_cf(1, 16) = 0.0924973527; tot_cf(2, 16) = -0.1103278297; tot_cf(3, 16) = 0.1812702588 |
| tot_cf(1, 17) = -0.0905347884; tot_cf(2, 17) = -0.1239095216; tot_cf(3, 17) = -0.2255981351 |
| tot_cf(1, 18) = -0.1105183555; tot_cf(2, 18) = -0.1095731843; tot_cf(3, 18) = -0.2642443459 |
| tot_cf(1, 19) = -0.1313356640; tot_cf(2, 19) = -0.1540148396; tot_cf(3, 19) = -0.2325020558 |
| tot_cf(1, 20) = -0.1401819904; tot_cf(2, 20) = -0.2036433163; tot_cf(3, 20) = -0.1366758489 |
| tot_cf(1, 21) = -0.1276223412; tot_cf(2, 21) = -0.2422283770; tot_cf(3, 21) = -0.1694943433 |
| tot_cf(1, 22) = -0.1872681977; tot_cf(2, 22) = -0.2806181762; tot_cf(3, 22) = -0.1606082445 |
| tot_cf(1, 23) = -0.1910043819; tot_cf(2, 23) = -0.2102294145; tot_cf(3, 23) = -0.1692908033 |
| tot_cf(1, 24) = -0.1746359531; tot_cf(2, 24) = -0.1800489478; tot_cf(3, 24) = -0.1933144928 |
| tot_cf(1, 25) = -0.1601948025; tot_cf(2, 25) = -0.1229574936; tot_cf(3, 25) = -0.2020069510 |
| tot_cf(1, 26) = -0.1782989225; tot_cf(2, 26) = -0.0554334323; tot_cf(3, 26) = -0.1840278623 |
| tot_cf(1, 27) = -0.1985283679; tot_cf(2, 27) = -0.0384197959; tot_cf(3, 27) = -0.1712463980 |
| tot_cf(1, 28) = -0.1646166970; tot_cf(2, 28) = -0.0821969023; tot_cf(3, 28) = -0.1783563353 |
| tot_cf(1, 29) = -0.1176769274; tot_cf(2, 29) = -0.0734982609; tot_cf(3, 29) = -0.1873039678 |
| tot_cf(1, 30) = -0.0973163795; tot_cf(2, 30) = -0.0479640060; tot_cf(3, 30) = -0.1628154036 |
| tot_cf(1, 31) = -0.0929345980; tot_cf(2, 31) = -0.0573003013; tot_cf(3, 31) = -0.1006528516 |
| tot_cf(1, 32) = -0.0539669888; tot_cf(2, 32) = -0.0816801688; tot_cf(3, 32) = -0.0333028579 |
| tot_cf(1, 33) = 0.0202331226; tot_cf(2, 33) = -0.1145149272; tot_cf(3, 33) = 0.0131419352 |
| tot_cf(1, 34) = 0.1067630285; tot_cf(2, 34) = -0.1153900286; tot_cf(3, 34) = 0.0473941689 |
| tot_cf(1, 35) = 0.1895295998; tot_cf(2, 35) = -0.0893081124; tot_cf(3, 35) = 0.1034842664 |
| tot_cf(1, 36) = 0.2455317387; tot_cf(2, 36) = -0.0661231394; tot_cf(3, 36) = 0.2008387373 |
| tot_cf(1, 37) = 0.2896155178; tot_cf(2, 37) = -0.0667160150; tot_cf(3, 37) = 0.3045409506 |
| tot_cf(1, 38) = 0.3726118543; tot_cf(2, 38) = -0.0597727764; tot_cf(3, 38) = 0.3931667017 |
| tot_cf(1, 39) = 0.4938259789; tot_cf(2, 39) = -0.0300710429; tot_cf(3, 39) = 0.4581851942 |
| tot_cf(1, 40) = 0.5983423610; tot_cf(2, 40) = -0.0109126964; tot_cf(3, 40) = 0.5174092525 |
| tot_cf(1, 41) = 0.6820125025; tot_cf(2, 41) = 0.0061174028; tot_cf(3, 41) = 0.6133651721 |
| tot_cf(1, 42) = 0.7612789545; tot_cf(2, 42) = 0.0473044124; tot_cf(3, 42) = 0.7235131404 |
| Name | Description |
|----------|-----------------------------------------------------------------------------|
| AMI | Active Microwave Instrument |
| ASCAT | Advanced scatterometer |
| AWDP | Ascat Wind Data Processor |
| BUFR | Binary Universal Form for Representation (of meteorological data) |
| CMOD | C-band geophysical model function used for ERS and ASCAT |
| ECMWF | European Centre for Medium-Range Weather Forecasts |
| ERA40 | ECMWF 40 year reanalysis |
| ERS | European Remote sensing Satellite |
| ESA | European Space Agency |
| ESDP | ERS Scatterometer Data Processor |
| EUMETSAT | European Organization for the Exploitation of Meteorological Satellites |
| GMF | geophysical model function |
| KNMI | Koninklijk Nederlands Meteorologisch Instituut (Royal Netherlands Meteorological Institute) |
| METOP | Meteorological Operational satellite |
| MLE | maximum likelihood estimator (used for distance to cone) |
| NWP | numerical weather prediction |
| OSI | Ocean and Sea Ice |
| QC | Quality Control (inversion and ambiguity removal) |
| SAF | Satellite Application Facility |
| SD | standard deviation |
| WVC | wind vector cell, also known as node or cell |
Table 1 - List of acronyms and abbreviations
References
[ANDERSON 2011] Anderson, Craig, Technical Note on Kp calculation, EUMETSAT, Darmstadt Germany, 2011
[BELMONTE 2012] Belmonte, M., J. Verspeek, A. Verhoef and A. Stoffelen, Bayesian sea ice detection with the Advanced Scatterometer, IEEE Transactions on Geoscience and Remote Sensing, 2012, 50, 7, 2649-2657, doi:10.1109/TGRS.2011.2182356.
[FIGA 2004] Figa-Saldaña, Julia, “ASCAT calibration and validation plan”, EUMETSAT, EPS programme, Darmstadt Germany, 2004
[FIGA et al 2002] Figa-Saldaña, J., J.J.W. Wilson, E. Attema, R. Gelsthorpe, M.R. Drinkwater, and A. Stoffelen, The Advanced scatterometer (ASCAT) on the meteorological operational (MetOp) platform: A follow on for the European wind scatterometers, Can. J. Remote Sensing 28 (3), pp. 404-412, 2002.
[HERSBACH 2007] Hersbach, H., A. Stoffelen, and S. de Haan, An improved C-band scatterometer ocean geophysical model function: CMOD5, J. Geophys. Res., 112, C03006, 2007.
[PORTABELLA and STOFFELEN 2006] Marcos Portabella, Ad Stoffelen, Scatterometer backscatter uncertainty due to wind variability, IEEE Trans. Geosci. Rem. Sens. 44 (11), 3356-3362, 2006.
[PORTABELLA and STOFFELEN 2009] Portabella, M., and Stoffelen, A., “On scatterometer ocean stress,” submitted to J. Atm. and Ocean Techn., 26 (2), pp. 368–382, 2009.
[STOFFELEN 1999] Stoffelen, Ad, “A Simple Method for Calibration of a Scatterometer over the Ocean”, J. Atm. and Ocean Techn. 16(2), 275-282, 1999.
[STOFFELEN 1998] Stoffelen, Ad, “Scatterometry”, KNMI, PhD thesis at the University of Utrecht, ISBN 90-39301708-9, October 1998
[STOFFELEN and ANDERSON 1997] Stoffelen, Ad, and David Anderson, “Scatterometer Data Interpretation: Measurement Space and inversion”, J. Atm. and Ocean Techn., 14(6), 1298-1313, 1997.
[VERHOEF et al 2008] Verhoef, A., M. Portabella, A. Stoffelen and H. Hersbach, “CMOD5.n - the CMOD5 GMF for neutral winds”, OSI SAF Technical Report SAF/OSI/CDOP/KNMI/TEC/TN/165, 2008
[VERSPEEK 2006] Verspeek, Jeroen, “Scatterometer calibration tool development”, EUMETSAT Technical Report SAF/OSI/KNMI/TEC/RP/092, KNMI, de Bilt, 2006,
[VERSPEEK 2006-2] Verspeek, Jeroen, “User manual Measurement space visualisation package”, KNMI, de Bilt, 2006
[VERSPEEK 2011] Verspeek, J., Verhoef, A and Stoffelen, A. “NWP ocean calibration”, KNMI, de Bilt, 2011
[VERSPEEK 2011-2] Verspeek, A. and Stoffelen, A. “ASCAT GMF”, DRAFT, KNMI, de Bilt, 2011 |
Historical changes in frequency of extreme floods in Prague
L. Elleder
Czech Hydrometeorological Institute, Prague, Czech Republic
Correspondence to: L. Elleder (email@example.com)
Received: 22 December 2014 – Published in Hydrol. Earth Syst. Sci. Discuss.: 4 February 2015
Revised: 31 July 2015 – Accepted: 9 September 2015 – Published: 23 October 2015
Abstract. This study presents a flood frequency analysis for the Vltava River catchment using a major profile in Prague. The estimates of peak discharges for the pre-instrumental period of 1118–1824 based on documentary sources were carried out using different approaches. 187 flood peak discharges derived for the pre-instrumental period augmented 150 records for the instrumental period of 1825–2013. Flood selection was based on $Q_{10}$ criteria. Six flood-rich periods in total were identified for 1118–2013. Results of this study correspond with similar studies published earlier for some central European catchments, except for the period around 1750. Presented results indicate that the territory of the present Czech Republic might have experienced extreme floods in the past, comparable – with regard to peak discharge (higher than or equal to $Q_{10}$) and frequency – to the flood events recorded recently.
In the Czech Republic, four extreme summer floods were recorded within the last 15 years (1997, 2002, 2010, and 2013). Two of these were classified as 500-year or even 1000-year events (Blöschl et al., 2013; Hladný et al., 2004); two out of the four stroke the Vltava River catchment. Taking into account the entire region of central Europe, further extreme summer floods can be added: in the Alps in 2005, and in Slovakia and Poland in 2010. An interesting question thus emerges as to whether there is an analogy with a similar frequency of important or extreme floods in the past. The aim of this contribution is to answer two scientific questions:
1. Has the territory of the present Czech Republic experienced four summer extreme flood events within a mere 15-year period earlier in history?
2. Did the region of central Europe record extreme large-scale floods during the last 500 years more often when compared to the present? The methodical approach used in this study was inspired by Bayliss and Reed (2001).
Prague is, with respect to floods, a key point for central Europe. It represents a closing profile of the Vltava River, the most important tributary of the Elbe River. As compared to other major Elbe tributaries, such as the Saale, Spree, and the Mulde, with respect to the catchment area, average discharge and $Q_{100}$, the Vltava River can be regarded as the most significant one. According to the above criteria, the Vltava River is even more significant as compared to the upper part of the Elbe River, where it flows to, 40 km downstream of Prague, at the town of Mělník. $Q_{100}$ values of the Otava and Berounka Rivers, the most important tributaries of the Vltava River, correspond merely to the $Q_2–Q_5$ level (Table 1). Interestingly, this also applies for the Elbe River prior to the confluence with the Vltava River, which implies that the Elbe River is a tributary of the Vltava River rather than the other way around (Table 1). These facts are absolutely
Table 1. Important data on floods in the Elbe catchment. Values for major profiles are in bold.
| Water gauge | Brandýs n. L. | Č. Budějovice | Beroun | Písek | Praha | Děčín |
|-------------|---------------|---------------|--------|-------|-------|-------|
| River | Elbe | Vltava | Berounka | Otava | Vltava | Elbe |
| A [km²] | 13 109 | 2850 | 8286 | 2913 | 145 | 51 104|
| $Q_a$ [m³ s⁻¹] | 99 | 27.6 | 35.6 | 201 | 1220 | 309 |
| $Q_2$ [m³ s⁻¹] | 572 | 572 | 403 | 300 | 1770 | 1720 |
| $Q_5$ [m³ s⁻¹] | 754 | 350 | 615 | 300 | 2300 | 2300 |
| $Q_{10}$ [m³ s⁻¹] | 895 | 452 | 799 | 394 | 2760 | 2760 |
| $Q_{50}$ [m³ s⁻¹] | 1230 | 751 | 1310 | 680 | 3900 | 3900 |
| $Q_{100}$ [m³ s⁻¹] | 1390 | 908 | 1560 | 837 | 4410 | 4410 |
A: catchment area.
Figure 1. The Vltava River catchment. The major tributaries and sites with records of historic floods and flood marks are highlighted.
essential for the examination of historical floods. According to the facts above, the Vltava River floods significantly influence the Elbe River floods, at least up to Torgau (before confluence with the Mulde and Saale River and Magdeburg) in Germany. There is a strong association between the peak discharges in Prague and the Elbe profiles in northern Bohemia, and in Saxony – Pirna, Dresden, and Meissen (Elleder et al., 2013). A crucial issue for the presented study is that the flood marks and records of historic floods (Fig. 1) going back to 1432 are available for these sites (Brázdil et al., 2005; Fügner, 2007). In this study, Prague represents the major profile, while other profiles were used to supplement it, and for verification of the final estimates.
2 Methods
2.1 Input data
For the Vltava River catchment, 161 flood cases for the period between 1118 and 1824, when the regular daily water level measurements began, are available in Brázdil et al. (2005), denoted as set B further in this study.
The most reliable 18 cases associated with summer floods are related to the flood marks and original Prague water gauge denoted as “the Bearded Man”, used since 1481 (Elleder, 2003).
Novotný (1963) presented an additional 121 peak discharges (1825–1953) for the period before the Vltava River Cascade construction. The peak discharges from 1825 to 1880 were assessed earlier, with an assumption of the 1880–
1890 rating curve validity (Richter, 1893). Water levels and peak discharges for Prague after 1954 are in the Czech Hydrometeorological Institute database, concurrently in simulation without the influence of the Vltava River dams (Hladný et al., 2004). The 2012 flood, with peak discharge of $5160 \text{ m}^3\text{s}^{-1}$, is the most important case over the instrumental period (Hladný et al., 2004). Interestingly, the flood of July 1432 was likely even more important (Elleder, 2010b). For other significant historic floods – bigger than $Q_{50}$ – in the Vltava River catchment, Brázdil et al. (2005) published brief descriptions. Detailed papers on Czech floods, though most of them only in Czech, were published. Those available in English are only for the 1432 flood (Brázdil et al., 2006a), 1784 flood (Munzar et al., 2005), and 1830 (Munzar, 2000). Regretfully, the extreme flood cases, such as 1501, 1655, 1675, 1682, 1712, 1736, 1771, 1799, and 1824, have not been evaluated so far. For archiving of documentary sources related to floods over the Czech territory, the author has been developing a private relation database system “Krolmus” since 2000.
### 2.2 Major Vltava River profile in Prague, its changes over time and estimation of maximum water levels
Regarding the specific conditions of the Vltava River catchment, particularly in Prague, it was advantageous to use the estimated peak discharges. This approach enabled the author to use simple hydrological balance for filling and checking the final data set.
The major Vltava River profile for Prague until 1824 was the monastery of the Knights of the Cross with the Red Star past the Charles Bridge; after 1824 with the beginning of the systematic water level measurements it was the Old Town Mills profile upstream of the Charles Bridge. An overview of the most important changes of floodplain and documentary sources available was presented by Elleder et al. (2013). The entire period under review, 1118–2013, has been divided into seven periods of more or less homogenous topography, with respect to both the reliability of input data and changes in the area near the major profile (Historical Urbanization Stage, HUS further in the text). The least reliable data are those relating to 1118–1350 (HUS1). After the construction of the new city walls (1250–1300) and reconstruction of the city, the Old Town terrain was more or less stabilized (Hrdlička, 2000). In 1351–1480 (HUS2) some floods are recorded as related to important town buildings (Table 2). During this period, the number and height of Prague weirs were fixed. In 1481–1780 (HUS3) the records of water levels are available. Since 1481 these are related to the “Bearded Man” water gauge (Elleder, 2003, 2010b, 2013). Since 1501 flood marks started to appear, but those from 1501 and 1655 were destroyed, and currently flood marks since 1675 are preserved (Brázdil et al., 2005). Changes in floodplain between the 16th and the mid 19th century were minor (Elleder et al., 2013). The first modern water gauge in Prague was set up in 1781 (Brázdil et al., 2005; Elleder, 2010b). Systematic records date back to 1825. The next 60-year period of 1781–1843 (HUS4) until the construction of the Vltava River embankment is used for calibration of the relation between measured water stages during flood events and flood impacts, such as the flooded area (Elleder, 2010b). For similar relations applicable for the HUS3 period it is possible to derive for flood damages and the Vltava River behaviour during ice-jamming. For the next period of 1844–1904 (HUS5), when the Vltava River embankment construction was undertaken, a rating curve is available. In 1904–1926 (HUS6a) the inundated area of the Old Town was raised to the embankment. In the next period 1927–1953 (HUS6b) no major changes occurred until construction of the Vltava River cascade dam. Construction of the Vltava River dam cascade in 1954–1961 resulted in a crucial change of the hydrological regime (Kašpárek and Bušek, 1990). The current period 1954–2013 (HUS7) has been affected by implementation of the cascade. Until mobile dikes were put into operation (2000–2013), no major changes were undertaken in Prague.
### Table 2. Selected important sites (water level indicators) with relations between water levels and peak discharges.
| Site | Rec. interval | $H$ [cm] | $Q$ [m$^3$ s$^{-1}$] |
|-----------------------------|---------------|----------|----------------------|
| Old Town mill | $Q_{10}$ | 270 | 2200 |
| Nunnery of St. Ann | $Q_{10-20}$ | 250–320 | 2200–2500 |
| St. Valentine – floor (Val)| $Q_{10-20}$ | 300 | 2400 |
| St. Linhart (Li) | $Q_{50}$ | > 400 | > 3500 |
| St. Giles (Ag) | $Q_{100}$ | > 480 | > 4100 |
| St. Nicholas (Ni) | $Q_{100}$ | > 500 | > 4500 |
| Old Town Square (OTS) | $> Q_{100}$ | > 580 | > 5000 |
### 2.3 Peak discharge estimates based on hydraulic calculation
Reliable records of 18 summer floods from 1481–1825 were assessed using a hydraulic approach, similar to that applied by Herget and Meurs (2010) for German Cologne (the Rhine). Herget et al. (2014) recommended support of the hydraulic approach with detailed knowledge of river cross-section and flood plain, and use of the Manning equation (Chow, 1959). The results of this approach for Prague including detailed information on cross-section of chosen Vltava profile were published earlier by Elleder et al. (2013). This evaluation, however, did not include winter floods, or flood events with less reliable or roughly estimated water-level records. The objective of this study was the utilization of most of the data with an acceptable level of reliability for flood seasonality analysis. Some 90% of all data (B set) from the pre-instrumental period met the reliability or authenticity criteria according to Bayliss and Reed (2001). This applies
mostly for evidence of major floods equal or higher to $Q_{50}$ (before 1481) and $Q_{10}$ (starting from 1481).
2.4 Rating curves, ice jamming and other interpreted data from supporting profiles
Relations between water stage or peak discharge and impacts relevant for HUSS and HUS6 periods (Elleder, 2010b) were applied for the interpretation of historic floods. The rating curve for 1880–1890 (Richter, 1893) was used for HUS3 floods – events with a fairly reliable documented water level. The map presenting isolines for different water levels in Prague (Elleder, 2010a) was used for interpretation of flooding of different sites or buildings in floodplain of Prague.
For winter floods, a problematic relation between water level and discharge due to ice jamming is to be accounted for. It is necessary to distinguish between the flood caused by ice jam making a barrier, and the flood caused by an increase of discharge (Beltaos, 2008). No case, nevertheless, with a higher water level due to ice jamming, as compared to subsequent water level due to flood discharge, is known for Prague. For discharge higher than or equal to $Q_{10}$, the discharge was always sufficient for an ice barrier release. This holds for the 1784 February flood (Elleder, 2010a), and also for all recorded winter floods during 1800–1850 (Fritsch, 1851). It is evident from the reconstructed hydrographs for winter floods in 1830, 1845, 1862, 1876 (Elleder, 2010a, b). Water levels resulting from ice jam reached merely 100–250 cm in contrast to subsequent discharge floods with recorded water levels of 350–550 cm. It is particularly true for the Prague profile, but does not hold, in any case, for supporting profiles in Děčín, Dresden, and Meissen. The only exceptions might have been during HUS1 and HUS2 due to different conditions before the Charles bridge construction. As an example, the February 1342 flood which destroyed former and smaller Judith bridge across the Vltava River can be mentioned.
Supporting profiles in the upper Vltava River (České Budějovice, Beroun, Písek) as mentioned for example by Elleder (2008) were used for providing a balance of estimated discharges in the upper Vltava River, while supporting profiles downstream (Litoměřice, Děčín, Pirna, Dresden, Meissen) were used for regression estimates published earlier by Elleder et al. (2013). This approach enabled the checking and specification of not only estimated discharges, but also the time of flooding in Prague. In some cases, this approach facilitated even the filling in of the missing values as an for example for 1434, 1531, 1775.
The credibility of discharges estimated by this approach above is undoubtedly lower than discharges derived from authentic description and records of floods in Prague.
2.5 Selection of floods
In the framework of the analysis, two approaches are to be distinguished: annual maximum flood (AMF further in the text), and peaks over threshold (POT further in the text) approach.
The original B set including 161 recorded Vltava floods was augmented by 23 flood events. The results of my hydrological interpretation of the augmented B set are presented for all floods during 1118–2013 (Fig. 2). For further FFA only values higher or equal to $Q_2$ were considered. The floods lower than $Q_2$, recorded mostly for the Vltava River in České Budějovice, without other supporting material for other tributaries were excluded. Final set for FFA included 176 flood events (123 events before 1825). The entire historical set (1118–1824) including detailed information was presented earlier by Elleder (2010b).
Set of estimated maximal water levels and peak discharges (equal or greater then $Q_2$) including POTQ10 for pre-instrumental and early instrumental period 1118–1824 is presented in the Supplement.
A perception threshold for recognizing an event as a flood, and for drawing a flood mark, a discharge around $Q_{10}$ (Table 1) was generally accepted in Prague until 1781 (Tables 2, 3). That is the reason for establishing $Q_{10}$ as a threshold for denoting the real extreme flood events, and the selection of such events is labelled POTQ10.
3 Results and discussion
3.1 Frequency of floods over the centuries
Figure 2 summarizes the frequency of floods over the centuries. The high variability in $Q_2$ flood events most likely does not reflect the reality – rather it is a consequence of the fact that many of these “unimportant” floods were not recorded in the 12th–18th centuries. Considerable equilibrium is obvious in POTQ10 before 1500 (17 events in total, which means 4 events per century, on average), and after 1500 (55 events in total, that means 11 events per century, on average). This set is representative for the period after 1500 at least, when POTQ10 can be considered a good approximation of the real count of floods. The highest occurrence of POTQ10 flood events was recorded in the 16th century (14 events), and in the 19th century (15 events). The 17th and 18th centuries can be reckoned as average centuries, with 10 and 9 flood events, respectively. Interestingly, a low number of flood events was recorded in the 20th century (four flood events). In contrast, the high frequency of floods is striking in the 14th century, when some six cases might have reached $Q_{50}$ level. Flood frequency is obviously low in the 21st century with respect to the number of years. It is notable, however, that we have already seen three POTQ10 floods within 13 years, one in 4 years on average.
3.2 Periods with high flood frequency within a European context
Figure 3 presents an overview of about 300 maximal annual peak discharges in Prague (AMF, according to Elleder, 2010b). For more accurate identification of periods with high flood frequencies, a 31-year running sum was used. The exceedance of POTQ10 defines flood-rich periods (FRP, further in the text). Six periods FRP1–6 with two sub-periods (FRP4a, b and FRP5a, b), with minimal overlap with respect to $Q_{50}$–$Q_{500}$ occurrence, were identified in total. It was suitable to delineate the two sub-periods as they differed in the flood character. The 1780s (FRP4a) were specific for major winter flood events and impact of Laki eruptions in 1783–1785. The FRP4b sub-period was in contrast characterized by major summer floods (1804 and 1824) and significant droughts (1811, 1823). Similar reasons hold for FRP5, in which summer floods clearly prevail in FRP4b.
Some significant floods in HUS1 (1118, 1272, 1273), and HUS2 (1432) are not included in the above periods. This fact is most likely a consequence of the lack of documentary sources for HUS1 and HUS2 periods. It holds, however, also for the beginning of the HUS3 period with the extreme flood of 1501.
Table 3. Selected important impacts with relations between water levels and peak discharges.
| Warning signals and impacts | $H$ [cm] | $Q$ [m$^3$ s$^{-1}$] |
|----------------------------|----------|----------------------|
| 1st level of canon warning signal | ca 130 | 900 |
| Flooding of meadows and fields | > 150 | 1200 |
| 2st level of canon warning signal | ca 180 | 1400 |
| Water out of chanell | > 200 | > 1500 |
| Danger for lumberyards | > 220 | > 2000 |
| Watermill shafts flooded (MOr) | ca 220 | |
| Water takes wood away (WT) | > 250 | > 2100 |
| Mills and lower situated houses damaged (DM) | ca 300–350 | 2400–3000 |
| Possible barriers in front of bridge (Bar) | > 350–400 | 3000–3200 |
| Heavy damages (D!) | > 400 | |
Some of the POTQ10 floods recorded in the Vltava River in Prague were part of more extensive events affecting a major part of central Europe as well. If at least two or three major catchments out of five (the Elbe, Danube, Oder, Wesser, Warta) were simultaneously struck, these events can be labelled as Central European Floods (CEF, further in the text). An example of such a CEF is the 1374 flood (FRP1), which is recorded, apart from the Vltava River, also in the Saale catchment (Deutsch and Portge, 2003), Danube catchment (Kiss, 2011) and the Rhine catchment (Herget and Meurs, 2010). More additional information is needed for the winter flood of 1367 in Transylvania (Kiss, 2011) or in the Hornád River basin in 1568 (Pekárová et al., 2011). Synchronic winter floods (1655, 1682, 1784, 1799, 1862, 1876) were recorded by flood mark on the Main (Eibelstadt, Frankfurt am Main, etc.), the Danube (1682, 1784, 1799, 1830, 1862), and the Rhine (1651, 1784, 1799). For summer floods, an association with the Danube and Oder catchments is more common. Frequently, the Alpine tributaries of the Danube – the Inn, Enns, Traun – or the Danube itself between Passau and Vienna (1501, 1569, 1598, 1890, 2002, 2013) are involved. Flood marks of these are found at numerous sites (Linz, Schärding, Burghausen, Steyer). Synchronic floods with the Vltava River for some Oder tributaries (Nysa Łużycka [Lausitzer Neiße], Kwisa, Bóbr, Kaczawa, and Nysa Kłodzka) for 1359, 1387, 1432, 1501, 1563, 1564, 1567, 1569 are presented by Gírgus and Strupczewski (1965).
In cases when other catchments (the Seine, Loire, Maas) were also affected, the acronym WCEF (West-Central European flood) is used. These are, for example, 1651, 1658, 1740, 1784, and 1799 winter floods, as commented in detail earlier by Elleder (2010a) for Cologne, Dresden, Paris, and Vienna.
The overview of the identified periods with high flood frequencies with relevant flood events is presented below.
3.2.1 Period FRP1 (1350–1390), 7 flood events/40 years
It includes summer floods of 1359 (CEF), 1370, and 1387 (CEF) and winter floods of 1367, 1364, 1373, and 1374 (CEF).
3.2.2 Period FRP2 (1560–1600), 10 AMF (12 in total) flood events/40 years
Summer floods prevail in 1564, 1567, 1568, 1569 (CEF), 1575, 1582, 1587, and 1598 (CEF). Winter floods in 1570, and 1566 (CEF). The type of the 1575 flood is not known.
3.2.3 Period FRP3 (1650–1685), 6 AMF flood events/35 years
Winter floods prevail in 1651 (WCEF), 1655 (CEF), and 1682 (CEF). Flood in 1658 (WCEF) was recorded for Dresden and Paris (Elleder, 2010a). It is unclear, however, if the high peak discharge was not due to ice jamming. Summer floods in 1651 and 1675 have not been mentioned so far outside of the Czech lands.
3.2.4 Period FRP4a (1770–1800), 6 flood events/35 years
Winter floods prevail in 1770, 1771, 1782, 1784 (WCEF), 1786, 1799 (WCEF).
3.2.5 Period FRP4b (1804–1830), 6 flood events/30 years
Winter floods in 1809, 1810, 1827, 1830 (CEF), and summer floods in 1804 and 1824.
3.2.6 Period FRP5a (1845–1880), 5 flood events/35 years
Winter floods prevail in 1845 (CEF), 1862 (CEF), 1865, and 1876 (CEF). The summer flood of 1872 was a flash flood with extreme intensity. This flood is related to the floods on the upper Rhine and Po tributaries. This period includes a catastrophic flood on the Elbe River in February 1846, and a no less deleterious flood in August 1858.
3.2.7 Period FRP5b (1880–1920), 6 flood events/40 years
Summer floods dominate in 1890 (CEF), 1896, and 1915. In the Czech lands, there were simultaneous catastrophic floods, particularly in the Elbe catchment, in August and September 1888, 1897 (CEF), and 1899 (CEF), that reached a mere $Q_5$ in the Vltava River, however. Winter floods in 1882 (CEF), 1900 and 1920 (CEF).
3.2.8 Period FRP6 (1994–?), 3 flood events/14 years
So far summer floods have prevailed in 2002 (CEF) and 2013 (CEF), after simulation (removing of the Vltava dam cascade influence), also the 2006 flood can be included (http://voda.chmi.cz/povl3/DilciZprava_DU_3_1_cas1-VyznamnaVD-final.pdf).
The flood periods identified correspond, more or less, with similar periods for central Europe published earlier. The period corresponding with FRP1 was reported, for example, for the Isar River (Böhm and Wetzel, 2006), the Pegnitz, and the Rhine downstream of the confluence with the Mosela (Glaser et al., 2004).
Schmocker-Fackel and Naef (2010) assessed the flood frequency in 14 catchments across Switzerland. This was further extended by Böhm et al. (2014), who studied in more detail Bavarian Fore-Alps. Flood-rich periods in central European catchments (Glaser and Stangl, 2003) correspond with FRP2–FRP4. This is not a surprising result, as the major floods in the Vltava River catchment were obviously part of extended CEF (likely more often than stated above), rarely of WCEF. The records are mostly lacking, however.
Results of this study show a minor peak around 1440–1450, which was recorded also in the Pegnitz River catchment (Glaser et al., 2004). This peak in Prague is associated particularly with three extreme floods in 1432, and with 1434. Interestingly, one of these, the flood of August 1432 is comparable with the extreme 2002 flood (Brázdil et al., 2006a; Elleder, 2010b).
There are also some discrepancies between the results of the presented study and results published for other catchments. Surprisingly, one of the most prominent flood-rich periods in the second half of the 16th century (FRP2) differs from the Isar and Lech rivers catchments (Böhm and Wetzel, 2006), which are, with respect to geography, very similar to the Vltava River catchment. Nevertheless, in the very next Danube tributaries – the Traun and Enns River catchments – flood events parallel to the Vltava River catchment were identified (Rohr, 2007).
Identified flood-rich periods correspond with decadal frequencies for Prague (Brázdil et al., 2005), except for the period around 1750. This discrepancy is closely related to POTQ10 selection. If the criteria for selection are strictly adhered to, only floods from 1712, 1734, and 1736 may be identified. For this reason, the peak around 1750 is reduced. Nevertheless, in this period also a fairly high number of summer floods with estimated peak discharge of $Q_5-Q_{10}$ (1751, 1755, and 1757), was recorded. If the peak discharge threshold was lower than $Q_{10}$, the peak around 1750 would be higher corresponding more to the results of Brázdil et al. (2005), whose criteria of flood selection was $Q_2$.
With regard to flood frequency across the entire area of Central Europe, the present flood-rich period began around 1994. Major floods were recorded in 1994, and 1995 (the Rhine River: Engel, 1997), 1997 (the Oder River: Kundzewicz, 1999), 2002 (the Elbe and Danube Rivers: Hladný et al., 2004), 2005 (Upper Rhine and Danube tributaries: Beniston, 2006), 2010 (the Oder and Vistula Rivers) and 2013 (the Elbe, Danube, and Oder Rivers: Blöschl et al., 2013). This makes six or seven major floods over 20 years, including one large-scale event in the vast region between the Rhine and Vistula Rivers. For such events, however, no comparable period was found in the last 100–200 years of the instrumental period. This reason further enhances an interest in examining the pre-instrumental period in search for an analogy with recent records.
4 Conclusions
The presented set of estimated flood peak discharges for Prague specifies results of previous studies. Peak discharge estimates made it possible to utilize also the data from the tributaries, and profiles situated downstream of the examined river profile. In contrast, some discharges lower than $Q_2$ were excluded. That implies that the final set used for this study somewhat differed from data used for flood frequency analysis for the Vltava River catchment earlier (Brázdil et al., 2005).
In total, five historical periods with higher than POTQ10 flood frequency were identified. The time span for each of these five periods was some 35–40 years. Results of this study clearly show that POTQ10 flood is likely to occur 6–12 times in a period of higher flood frequency, which means every third (in the 16th century) to eighth (in the 19th century) year on average. Additionally, during the current period, in the Vltava River catchment we have recorded three major floods within 12 years (2002, 2006, and 2013), which means one in 4 years on average.
To summarize: the results of the presented analysis indicate that the territory of the present Czech Republic might have experienced in the past extreme floods comparable, with regard to peak discharge (POTQ10) and frequency, to flood events recorded recently. With respect to Central Europe considered as a whole, the existence of a similar period can be fairly reasonably assumed at least for the 16th century. It cannot be excluded, however, that one or even several more periods of extreme floods over a relatively short time span, occurred in the past. As a matter of fact, the historical data available presently do not allow an unambiguous conclusion on this issue.
The results of this study clearly show that currently available historical data do not allow for deriving detailed conclusions on flood frequency in Central Europe. Further analysis of single flood events for the whole affected area (such as in Brázdil et al., 2010; Munzar et al., 2008, 2010) are urgently needed to be more certain in this aspect.
The Supplement related to this article is available online at doi:10.5194/hess-19-4307-2015-supplement.
Acknowledgements. The author thanks his colleague Jolana Širová for preparing Fig. 1. The valuable comments of the three reviewers and proofreading by Sharon King are highly appreciated.
Edited by: G. Blöschl
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What to Say and How to Say It
Ann S. Botash, MD
Professor of Pediatrics
Upstate Golisano Children's Hospital
Syracuse, NY
Objectives
- Describe appropriate documentation for the medical record in cases of suspected abuse
- Identify potential documentation pitfalls
- Analyze statements of opinion from medical professionals
Disclosure
- I have no financial interests to disclose.
Role of Mandated Reporters
To report suspected incidents of child abuse or maltreatment and neglect while acting in their professional capacity.
http://childabusemd.com/documentation/documenting-information.shtml
Reporting
A report of possible abuse is not an accusation – but a request to determine if abuse has occurred, and if so, it can be the beginning of the helping process.
What is needed to trigger a report?
- Reasonable cause to suspect abuse
- NOT a diagnosis
**HIPAA**
- When abuse or neglect is suspected, the physician must report and may disclose a child’s protected health information to the CPS (and/or law enforcement) agency without parent authorization.
- When child abuse has already been reported and is being investigated, it is permissible to disclose information to the appropriate investigative agencies without parent notification or authorization.
- Committee on Child Abuse and Neglect. Policy statement–Child abuse, confidentiality, and the health insurance portability and accountability act. *Pediatrics*. 2010 Jan;125(1):197-201. Epub 2009 Dec 21.
---
**Confidential and Privileged Communication**
- Communication between a physician and patient is always considered confidential.
- Child abuse suspicion is an exception.
- Privileged communication means that disclosure cannot be compelled in court.
- Family Court Act states that no privilege applies to child abuse and neglect.
---
**Confidential and Privileged Communication**
- Despite the physician-patient privilege, assume that medical records involving cases of child abuse will become available in a criminal or civil legal matter.
- Do not assume you can and should turn over records to police, attorneys, or others without determining if authorization exists.
- When contacted by an attorney, determine whether you are authorized to talk to the attorney before releasing information.
- Any information turned over to one party will be turned over to all parties.
Definitions
- NYS Definitions of abuse
- Spectrum of parenting
- Classification systems for findings
Types of Maltreatment
- Physical
- Sexual
- Emotional
- Neglect
- Most common single entity
- All of the above or some combination
- Most common overall
Spectrum of Parenting
Abuse Unwise Adequate Optimum
Classification Systems
Adams JA. Journal of Child Sexual Abuse, 20:588–605, 2011
- Normal variants
- Medical conditions
- Mistaken for abuse
- Indeterminate
- Diagnostic
- Acute, Residual, Blunt Force Trauma
- Infection
- Evidence
Most Common Abusive Fractures
- The most common fractures in abused children involve the skull, long bones and ribs. The numbers vary (relatively) depending on the study included (detail of radiologic imaging), age of the children and whether the studied populations included fatalities.
Kistman PK. Diagnostic imaging in infant abuse. AJR Am J Roentgenol. 1994 Mar;163(3):533-42. Review.
Scale for Interpreting Physical Abuse
Lindberg DM, Lindell CJ, Shapiro RA. Pediatrics. Variability in expert assessments of child physical abuse likelihood. 2008 Apr;121(4):e945-53. doi: 10.1542/peds.2007-2485.
General Principles
- Is the history consistent with the mechanism of trauma?
- Is the child developmentally able to self-inflict the injury?
- Is there another medical explanation for the finding?
- Is corroborative information available?
Appropriate Documentation
Keys to Documentation
- Accurate
- Complete
- Legible
- Components:
- History
- Physical
- Lab
- Imaging
- Summary
Toddler falls off stool
Truth or “Fib”ula?
Long Bone Fractures
- Is the fracture morphology consistent with the direction, magnitude and rate of loading described by the mechanism?
- What are the child’s developmental capabilities and could the child have generated the necessary energy, independent of the “outside” forces, to cause the observed injury?
- Did the event generate enough energy to cause this fracture?
- Were there structural factors of the bone itself that contributed to the likelihood of fracture?
Pareja et al. Evaluating long bone fractures in children: A biomechanical approach with illustrative cases. Child Abuse and Neglect 2013;37:504-514.
What to Document After a Fall
- Fall height
- Weight of the child
- Surface on which the child landed
- Way in which they landed
Maguire. Arch Dis Child Educ Pract Ed. 2010 Dec;95(6):370-7.
Documentation of the History
http://childabusemd.com/documentation/documenting-history.shtml
Medical Record Documentation of Disclosures
- Who is in the room
- What questions were asked prior to disclosure
- Use quotes only if really a quote
Physician Testimony
- Hearsay (Federal Rule 802)
- Exception---statements for purposes of medical diagnosis or treatment
- Crawford v. Washington
- Any statement deemed testimonial is not admissible
- Statements made where an objective witness would reasonably believe that the statement would be available for use at a later trial
http://www.law.cornell.edu/supct/html/oz-9410.ZO.html
Documentation of the Physical Findings
How would you describe a rash?
- Morphology (shape of the lesion)
- Configuration (arrangement of lesions)
- Distribution (which body site)
| Describe | |
|----------|---|
| Morphology: Round, punched out, halo
Configuration: Symmetrical, individual
Distribution: Dorsum of feet | |
| Interpret | |
|-----------|---|
| CIGARETTE BURNS
- Suspicious for abuse
- Consistent with inflicted injury
ECTHYMA
INSECT BITES
PYODERMA
FRICTION BLISTERS | |
| What do you see? | |
|------------------|---|
| | |
| Describe and Interpret | |
|------------------------|---|
| Morphology: Flat, irregular shaped to oval shape
Configuration: Symmetrical, both ears
Distribution: Backs of ears and inside auricles
BRUISES
- Suspicious for abuse
- Consistent with pinching |
Describe Subtle Grab Marks
Subtle Findings
Don’t forget to describe normal findings.
Document findings objectively, presence and absence.
Pitfalls of Documentation
Case
- A 5 month old baby presents to the office with “red eyes”
- Full term (40 week gestation) G1P1 24 year old
- Chief complaint---red eyes
- PMH--work-up for FTT beginning at 2 months, breast fed baby
Growth Curve
http://www.childabusemd.com/laboratory/failure-to-thrive.shtml
Physical Examination
Social History
- Parents are together, although previously the mother had been living in a shelter because of domestic violence concerns.
- Father has been looking for steady work.
Further History
- Appeared suddenly
- Was sleeping in parent’s bed and noticed the eyes in the morning
- No illnesses at home
Rib Fractures
The most common type of rib fracture resulting from child abuse is a posterior rib fracture.
Rib fractures are usually asymptomatic and are not associated with external bruising.
Rib fractures are usually not displaced and therefore may not be detected initially on plain films.
- Callus formation occurs 7-10 days after the injury.
- Birth injury rarely causes rib fractures.
How do you put this information together?
- Describe the eye
- Describe the growth curve
- Describe the history
- Describe the rib fractures
- Interpret all findings
Pitfalls
- Neglecting record review
- Interpreting one finding at a time (eye might be normal)
- Forgetting to document the LACK of history to account for findings
- Over-interpreting findings (e.g., rib fractures are not from birth)
Over Interpretation
Less is sometimes more.
Poor Documentation
It’s a legal record!!!
3 Days After the Assault
Documentation of the Physical
http://childabuseemd.com/documentation/documenting-findings.shtml
Photos and X-rays
Social Services Law
- Social Service Law Article 6, Title 6:416.
"... Any person or official required to report cases of suspected child abuse and maltreatment may take or cause to be taken at public expense photographs of the areas of trauma visible on a child who is subject to a report and, if medically indicated, cause to be performed a radiological examination on the child."
Parent’s Rights
- Van Emrik v. Chemung County Department of Social Services, 911 F.2d 863 (2d Cir. 1990)
- X-rays without the parents’ consent or a court order violated the plaintiffs’ procedural due-process rights.
- X-rays were not “medically indicated.”
- The purpose of the x-rays “was not to provide medical treatment to the child, but to provide investigative assistance to the caseworker.”
- X-rays of the child may not be undertaken for investigative purposes at the behest of state officials (w/o parental consent) unless a judicial officer has determined, upon notice to the parents and an opportunity to be heard, that grounds… exist and that the administration of the procedure is reasonable…
Analysis of Physician Opinion Statements
Writing Your Opinion in a Statement
- A report or letter may be written by a health care provider about a child or children suspected of having been abused.
- Intended to inform future medical care for the child and legal decisions related to the case, including court proceedings.
- May be called by names, such as an impact statement.
- Some use the medical record or report with a separate section for the final statement.
Man M, Schyver CP, Sautter MM, Jacobs J, Lingard L. Current practices in writing child abuse and forensic reports: A preliminary exploration. Child Abuse & Neglect. 2009; 33: 679-683.
“…because of poor parental compliance regarding the medication, this case ultimately would come under the realm of child abuse, specifically child neglect…”
“Unless there could be some form of compliance with the medication regimen and control of the child’s seizure disorder, this child is at risk for status epilepticus which could result in irreversible brain damage and also possibly death. It is my opinion that this child should be placed in (a) foster home placement so that compliance with medication could be assured.”
Anne Fadiman, *The Spirit Catches You and Fall Down*. Copyright: Farrar, Straus and Giroux, 1997
“Impact” Statement
- [http://champprogram.com/question/24.shtml](http://champprogram.com/question/24.shtml)
Components
- Introduction
- Body
- Formulation
- Summary
Case
- A seven month old presents to the ED with genital bruising.
- His mother noticed it earlier in the day when she came home from work and states that he was fine when she left in the morning.
- The baby was in the care of the father all day and the father denies any accidental injury. No one else was home except a 4 year old sibling.
- He is brought to the OR for suspected inguinal hernia but the operation is aborted due to hemorrhage into the scrotal tissues.
- Forensic evidence was not collected.
- There is a small bruise on his forehead and two small bruises on his chest. Coags were negative but LFTs revealed an SGPT of 98.
- Child Protective Services has talked to the parents and are trying to determine whether he can go home with them.
Genital Bruise
No history of accidental trauma
Introduction
- Baby X is a 7 month old male that I examined in the afternoon on May 4, 2011. He was admitted to the pediatric unit at the GCH for evaluation of bruised genitalia. I was asked to consult because of a concern regarding suspected non-accidental trauma.
- I reviewed the records from the ED as well as his primary care and birth records.
Components of the Intro
- Describe how you know the patient.
- State the referral source and when you performed an examination or reviewed records.
Body
- Baby X had been well until the day that he presented with the bruises. His examination revealed red and purple bruising over his left scrotum and a dark purple bruise under the scrotum. The genital area was very swollen and tender to touch. There was noted to be a very poor bowel function test. This degree of elevation is associated with abdominal trauma. There was also a large subcutaneous hematoma (approximately 4 cm in diameter and red in color). He was taken to the operating room to determine if he had a hernia and it was determined that there was no hernia. However, an extensive amount of bleeding was observed in the tissues.
- Bruising on this relatively protected area of a diapered baby that is not able to walk is highly suspicious to the clinician for abuse. There is no history of injury and no medical cause is highly unusual. Bruises to the head and chest of an infant are also suspicious for non-accidental trauma.
- Based on the information from the parents, the injury most likely occurred on the day the child was brought to the ED.
Body
- Provide the presenting complaint (brief history), describe the physical findings and define the medical issues. List tests performed, treatment given and what tests are pending. Describe the issues that cause concern.
- For non-accidental trauma, discuss concerns such as missed medical appointments with provider/specialty clinics, non-compliance with medications, poor dietary intake despite feeding, etc.
- Explain the usual mechanism for an injury and whether the history explains the finding. For neglect, discuss normal growth, development and expected parental responses or other explanations for the condition.
- Make a statement regarding time frame since the abuse or since the neglect began.
Formulation
- In my opinion, the baby has suffered from non-accidental trauma. The combination of bruises, evidence of liver trauma and lack of history of accidental trauma indicate that physical abuse has occurred.
Formulation
- Give your opinion regarding the finding or the patient’s general well-being.
- Explain what this opinion is based on (if you can say). Balanced objectivity is necessary but should support your opinion.
- Each injury might best be described separately or under separate headings.
- Depending on the context, “suspicious for” is often less convincing than “consistent with” or “indicates.” If you are unsure, “suspicious for” allows for uncertainty. In the case of abuse, these words can be used, but words like “suggests” to support the idea that an injury is not accidental, “highly suggests” to be accidental or “indicates” non-accidental injury are more persuasive.
Summary
- Although these bruises were not life-threatening in this case, long term sequelae from genital bruising, such as loss of function of the testes, may occur.
- The findings indicate substantial risk of serious physical injury.
- Since we were unable to do tests for forensic evidence, it remains uncertain regarding the possibility that the finding of bruises to the genital area represent findings from sexual abuse.
Summary
- Explain if the finding is severe or life threatening. Describe the risks due to complications.
- For neglect, describe the negative impact of the parent’s inability or unwillingness to follow medical treatment for the child. This should include the range of medical risk factors.
Statements Should
- Describe the situation and your relationship to the patient.
- Use layman’s terms to describe medical issues.
- Clearly define your concerns in terms that are meaningful to the court and child protective services.
- Answer questions that CPS has asked.
- Identify your opinion if you have one, but refrain from outright advocacy if possible.
- Usually outline next steps for medical and/or legal needs.
## Say What You Mean
| Word or Phrase | Meaning | Misinterpretation | Use instead |
|----------------|---------|-------------------|------------|
| Assault | Violent act causing injury | Unintended | Discuss relationship to child (victim) |
| Intent | Complex, whole, mental | Unintended | Neglect |
| Rape | Legal term meaning act(s) to penetrate | Legal definition is penetration | Describe history or physical examination |
| Rule out | To determine or exclude a possibility | Diagnosis was eliminated | Describe the diagnosis (i.e., abuse) |
| Repeatedly | Occurring in a series or repeat | Diagnosis was eliminated | Describe the diagnosis, “past abuse” |
| Inappropriate | Denoting wrong use of something | Legally made a legal report but not proven – just an opinion | Describe there are suspicions |
| Consistent with | Scientific word meaning agrees with another | Legally may represent a higher degree of certainty | “typical of,” “symptomatic” |
| Nondiagnosis | Medical information does not help in determining whether an injury or exposure are true | No evidence | State evidence of the behavior or dictionary are consistent with abuse and that a neutral claim is consistent with abuse |
Reference: Spitz F, Belsky W, Schuyler CS, Lingrell L, Mean M. Accountability and order: Crossing borders in child abuse forensic reports. Technical Communication Quarterly. 2014; 23(5):488-503.
## Documentation Tips
- Avoid jargon
- Create a written chronology of information
- Describe injury by stating facts and estimate degree of force
- Avoid assignment of “intent”
- Differentiate natural disease states
- Differentiate accidental and non-accidental
- Admit uncertainty
- Consider pointing out limitations of the report
David TJ. Avoidable pitfalls when writing medical reports for court proceedings in cases of suspected child abuse. Arch Dis Child. 2006 Sep;91(9):797-803.
As we must account for every idle word, so must we account for every idle silence.
~ Benjamin Franklin |
REPORT OF THE VIRGINIA DEPARTMENT FOR THE AGING IN COMPLIANCE WITH THE CODE OF VIRGINIA §2.2-5510.4
Second Annual Summary of Reports on Progress in Addressing the Impact of the Aging Population by State Agencies
TO THE GOVERNOR AND THE GENERAL ASSEMBLY OF VIRGINIA
REPORT DOCUMENT NO. 162
COMMONWEALTH OF VIRGINIA
RICHMOND
2009
# Second Annual Summary of Reports on Progress in Addressing the Impact of the Aging Population by State Agencies
## TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| EXECUTIVE SUMMARY | ii |
| INTRODUCTION | 1 |
| Report Mandate | 1 |
| Reporting Requirements | 1 |
| Past Reports | 1 |
| Demographics of the Aging Population | 2 |
| Why This Report Continues to be Important | 4 |
| SERVICES TO AN AGING POPULATION | 6 |
| IMPACT OF AGING ON THE STATE WORKFORCE | 17 |
| RECOMMENDATIONS AND CONCLUSION | 24 |
| Recommendations | 24 |
| Conclusion | 26 |
| APPENDIX A Code of Virginia §2.2-5510 & Code of Virginia §2.2-604.1 | 27 |
| APPENDIX B Instructions for the Online Survey | 28 |
| APPENDIX C Agencies Responding to the 2008 Online Survey | 29 |
| APPENDIX D Online Survey Questions | 31 |
2009 Summary Report on Impact of Aging Population on State Agencies
EXECUTIVE SUMMARY
Background:
The Virginia General Assembly has directed all state agencies to designate staff to review agency policies and programs and identify opportunities to make them more accommodating to seniors and persons with disabilities (§2.2-604.1). Agencies are further mandated to analyze the impact that the aging of the population will have on its ability to deliver services and report to the Virginia Department for the Aging (VDA) on how the agency is responding to these changes. VDA is then directed to submit a report summarizing the progress made by the agencies to the Governor and the General Assembly by June 30 of each year (§2.2-5510). In order to make the submission of data less burdensome, in 2008 VDA asked agencies to submit their reports through an online survey. This document represents the second annual summary report prepared by VDA and is based on the 81 individual agency reports submitted in 2008.
This annual analysis and reporting has been incorporated into the mandated strategic planning process for all agencies in recognition of the aging of Virginia’s population. Demographic projections show that by the year 2030, the number of Virginians age 65 and older will double from approximately 900,000 today to just under 1.8 million and will grow from 12 to 18 percent of the total population. Sometimes referred to in popular literature as the “silver tsunami,” it is anticipated that such a dramatic shift in the age profile of the Commonwealth will have an impact on many aspects of life for young and old alike. State agencies must be prepared for this change if they are to continue carrying out the business of government efficiently and providing needed services to all Virginians even as the population and their own workforce ages.
Report Findings – Services:
In response to survey questions, 73 percent of the 81 responding agencies reported that they currently provide some services or programs that are used by citizens aged 60 and older. These cover a very broad range including such diverse services as: meals programs, transportation, health care, emergency preparedness, protection from fraud or abuse, educational programs, arts and cultural opportunities, and many others. Half of the state agencies believe the aging of Virginia’s population will impact their ability to deliver services while over a third report no anticipated impact.
Agencies were also asked to report on their efforts to develop or expand services to address future needs and any new activities undertaken related to the aging population since they submitted their 2007 reports. It is encouraging to note that several agencies highlighted recent activities to provide targeted information for seniors, increase emergency planning for this population, bolster the healthcare workforce, and develop educational and cultural opportunities specifically for this growing population. However, several agencies also took the opportunity to express concern with their ability to meet increased demand for services from the older population and/or concern with the likely loss of experienced staff due to retirements.
Report Findings – Workforce:
Similar to the reports submitted in 2007, a clear majority of state agencies (72%) confirmed in the 2008 reports that the loss of older employees will have a significant impact on agency operations. On a positive note however, more agencies (83%) reported specific succession planning strategies in 2008 than reported such strategies in 2007 (77%). In addition, a majority of agencies reported having specific strategies to retain employees approaching retirement and to recruit employees to replace those who have retired. Clearly, state agencies are aware of this workforce trend and are taking some steps to mitigate the negative consequences.
Conclusions & Recommendations:
Agencies responding to the online survey were asked to select from a number of activities that potentially would be helpful as they prepare to serve an aging population: 74% report being interested in sharing best practices among agencies on dealing with an aging workforce; 67% have interest in data about how the population will change in the coming decades as well as how the next generation will differ from today’s seniors; 64% would like training on how the next generation of employees will differ from the baby boomers; 58% are interested in more information about what other agencies were doing to prepare to serve an older population; and some agencies offered specific suggestions regarding training, information or policies that could support their efforts to provide services to a changing population.
The Department for the Aging’s overall recommendations remain essentially unchanged from the 2008 report. These include:
- State agencies could benefit from and are interested in information and training to help them prepare to serve an aging population.
- Almost all agencies are concerned with the aging of the state workforce and although many are working to mitigate the loss of knowledge and experience, the Commonwealth should help agencies learn effective knowledge transfer strategies and share best practices in workforce management.
- Each Secretariat or state agency should be encouraged to conduct an internal assessment of their ability to serve an aging customer base as well as their aging related workforce strategies. Each agency is an expert in its subject area and is therefore in the best position to determine if current preparations are sufficient to meet the challenges ahead.
The eighty-one (81) reports submitted by state agencies pursuant to §2.2-5510.4 present a mixed but somewhat encouraging view of agency preparations. While some agencies are taking innovative and targeted steps to address the future needs of an older population, others report that they have undertaken limited or no activity specifically designed to prepare for this change. As in past years, there are a minority of agencies that seem to be unaware of the broad implications of the impending age wave. The challenge for the Commonwealth remains - to ensure that all agencies are realistically planning for the future and will be well positioned to continue to serve the Virginia of tomorrow.
INTRODUCTION
...the extent of the impact [of an aging population] will ultimately be determined by State policy-makers. This is because in most cases, increases in service provision are not inevitable, but instead rest upon policy choices about the role of the State in ensuring a minimum safety net, and what minimum quality of life for older Virginians is considered to be desirable, necessary, or affordable.
“The Impact of an Aging Population on State Agencies” 2006.
The Joint Legislative Audit and Review Commission
Report Mandate
This report represents a summary of the eighty-one (81) reports submitted in the Fall of 2008 by agencies of the Commonwealth to the Virginia Department for the Aging (VDA) in compliance with the Code of Virginia §2.2-5510.4. This section of the Code requires each state agency to prepare a report annually on the impact of the aging of the population on their ability to provide services. VDA, in turn, is directed to prepare a summary report for submission to the Governor and General Assembly by June 30 of each year. The 2008 General Assembly extended the sunset clause for §2.2-5510 to the year 2013, thereby continuing this reporting requirement. Also required in §2.2-604.1, agencies are to designate staff to review agency policies and programs and identify opportunities to make them more accommodating to seniors and persons with disabilities. (See Appendix A for a copy §2.2-5510.4 and §2.2-604.1).
Reporting Requirements
Requirements for the reports to be submitted by state agencies in 2008 were developed by VDA with input from the Office of the Secretary of Health and Human Resources. The information requested and the reporting format was substantially different from what was requested for the 2007 agency reports. To make the submission of data less burdensome, VDA asked agencies to submit their reports through an online survey program. Based upon feedback from a number of agencies, the online submission process was easier and required less time than the previous reporting format.
The online survey was divided into four sections. These sections included 1) questions about the agency and the impact an aging population will have on the activities and services the agency provides, 2) the impact of an aging workforce on agency operations, 3) information or training that might be helpful as the agency prepares to meet these demands, and finally, 4) instructions for submitting the report. See Appendix B for a copy of the reporting instructions.
Past Reports
The 2006 Session of the General Assembly enacted HB 110 and HB 854 requiring state agencies to report in response to House Document 10 (2006): *Impact of an Aging Population on State Agencies*. This document, prepared by the Joint Legislative Audit and Review Commission (JLARC), found that most state agencies were not prepared to deal with the impact of the aging population. These two bills required agencies to (i) designate staff to review agency policies and programs and identify opportunities to make those
policies and programs more accommodating to seniors and persons with disabilities; (ii) include in agency strategic plans, under COV §2.2-5510, an analysis of how the aging of the population impacts the agency and how the agency is responding, and (iii) report to the Governor and the General Assembly on the agency’s progress in addressing the impact of the aging of the population.
In the House Document 10, JLARC determined that “……the state is not well positioned to meet a potential increase in demand for services…..” However, this report went on to say that the impact that the aging population will have upon state agencies in future years is not always clear because the extent of the impact will ultimately be determined by State policymakers. “This is because in most cases, increases in service provision are not inevitable, but instead rest upon policy choices about the role of the State in ensuring a minimum safety net, and what minimum quality of life for older Virginians is considered to be desirable, necessary, or affordable.” JLARC further suggests that in addition to an increase in the older population, there are a number of factors that will also affect the future demand for services from state agencies including trends in health and disability rates, the availability of state funding, the ability of older Virginians to pay for services, and the availability of family and informal care providers.
In 2007, eighty-eight (88) agencies submitted reports as required by §2.2-5510. This was the first year agencies were required to send their reports to VDA for inclusion in a summary report. Many agencies reported providing specific and valuable services to today’s seniors and the majority of these reports reflected concern about the growth of Virginia’s older population. Few agencies, however, reported specific plans to expand or develop new services, activities or processes to meet the future impact of the aging population. However, almost all of the 88 agencies did report being acutely aware of the aging of their own workforce and the probable loss of knowledge and experience as retirements increase. Some agencies reported developing strategies to minimize the effect of this loss while others expressed concern but did not report any succession planning activities. To see VDA’s summary report (Report Document 191, 2008) and all individual 2007 state agency reports go to: http://www.vda.virginia.gov/HB2624.asp.
**Demographics of the Aging Population**
**Population Growth**
The aging of the Baby Boom generation coupled with an increasing life expectancy will bring significant changes to life in the Old Dominion. By the year 2030, the number of Virginians age 65 and older will more than double from approximately 900,000 today to just under 1.8 million; and as a percentage of the population will rise from 12 to 18 percent. While Virginia’s total population is expected to increase by 39 percent from 2000 to 2030, the under 65 population is projected to grow by 28 percent while the over 65 population will grow by an amazing 125 percent during the same period.
Another telling comparison is that Virginia’s school age population (ages 5 – 19) is anticipated to grow by 29 percent in the first three decades of this century while those over age 85, the fastest growing segment of the population, will increase by a stunning 150 percent. In the year 2030 the number of school age children in the Commonwealth (1,896,251) will be only slightly larger than the number of Virginians over age 65 (1,780,175).
While age 65 is generally considered the traditional retirement age, age 60 is the point at which individuals become eligible for many “senior services” funded by state and federal dollars. By the year 2030, approximately one in four Virginians will be over the age of 60. The analogy commonly used to describe Virginia’s future is that by 2030 the Commonwealth will look much like Florida does today. In popular literature this expected “age wave” is sometimes referred to as the “silver tsunami” as it will likely impact everything in its path.
Figure 1
Growth of Virginia's Population Age 60 & Older
| Year | Population |
|------|------------|
| 2000 | 1,065,502 |
| 2010 | 1,419,588 |
| 2020 | 1,913,457 |
| 2030 | 2,301,376 |
Data as reported by the Virginia Employment Commission
But it is not just the growth of the older population that will impact our Commonwealth. It is how these older Virginians will function. As stated previously, the greatest growth rate will be among those persons 85 years of age or older. This is the group of individuals who are most likely to need assistance in maintaining their independence in their homes and communities. This surge in the number of the “oldest old” will likely have a significant impact on the Commonwealth’s long-term care services system. Not only will traditional “senior services” be impacted, but so will the wide variety of services provided through Virginia’s state agencies. Not just human services, but taxation, transportation, recreation, public safety, and many other services and programs that the Commonwealth provides to its citizens.
**Race/Ethnicity**
Coupled with the general growth of Virginia’s older population, racial and ethnic minorities are making large demographic gains in the Commonwealth’s population. As this growth continues, the future may see minority groups gain the demographic majority in some regions of the Commonwealth. Virginia’s older population (age 60 and over) increased by 17.1 percent between 1990 and 2000 but older Virginians of racial and ethnic minority groups (i.e. all non-whites and white Hispanics) grew at twice the rate of older white, non-Hispanic Virginians over that decade, reflecting the increasing diversity of the total population. Almost 20 percent of Older Virginians are a racial or ethnic minority. As Virginia’s population continues to age, the racial and ethnic composition of its older population will more closely resemble the greater racial and ethnic diversity of today’s younger population.
**Economic Security**
Poverty rates also increase with advancing age. According to the 2000 Census, 27% of Virginians aged 85 and older are living in poverty. This compares to less than 10% of individuals of all ages in Virginia who fall below the poverty level. As individuals live longer, more will outlive their savings and increasing health care needs will further strain personal resources, the Medicaid, Medicare and Social Security systems.
**Health Status**
The 2000 Census provided new data on the disability characteristics of the general population that had not been available previously. Virginia’s older population evidenced a slightly higher per capita rate (.8470) of disabilities for the 65 and older population than the national average (.8354). While 58 percent of older Virginians reported no disabilities, approximately 20 percent reported having one disability and another 22 percent reported having two or more disabilities. Some of the predictions of future disease and disability rates assume a 40 to 50 percent increase in chronic age-related conditions such as diabetes and arthritis as the baby boomers age. The rate for the increase in dementia, however, is expected to increase by as much as 60 percent.
**Why This Report Continues to be Important**
So what do these projected changes in the demographic profile of Virginia into the early and even middle decades of the 21st century mean for the agencies carrying out the business of the Commonwealth, particularly for those agencies providing services most
often used by older and disabled citizens? The numbers alone suggest that an aging population will likely impact every facet of life for both young and old, particularly in the areas of health care, human services, education, transportation, housing, and employment. This rapid growth will almost certainly increase the demand and the cost of currently-provided state services. Yet today, state and local agency staff report being unable to meet even current levels of service demand.
Added to this concern, agency staff, as well as older citizens often describe Virginia’s approach to service delivery as a “patchwork” or fragmented system of care. A series of studies in recent years have documented this fragmentation of services for older Virginians. These include studies by the Secretary of Health and Human Resources in 1992, the Joint Commission on Health Care in 1998, and the Joint Legislative Audit and Review Commission in 1999 and 2006.
The basic question remains unchanged since the 2008 report: Are state agencies preparing for the impact of the aging of the Commonwealth’s population and will their efforts be sufficient to meet the challenges? This report will share some of the current preparations that selected agencies are making, and plan to make, to address this demographic shift, including the impact on state agency employment patterns. This information should serve as a basis for further discussion and increased planning by state agencies. The report will also make general recommendations about actions that can be taken now to enhance state government preparations for this unprecedented change in the Commonwealth’s population.
SERVICES TO AN AGING POPULATION
A review of existing services indicates that the State is not well positioned to meet a potential increase in demand for services, because existing services are provided through a patchwork approach that does not consistently provide appropriate services.
“The Impact of an Aging Population on State Agencies” 2006.
The Joint Legislative Audit and Review Commission
In 2008, state agencies were asked to respond to an online survey to complete their report pursuant to §2.2-5510.4. See Appendix C for a list of state agencies that responded to the online survey). The first survey question asked agencies to check the choice that best described who they served. Below is the question along with the number of the agencies responding to the survey that chose each option (see pie chart below). Also see Appendix D for a copy of the survey.
Questions #1: Check the choice that best describes your agency:
A. This agency does not provide programs or services directly to citizens of the Commonwealth.
(11 agencies responded)
B. This agency provides programs and services for children only.
(2 agencies responded)
C. This agency provides programs and services for Virginians of all ages which are also used by persons age 60 and older.
(39 agencies responded)
D. This agency serves Virginians of different ages but also provides one or more programs specifically designed for Virginians age 60 and older.
(20 agencies responded)
E. None of the choices describes this agency.
(9 agencies responded)
Agencies responding to option E included several of the institutions of higher education (although not all universities chose this option), the Virginia Port Authority, the Virginia Board of Accountancy, the Tobacco Commission, the Department of Employee Dispute Resolution, and the Department for the Aging. The Department for the Aging’s response in this category acknowledges that it is the only state agency exclusively devoted to serving Virginia’s aging population (citizens age 60 and older).
It is not surprising that 73% of the responding agencies provide some services or programs that are used by citizens aged 60 and older (Question #1 options C and D). After all, older Virginians are perhaps the most dissimilar and varied segment of the population. Older citizens, as well as aging baby boomers, bring a staggering variety of backgrounds and interests to the community. They share many of the same needs and interests as young people, as families with children, as single adults, and any other segment of the population. As a result, they are just as likely to take advantage of a variety of state services as younger Virginians.
**Question #2:** If you checked C or D, describe up to three programs or services provided by this agency and utilized by Virginians over age 60.
The following examples provide highlights from those state agencies that responded to this option. These examples represent only a portion of the activities for 2008 as reported by the agencies and do not include activities from every Secretariat or all the agencies that responded to the survey. However, these examples depict an interesting array of programs and services that are targeted to older citizens by state agencies.
**The Secretary of Health and Human Resources**
The Virginia Department for the Aging (VDA) is the state agency with the sole mission of serving older Virginians. VDA is responsible for planning, coordinating, funding, and evaluating programs for older Virginians made possible through funds from both the federal Older Americans Act and from the Virginia General Assembly. These programs include nutrition, transportation, health, education, and social services to improve the quality of life for older Virginians. The department also provides counseling, assistance, and referral related to legal issues, consumer fraud, insurance and long-term care. VDA oversees a network of 25 local Area Agencies on Aging (called AAAs) established under
the auspices of the Older Americans Act which are designed to assist older persons and their families.
The Virginia Department of Social Services (VDSS) provides a variety of services for Virginians age 60 and older including services that assist older persons in remaining independent in their own homes. Two examples of these programs include: Adult Protective Services (APS) investigates reports of abuse, neglect or exploitation of adults age 60 or older and incapacitated adults age 18 to 59. The Auxiliary Grant Program (AG) provides a supplement to income for recipients of Supplemental Security Income (SSI) and certain other aged, blind, or disabled individuals residing in a licensed assisted living facility (ALF) or an approved adult foster care (AFC) home.
The Department of Medical Assistance Services (DMAS) is the largest health care financing program for the elderly in the Commonwealth. To meet this growing demand for services from the Commonwealth’s rapidly aging population, DMAS has been engaged in a major reform of Virginia’s Medicaid-funded long-term care including the Integration of Acute and Long-Term Care Services, the Program for All-Inclusive Care for the Elderly (PACE), the Quality Improvement Program (QIP) Initiative, and the Consumer-Directed Waiver Services.
The Department for the Blind and Vision Impaired (DBVI) provides an array of services to visually eligible citizens over the age of 60 including Rehabilitation, Teaching, Independent Living, Library Services, and Low vision Services.
The Virginia Department of Mental Health, Mental Retardation, and Substance Abuse Services (DMHRSAS) and its community service delivery system provide geriatric care that includes a variety of clinical services and inpatient interventions that are specifically designed, implemented, and funded to address the unique and complex treatment and support needs of older adults.
**The Secretary of Administration**
The State Board of Elections (SBE) has been piloting and exploring the use of electronic poll books. Localities that have conducted pilot tests in previous elections have determined that the use of these electronic poll books has lessened the time voters have to spend in line waiting to verify their name to receive authorization to vote. This would benefit those older voters with mobility issues who wish to come into the polling place to vote because they perceive that process as more desirable than voting absentee or curbside.
The Virginia Department of Human Resources Management (DHRM) functions to attract and retain a state public workforce proficient at providing services to the citizens of the Commonwealth regardless of age. The programs that are specifically utilized by individuals over the age of 60 include Medicare Coordinating Plan options for employees and retirees, a Medical Reimbursement Account for employees and their eligible family members, as well as a Flexible Reimbursement Account for Dependent Care of Elder Parents that allows employees to set aside part of their salary each pay period on a pre-tax basis to reimburse eligible expenses incurred for the care of a disabled spouse, elderly
parent, or other dependent who is physically or mentally incapable of self-care, so the employee (and their spouse) can work or actively look for work.
**The Secretary of Commerce and Trade**
The Virginia Board of Accountancy (VBOA) is anticipating a dramatic increase in the number of CPAs who will work beyond the age of 65 during the next 20 years. VBOA is working with the Virginia Society of CPAs to address issues by proposing a plan to seek out and address the challenges of keeping Virginia's aging CPAs up to date on all regulations, specifically the CPE units, and the requirements to remain duly licensed by the Board.
The *Department of Professional and Occupational Regulation* (DPOR) places special emphasis on the need to prevent fraud and discrimination against older Virginians. The Department hosts a dedicated hotline for seniors and their families and partners with law enforcement, other state agencies, and private-sector advocates to promote elder fraud prevention and consumer protection for older Virginians. In addition, Department staff offer presentations to senior citizen organizations throughout the Commonwealth.
The *Virginia Department of Labor & Industry* (DOLI) ensures that Virginia is a safe, healthy, and productive place to work and conduct business. Based upon the increase in the aging workforce, DOLI expects to see a greater percentage of older workers in the workforce. DOLI reports recognizing the need to develop programs and services that address the impact of the aging population and they will develop enforcement, training, and delivery systems sensitive to an aging population.
**The Secretary of Agriculture and Forestry**
The *Department of Agriculture and Consumer Services* (VDACS) partners with the Virginia Department for the Aging and local Area Agencies on Aging to operate the Senior Farmers Market Nutrition Program. The program targets low income senior citizens in eleven Virginia counties and seven cities who meet the eligibility criteria who can purchase locally produced fresh fruits, vegetables and cut herbs from local farmers. Additionally, the VDACS Office of Consumer Affairs (OCA) conducts educational outreach efforts that seek to help older consumers make more informed decisions in the marketplace.
**The Secretary of Education**
The *State Council of Higher Education* (SCHEV) administers the Senior Citizens' Higher Education Act that allows older Virginians to register and enroll in college course if their annual income does not exceed $15,000. This program is the primary way that Virginia's institutions of higher education are addressing the growth in the aging population. In 2007, more than 1,800 senior citizens received approximately $1.4 million worth of waivers.
Roughly 10 of Virginia's state colleges and universities also report having some type of life-long learning program available on their campuses. Five of Virginia's colleges and universities also participate in the *Elderhostel* program. Elderhostel offers non-credit courses to persons age 55 and older. Elderhostel is a worldwide not-for-profit organization that provides learning opportunities to more than 160,000 adults each year. Additionally, in July of 2007, SCHEV introduced programs that foster increased attraction and retention
of “non-traditional” student populations (including persons age 60 and older) in postsecondary education. One example of such a program that has been utilized by many senior citizens is the “fast track teacher certification” for retirees who wish to teach K-12 as a second career.
The Christopher Newport University (CNU), in addition to complying with the Senior Citizens Education Act, also operates the Life Long Learning Society. The Society is an affiliate of the Elderhostel Institute Network. Through a variety of activities – including lectures, courses, study and discussion groups, lunches, dinners and field trips, older persons of diverse backgrounds come together to share a common interest in learning.
The Virginia Museum of Fine Arts (VMFA) offers a wealth of programs and services for Virginians over the age of sixty including guided tours, exhibitions, lectures, classes, and performing arts events. They also sponsor speakers on the arts, artist workshops, media programs, and traveling exhibitions throughout Virginia. VMFA’s Docent Program and other volunteer opportunities are available to Virginians over 60.
The Library of Virginia (LOV) Reference Services Department has created a category for the Reading Room Menu: “Resources for Seniors.” This resource will highlight free Internet sources of particular interest to older adults.
**The Secretary of Public Safety**
The Virginia Department of State Police (VSP) has established the Senior Alert Program (www.vasenioralert.com) to locate missing seniors who may wander into danger. The program provides a publicly available Internet location to post a photograph and information regarding a missing senior adult.
The Department of Criminal Justice Services (DCJS) is engaging in a number of activities aimed at addressing the growing older population including the Alzheimer’s Disease Training for Law Enforcement Personnel and the TRIAD program.
The Department of Alcohol Beverage Control (ABC) sponsors, participates in, and collaborates in meetings with key state stakeholders and organizations concerned with alcohol abuse among Virginia’s older adults through the formation of the Alcohol and Aging Awareness Group (AAAG). ABC will continue to promote awareness through media activities. The prevention message conveyed will indicate the potential risk factors involved with alcohol and medication consumption by older adults and list the pertinent resources available.
The Virginia Department of Corrections (DOC) has developed a Master Plan for Health Care Services for the General Assembly. They have developed a “geriatric prison” that is preplanning for a dementia unit, hospice, skilled care, assisted living, and auxiliary units. DOC will make every effort to provide on-site care for geriatric specialty areas such as x-ray, optometry, orthopedics, and various therapies such as speech, physical and occupational. Recreation areas are expanding to include appropriate outside activity areas. Planning for transition to the community will be expanded as will the DOC’s ability to obtain arrangements for nursing homes for older prisoners being released.
The Virginia Department of Correctional Education (VDCE) offers educational services in adult correctional centers throughout the state of Virginia. Students who are 65 and older have access to academic, vocational and transitional educational services/programs. As these students get older, VDCE reports they will have to modify the learning/educational materials to accommodate their needs. Transitional services will have to be modified to provide information that can be useful to seniors prior to and after their release from prison. Large print publications can be found in most libraries located in adult facilities.
**The Secretary of Transportation**
The Virginia Department of Transportation (VDOT) is aware that the number of drivers 65 and over in Virginia continues to increase. VDOT’s Older Driver Initiative program is directed towards helping motorists by utilizing enhanced visual aids—signs, signals, roadway lighting and markings. VDOT now uses pavement markings that enhance wet and night visibility in construction zones; construction zone barrels that provide a heightened visibility; and glass curb reflective markers to delineate medians at certain locations.
The Department of Rail and Public Transportation (DRPT) indicates that the growth in the aging population will increase the demand for public transportation and private agency transportation because many members of the senior population will not be able to drive themselves. The DRPT program that impacts senior citizens is the Federal Transit Administration (FTA) program called “The Elderly Persons and Persons with Disabilities Program (Section 5310).” In addition to administering Section 5310, DRPT has established the Interagency Transportation Coordinating Council to promote interagency cooperation (including transportation services for the elderly) at the state level.
**Other**
The Virginia Retirement System (VRS) is experiencing a demand for increased services and plan offerings. Increased boomer retirees and active members will demand different services, delivery channels, and financial education. To address the increased service demands, VRS has engaged business partners (third party administrators) to assist with the delivery of the more specialized program services needed to support the VRS benefit programs.
**Question #3: Do you believe the aging of Virginia’s population will impact your agency? If so, please explain.**
Half of the state agencies (42) reported that the aging of Virginia’s population would impact their operations while twenty-nine (29) reported no anticipated impact. Ten (10) agencies had no response to this question or were unclear as to the potential impact.
The following are some of the concerns reported by responding agencies:
The Virginia Museum of Fine Arts responded that while Virginians over 60 have always been an important and large part of their membership, participation will continue on an upward trend and older citizens will be interested in increased opportunities for life long learning at the VMFA.
The Virginia Department of Motor Vehicles requires drivers to come in at age 80 to renew their driver’s license in person and includes a vision test (or a vision report from an eye-care practitioner). As more Virginians remain active drivers longer, DMV expects medical issues such as vision to play an increased role in determining someone’s ability to remain licensed.
The Virginia State Police acknowledges that the Baby Boom generation will create new challenges. As the elderly population increases, elder abuse and other crimes against the elderly will almost certainly increase. Older drivers may also present problems for the law enforcement community. The number of seniors suffering from dementia is expected to rise, and the majority of those people will wander at some point during the course of their disease. According to the Alzheimer’s Association, in central Virginia alone, more than 40,000 people suffer from dementia; sixty percent of them will wander.
The Virginia Department of Social Services will see an increase in the aging population which could result resulting in a de-facto rationing of adult protective and supportive services. From SFY 07 to SFY 08, APS reports rose 6.0%. The costs of providing services to stop or prevent adult abuse and neglect are climbing fast. State and local budget cuts are hindering the local DSS’s ability to fill vacant social worker and supervisor positions, thereby expanding already large case loads. Federal minimum wage increases for home-based service providers - combined with rising demand and local budget pressures - have stretched these agencies’ ability to meet demands for services. Many
have been forced to cut services or service hours for elderly and disabled individuals. In addition, demand for Medicaid, Food Stamps, and fuel assistance programs will continue to grow as health care, food and fuel costs rise and retirees with fixed incomes have difficulty affording basic necessities.
The *State Council of Higher Education In Virginia* is now beginning to address the needs of a growing elderly population by training a workforce that can provide those needs. According to a recent report prepared by the Governor’s Health Reform Commission, it is estimated that by 2020 there will be a shortage of approximately 1,500 physicians in the Commonwealth. There is a similar projected shortage for nurses and trained care givers.
The *Department of Correctional Education* is facing older students and will have to modify their learning/educational materials to accommodate their needs of older students. At the schools that have an older population, DCE will also have to modify the kinds of vocational programs that they offer so that the older students will remain safe and will not injure themselves with tasks that may be too physical in nature. Transitional services will have to be modified to provide information that can be useful to our seniors prior to and after release from prison.
The *Virginia Retirement System* expects an impact on the demand for services by those citizens who have worked for, retired from, or whose spouse has worked for or retired from state and local governments.
**Question #4:** Based on your response to question #3, please share specific plans to modify, expand or develop services, activities or processes that will help your agency meet the future needs of an aging Commonwealth.
The *Virginia Department for the Aging* is leading the implementation of the No Wrong Door (NWD) initiative. NWD is the Commonwealth’s approach to streamlined access for adult health and human services. The vision of NWD is to have Aging and Disability Resource Centers in every community serving as a highly visible and trusted place where individuals can turn for information on the full range of long-term support options and entry to public long-term support programs and benefits. Virginia’s approach has been to create a virtual ‘No Wrong Door’ network utilizing technology to coordinate access to public and private health and human services, thereby making it easier for consumers to access vital services. This initiative is supported by state and local health and human resource agencies to improve coordination of long-term care services for adults in Virginia. It also provides a web-based system that connects public and private agencies through the internet, allowing sharing of consumer information in a confidential and secure manner.
The *Virginia Board of Accountancy* will provide a special page on the board's new website in early 2009 which will provide guidance to seniors.
The *Virginia Museum of Fine Arts* anticipates developing more programs on site (following the completion of the museum’s expansion plans) as well as increased statewide services (lectures, classes, media programs, traveling exhibitions) to senior centers and facilities throughout Virginia.
The Virginia Department of Fire Programs will work to ensure all adult care facilities are inspected and will work with each facility to ensure they understand the requirements of the Virginia Statewide Fire Prevention Code. Additionally, the DFP will monitor its inspectors’ workloads to ensure the inspector-to-facility ratio is kept at a maintainable level and if the ratio begins to skew, they will modify workloads and/or hire additional inspectors.
The Virginia Department of Military Affairs will evaluate evacuation plans in order to consider the growing aging population in hospitals and nursing homes across the Commonwealth.
The State Council of Higher Education will work to increase the number of healthcare professionals that are available to serve an aging population by increasing the number of faculty available to train those health care providers. In March 2008, the General Assembly, through House Joint Resolution No. 91, established a joint subcommittee to study ways in which the Commonwealth may work more closely with Virginia’s private, nonprofit colleges to meet state higher education needs. SCHEV has worked closely with the HJR 91 committee and feels it would be an ideal vehicle to address the challenges of attracting and retaining nursing faculty at Virginia’s colleges and universities.
The Virginia Department of Emergency Management includes seniors and other special populations in the Commonwealth’s Emergency Operations Plan (COVEOP), promulgated in December 2007. VDEM has also developed a brochure specifically detailing disaster preparedness information for seniors. Likewise, seniors are also encouraged to join the Virginia Citizen Corps, Community Emergency Response Teams and the Reservist Workforce Program, which are managed by VDEM at the state level.
Longwood University will implement a nursing program. Since LU is in a rural area, the nursing program will help train students to work with the aging program by providing training in the local hospital and area nursing homes. This will give students a hands-on experience while learning to care for the aging population in this rural area.
The Virginia Department of Mental Health, Mental Retardation and Substance Abuse Services will expand the role of its Geriatric Leadership Team to advance the Department’s commitment to defining and implementing a Master Plan for Geriatric Services that promotes a standard continuum of specialized service needs for older adults with behavioral health issues. By continuing and further developing collaborative partnerships with key public-private-academic partners, DMHMRSAS will sustain its commitment: to improving service delivery effectiveness and improving access, increasing capacity to the extent possible given available resources, ensuring quality of older adult service outcomes and supports, and providing accountability for older adult service outcomes. The Geriatric Leadership Team will practice facilitative leadership strategies especially suited to self-directed work teams, interdepartmental task groups, and other group situations and will combine efforts between CSBs, facilities, and outside partnerships with public agencies, private providers and the academic community.
Question #5: Identify any new activities to address the aging of the population that your agency has initiated since you submitted the 2007 report.
Agencies provided the following examples of new activities or initiatives:
In August 2008, the Virginia Department for the Aging launched a new web portal, Virginia Easy Access: an on-line resource for seniors and adults with disabilities. It is funded as part of the Commonwealth’s No Wrong Door initiative. Virginia Easy Access provides individuals and caregivers with links to a variety of informational topics of particular interest to seniors and adults with disabilities as well as information about public benefits and programs. Content includes imbedded links that lead the user to more information on every topic. The easy to use web portal also provides individuals and caregivers the ability to search for specific services in their community. Easy Access serves as a gateway to VirginiaNavigator, a listing of over 21,000 programs and services across the Commonwealth, and is supported by 2-1-1 Virginia Call Center Operators 24 hours a day, 7 days a week.
The Board of Accountancy has a new webpage that will provide specific information and links for older Virginians in the areas of tax and financial tips, trust advice, financial literacy, retirement planning, and tax laws affecting seniors.
The Museum of Fine Arts has successfully piloted a tour program for Alzheimer’s patients and their families called Artlinks. This program provides special tours of the gallery to persons with Alzheimer’s disease and their families.
The Department of Fire Programs has a website that now contains fire safety information for the senior citizen population, including a “Seniors and Fire” fact sheet.
The State Council of Higher Education in Virginia is attempting to address the shortage of nursing faculty by conducting a study of salary discrepancies between nursing faculty and nurses in clinical practice. Given the demographic and economic changes since 2002, the agency reports that it was time to reassess the competitiveness of Virginia’s nursing faculty salaries.
The Virginia Museum of Natural History sponsored an exhibit called Amazing Feats of Aging which presented various aspects of aging to all audiences. They also hosted a well-attended series of lectures pertaining to aging including topics long-term care insurance, wills and estate planning, and medical care issues.
The Virginia Department of Labor & Industry is finalizing plans to collect data on the ages of persons who file payment of wage claims with the Labor and Employment Law Division. Collecting such data will enable agency staff to determine how many older persons benefit from their services in resolving payment of wage claims.
The Virginia Housing Development Authority sponsored the 2007 “Affordable Housing PLUS Services – Some Best Practices” conference co-sponsored with the Virginia Department for the Aging and the Virginia Association of Area Agencies on Aging. VHDA
has continued this dialogue by creating an email “broadcast” network of over 130 conference participants interested in developing housing for seniors and others who exchange information and ideas relevant to aging Virginians. In January of 2008, VHDA invited ten persons involved in seniors’ issues from around the Commonwealth to explore whether there was merit in periodically meeting to discuss the housing needs of elderly Virginians. The consensus of those in attendance indicated that they wanted to continue meeting under VHDA’s leadership, and made the following statement: “Successful senior housing must be affordable, accessible, have supportive services and transportation available, and be well integrated into healthy communities”. Based on this feedback, VHDA created a new Seniors Housing Solutions Council that has begun meeting to explore this agenda.
The *Virginia Employment Commission* field offices have formed partnerships with the local Area Agencies on Aging. Most offices have participants from the Senior Community Services Employment Program (SCSEP) working in the VEC offices gaining work experience.
IMPACT OF AGING ON THE STATE WORKFORCE
There is a personnel tornado on the horizon: In more than half the states, one in five employees will be retiring over the next five years.
Governing Magazine, February 2005
By 2025, when most Baby Boomers will have surpassed the 65-year mark, 62.2 million Americans will be classified as senior citizens. The aging of this generation may have serious consequences for most employers. Governing Magazine (February 2006) reports that a business research group estimates that by 2010, 64 million workers…or 40% of the nation’s public and private workforce….will have reached retirement age. Governing Magazine goes on to say the nation’s state governments are facing a serious imbalance in their work forces due to a variety of factors, particularly revenue trends. Today’s baby boomer public employees were hired in record numbers during the 1960s and 1970s when economic growth encouraged state governments to expand their workforce. By the 1990s (and continuing through today), tight budgets have forced many state governments to engage in reduction-in-force strategies. Coupled with the trend towards privatization and early retirement options, many states have been unable to hire younger middle managers who can replace the aging baby boomers. Some economists predict a shortage of 6 million individuals with four-year degrees within the next 10 years.
The impact of the current economic downturn on retirement patterns is not yet known. Many aging baby boomers have seen significant decline in the value of their investments and may therefore be forced to delay retirement. However, depending on how quickly the economy recovers and how many workers proceed with retirement plans, the state workforce may still be facing an unprecedented loss of knowledge, skills and experience in the coming years.
According to the Virginia Department of Human Resources Management [from the 2007 State Workforce Planning Report], the average age of Virginia’s classified employees is 45.8 years old (as of 1/1/07), almost 10 percent of the state workforce is age 60 years or older, and there were 6,416 employees in 2006 (or 8.8% of the state’s employees) eligible for unreduced retirement. The Virginia Retirement System reports that if the current retirement rate continues over the next 10 years, 38,400 state employees will be eligible to retire with an unreduced benefit. This number does not include employees of Virginia’s public colleges and universities that may be enrolled in other retirement plans.
How will Virginia’s agencies prepare for this potential “boomer brain drain”? The majority (77%) of the state agencies reporting under HB 2624 in 2007 had already identified the impact of the aging of their workforce and were taking initial steps to address the loss of their older employees. Most of these agencies also identified those employees who would be eligible for unreduced retirement benefits within the next several years. In 2003, the Governor added workforce planning as a management objective for state agencies. Agency workforce plans identify jobs that are at-risk because of potential retirement or staff loss for other reasons.
For this report, 83 percent of the agencies that responded indicated that they had developed specific succession planning strategies to help them cope with the potential loss of experience and knowledge. This is up from 77 percent of reporting agencies in 2007. More agencies have heard the message about the potential impact of an aging population on their workforce and are developing ways to confront this loss.
**Question #6:** How many staff will be eligible for unreduced retirement from this agency in the next 5 years?
**Question #7:** Will the loss of these employees have a significant impact on agency operations?
Most state agencies have staff eligible for retirement over the next 5 years. This confirms that the state workforce mirrors the Commonwealth’s population as a whole. As the population ages, so does the workforce. Seventy-two percent of the agencies confirmed that the loss of employees will have a significant impact on agency operations. The following are the reports from those agencies with the highest number of potential retirees:
The **Virginia Department of Transportation** will potentially lose 2,200 staff by 2013. Retirement among critical career groups may impact the agency’s core business functions. For example, the Engineering Technology Group will lose approximately 33% to retirement in the next 5 years. Transportation Operations will lose approximately 27% in the next 5 years. The Land Acquisition and Property Management group will lose approximately 37% in the next 5 years. VDOT also reports that it has started to plan and prepare for anticipated demographic impacts of an aging population and to close skill gaps where changes in how they will deliver transportation services to the public will change the way their employees will need to perform their work. Through retirements alone, VDOT faces the potential replacement of more than one-quarter of their workforce in the next 4-5 years. When they evaluate the potential retirements by critical career groups, they have begun to see warning signs. The need for civil engineers, who form the backbone of the technical side of the agency, has suffered from a decade of engineers who elected to retire. While this rate remains high, the exodus has begun to level out and recruitment and development programs have increased the number of engineers in the pipeline for permanent positions.
The **Department of Corrections** reports that 1,323 employees will be eligible for retirement accounting for 11% of their workforce. In 2006 the median age of the DOC workforce was 42.3 years, up from 40.9 in 2002. 26% of the DOC workforce is over the age of 51. Security staff and probation officers are considered part of the Virginia Law Officers Retirement System (VaLORS) and can retire with 25 years of service after the age of 50. Non VaLORS employees can retire with 30 years of service after the age of 50. The Department has already begun succession planning activities. The LEAD (Leadership Enhancement & Development) Council has been formed and has already put into place two significant programs. The second program is “Smooth Start for New Supervisors”. It is a two day program for newly appointed supervisors to attend within 30 days of their appointment. The program is designed to open the window of supervision for new
supervisors and expose them to the basics of supervision, answer their questions, meet with the Director’s Staff, and provide an orientation to the Department’s Strategic Plan.
The Virginia Community College System reports that 1,805 community college employees (31% of the workforce) are eligible for retirement by 2013. In general the colleges’ reported in 2007 that this had not yet become a matter for concern. At those colleges where this was becoming an issue, however, the institutions reported having developed plans to fill those positions. VCCS states they are aware of the possible future demographic implications of an aging population and will monitor employment and retirement trends among the member institutions.
The Virginia Department of Mental Health, Mental Retardation and Substance Abuse Services reports that they depend on a complement of 9,778 salaried and wage employees in a wide variety of classifications (over 125 roles). 687 staff are eligible for retirement by 2013 (17.6% of the workforce). The agency reports that the loss of these employees will have a significant impact on agency operations because of the loss of institutional knowledge and extensive clinical and leadership skill sets that have been developed on the job and in formal/informal training. This will likely adversely affect the ability of the agency to address the needs of Virginians with disabilities on a state and system-wide basis. As the agency’s workforce ages, the Department expects to also experience a decrease in the growth and availability of health care workers entering the service system. The agency reports that the exhaustive effort of recruitment and retaining staff without adequate compensation and career mobility lends itself to a “revolving door” scenario creating extensive overtime and health care service demands that will create a market that requires highly skilled and well-educated workers. It will be critical not only to expand the pool of workers but also to develop future and current personnel in the core competencies that the system will demand.
The Virginia Department of Rehabilitative Services reports that they could experience a total loss of 353 employees by 2013 or 32.7% of its employees. The loss of these employees will have a significant impact on agency operations. Practice wisdom gained through long term experience and the development of knowledge of the trends, successes, and failures in services development could be lost without careful use of the strategies of retaining many employees that are retirement eligible, offering part time work to valued employees after retirement, the careful recruitment and training of new employees, and consistent use of succession planning carried out now in preparation for future changes.
The University of Virginia Medical Center reports that 465 employees will be eligible to retire in the next 10 years. This represents 8.8% of the workforce. Many of these employees are essential professional caregivers (nurses, nurses’ aides, physicians, etc.) who will be retiring over the next few years at the same time as demand for health care services is increasing due to the aging of the baby boomer generation. In fact, roughly 40% of these potential retirees are nurses who are already in short supply. Nurses provide a critical service within the Medical Center that can not be replaced by other workers.
George Mason University reports that 592 employees will be eligible for retirement by 2013 which represents 17.1% of the university’s employees. The impact could be significant particularly in specialized areas such as finance, operations, and administration.
The Virginia State Police reports that 488 employees will be eligible for retirement by 2013 which represents 24.25% of their workforce. All of the executive staff and a significant percentage of key leadership positions meet the eligibility requirements for state retirement through 2013.
The survey further asked the responding agencies to describe their efforts to address the probable loss of so many experienced workers. Questions included the following:
Question #8: Has the agency developed specific strategies to help retain employees who are approaching retirement?
Question #9: Has the agency developed specific strategies to recruit new employees to replace retiring workers?
Question #10: Has the agency developed specific succession planning strategies to transfer knowledge from older workers to younger workers?
Sixty-two percent, or 50 agencies, reported that they had developed specific strategies to retain employees approaching retirement. Sixty-three percent, or 51 agencies, also reported developing specific strategies to recruit employees to replace those who have retired. And finally, 83 percent, or 67 agencies, reported that they had developed succession planning activities to transfer critical knowledge from older to younger employees.
Figure 4
State Agency Workforce Impact of Retirements
Percentage Response
Will Have Significant Impact | Strategies to Retain | Strategies to Recruit | Succession Planning Activities
2009 Summary Report on Impact of Aging Population on State Agencies Page 20
The following agencies represent the variety of strategies and activities used by the Commonwealth’s agencies:
The Virginia Information Technologies Agency uses flexible compensation guidelines, as defined by the Department of Human Resources Management, to retain talented employees. Other strategies such as alternative work schedules, “teleworking”, and enhanced employee recognition programs have been developed to recognize employee contributions and retain employees. Cross training, mentoring, and staff development are other strategies in helping to retain employees.
The Virginia Department of Social Services has several strategies to ensure that knowledge transfer is occurring from older workers to younger workers. DSS recently obtained a portal to the state’s Knowledge Center, which has discussion forums and collaborative areas, allowing employees who have expertise in certain areas to share it with others. Expertise can also be shared via chat rooms and the library, where references, research materials, and links to information and learning resources are located. Use of the Knowledge Center is self-paced; employees can read articles on various topics and listen to previously delivered training. The Lecture Hall houses audio, video, and collaboration opportunities including multimedia presentations and chat rooms. The Conference Center is a virtual exhibit hall, with technology presentations, technical papers, and product and services overviews. PeerNet, a part of the Knowledge Center, is a searchable repository of users who make their expertise available to others. An individual’s listing contains contact and professional information highlighting skills and expertise. Another strategy is the Virginia Social Services Leadership Academy, now in its second year. This year, participation was expanded to both state and local DSS employees to prepare them for senior leadership positions. It was established to identify and develop future leaders to ensure that we continue to have high quality leadership to achieve the agency’s mission. Participants make a year-long commitment to the program. Methodologies include an ongoing self-assessment, highly interactive classroom instruction, individual mentoring, and small group projects. Mentors for the first participants included a city manager, four deputy county executives, a school superintendent, and a variety of private and public agency executives. Several graduates of the first academy have filled leadership positions to replace retirees.
George Mason University maintains a reputation as an innovative and dynamic university with comprehensive benefits and a balanced work/life approach to employment including flexible work opportunities, affinity groups, commuter assistance, outstanding reward & recognition programming, and comprehensive personal and professional training and development opportunities. Additionally, their geographic location, near Washington D.C., provides a rich, diverse, and a highly trained candidate pool.
The Department of Correctional Education has implemented the following strategies to retain aging employees and recruit new employees. Training Programs: with the help of the DHRM Knowledge Center, an extensive number of management training classes have been offered to DCE employees. Staff development workshops are also offered 3 times a year. Whenever funding is available, the agency has offered employee incentives including competitive salary offers, tuition reimbursement, free training, and bonuses in an
effort to recognize and retain highly qualified employees. Future strategies when funding is available will include a pay differential to teachers who teach Math or Science. DCE would also like to offer “stay interviews” to current employees.
The Department of Human Resources Management uses “telework” agreements, 32-hour workweeks, and alternative work schedule agreements as incentives to enhance family/work life balance.
The Virginia Retirement System already uses a viable career progression path that begins with the hiring of college interns on a wage (hourly basis) and progresses to full-time positions as Investment Analyst, Senior Investment Analyst, Investment Officer, Senior Investment Officer, Portfolio Manager, and Program Director. The VRS Customer Contact Center is developing career paths using competency models and plans to implement a “pay for skills program”.
The University of Virginia Medical Center is offering more flexible scheduling options that minimize night and weekend shifts. Additionally, they have modified the definition of part-time employment in order to allow retired workers to return to work for up to 29 hours/week instead of the traditional 20 hours.
The Virginia Museum of Natural History has developed a strategy that allows a retired museum curator to be designated a curator emeritus which is a volunteer position that allows them to continue their research work.
The Virginia Department of Education uses phased retirement to promote part-time and quasi full-time positions which allows both the employees and the agency flexibility in managing work demands while offering valuable options to senior employees wishing to explore retirement. Telecommuting, alternate work locations, and alternate work schedules also encourages senior employees to delay full retirement. The agency draws upon the “retiring” employees’ expertise for mentoring other, less-experienced employees, allowing them to work on selected projects and to serve as a source of “institutional memory” as the agency prepares to backfill the position.
Question #11: Additional comments from agencies about preparing for the impact of an aging population and/or an aging workforce.
The Department of Professional and Occupational Regulation indicates that it will continue its partnerships and sharing of best practices among all public agencies and private organizations targeting older Virginians to promote coordinated service delivery.
The Department of Conservation and Recreation will continue to offer special rates to senior citizens.
The Library of Virginia, with limited staff and additional budget cuts looming is working hard to serve its various constituencies, including those over 60. The leadership of the Library has met to discuss how best to meet the needs of an aging workforce and population.
The *Virginia Commission for the Arts* is working with the National Assembly of State Arts Agencies and the National Center for Creative Aging which are beginning a national public relations campaign on “The Art of Aging: Creativity Matters.” The purpose of this campaign is to raise awareness that there is a vital relationship between creative expression and healthy aging.
The *Department of Human Resources Management* through its Office of Health Benefits Services is seeking to enhance their service delivery to retirees and eligible employees and dependents regarding Medicare Health and Drug Programs. On a state-wide level, DHRM is encouraging state agencies to monitor their agency’s workforce planning data in preparation for projected retirements.
The *Virginia Retirement System* reports that their Human Resources Director is serving on the Workforce Team of the Older Dominion Partnership to participate in their efforts and to share the information learned with the VRS. Additionally, the VRS through a contact with the Southeast Institute of Research (SIR) conducted a series of surveys and focus groups with employers, members, and retirees to help determine their future needs for VRS services and the channels for delivery.
The *Virginia Board for People with Disabilities* has been concerned about, and has strongly advocated for, supports to individuals with developmental disabilities through the lifespan. As state agencies in the state HHR Secretariat track the aging population, they urge attention to the needs of those with disabilities who require appropriate long-term planning for services and supports. Individuals with disabilities have increasing lifespans. For example, individuals with Downs Syndrome now have a life expectancy of 66 years, and growing numbers will outlive their parents, who are their primary caretakers. They encourage efforts of state agencies to track this aging cohort of Virginians.
RECOMMENDATIONS AND CONCLUSION
“The only thing we know about the future is that it will be different.”
Peter Drucker
Agencies responding to the online survey were asked to select from a number of activities that potentially would be helpful as they prepare to serve an aging population:
- 74% indicated that they would be interested in sharing best practices and learning how their sister agencies were preparing to deal with an aging workforce.
- 67% indicated that they could use demographic data about how the Commonwealth’s population will change in the coming decades as well as information about how the next generation of older Virginians will differ from today’s seniors.
- 64% indicated that they would like more information about how the next generation of employees will differ from the aging baby boomers.
- 58% indicated that they would like more information about what other agencies were doing to prepare to serve an older population.
In addition to these actions, some agencies also made the following suggestions:
- Assistance should be provided with developing an agency internal self-assessment process to increase awareness of the needs of older customers.
- The state should sponsor statewide or regional training sessions for human resources managers on how best to deal with the retirement of the baby boom generation.
- The state should develop some type of phased retirement option for older employees approaching or at retirement.
- The VCU School of Gerontology can provide training to agencies around the potential interests and concerns of an aging customer base.
- The state should train agencies in how to avoid pre-selection during their succession planning activities.
Recommendations
The Department for the Aging’s overall recommendations remain essentially unchanged from the 2008 report. These include:
- State agencies could benefit from and are interested in information and training to help them prepare to serve an aging population (see examples above).
- Almost all agencies are concerned with the aging of the state workforce and although many are working to mitigate the loss of knowledge and experience, the
Commonwealth should help agencies learn effective knowledge transfer strategies and share best practices in workforce management.
Each Secretariat or state agency should be encouraged to conduct an internal assessment of their ability to serve an aging customer base as well as their aging related workforce strategies. Each agency is an expert in its subject area and is therefore in the best position to determine if current preparations are sufficient to meet the challenges ahead.
In addition to these specific recommendations to assist state agencies, cabinet secretaries, agency heads and legislators should develop policies and programs for the future within the framework of significant “big picture” movements. The following aging policy issues should guide policymakers in developing current and future policies for adapting to the aging of the Commonwealth:
**The Need for an Integrated Perspective**
The major aging policy issues are often inter-related and embedded in other “non-aging” related venues. Policymakers, planners, and agency staff cannot afford to address specific topics and concerns without regard to the aging population or they risk creating unintended consequences for large numbers of Virginians. For example, policies and programs that have contributed to the growth of suburban areas in past decades have inadvertently created a growing need for development of para-transit systems to meet the needs of older individuals when they are no longer able to drive and public transportation to necessary services is not available.
**Reconceptualizing Programs and Services for the Elderly**
The very definition of "old" is changing. Turning 65 and retiring may not represent the typical life pattern for an increasing segment of older Virginians. With changing expectations, chronological age may no longer be a valid criterion for eligibility for certain public services. Functional ability may well become more relevant than age. In addition policymakers need to account for the diversity of needs and expectations among future cohorts of older people in order to use state resources wisely and plan effectively.
**Rethinking Retirement**
Traditional notions of retirement are becoming outmoded. The combination of early departure from the labor force (by choice or ill health) and an increased life span means that some people are spending many more years in retirement. Others will continue working into their 70s and 80s because of choice or need. The manner in which retirement is promoted or offered and pension plans are structured may need to be modified given the shifting expectations for the later years of life.
**Seniors as a Resource**
A paradigm shift is also taking shape as boomers age and wish to remain engaged and contributing members of society. Seniors should be seen more as valuable resources to their communities than primarily as individuals needing services and supports. Retirees have the potential to mentor, volunteer or pursue rewarding second careers that will benefit themselves, their communities and the economy. The Commonwealth should look
for opportunities to support initiatives that help integrate the increasing numbers of older Virginians into the fabric of communities, providing opportunities to capitalize on their talents, interests and resources to enhance civic involvement in the state.
**Rethinking Communities**
Aging is universally experienced — without regard to race, class, income, education, religion, or gender — yet for the most part, in many communities it is too often experienced in isolation. Surveys continue to show, however, that overwhelmingly, people prefer to stay in the community in which they have lived, remaining close to friends and possibly family — often called “aging in place.” For communities and states there are economic, political and community-involvement advantages to supporting this natural desire to “age-in-place.” Virginians should be able to maintain a desirable lifestyle as they age by participating in their communities, remaining as independent as their health allows, having access to educational, cultural and recreational facilities, feeling safe, and living in an intergenerational environment. The term that is currently in vogue to describe such an environment is “lifecycle community.” Lifecycle communities are sufficiently flexible in physical infrastructure and service and social resources to accommodate the changing needs of all residents as they age. Most of the elements that constitute a supportive community environment for older adults also constitute a good environment for everyone. Through a variety of policies and programs, state government can play a vital role in helping communities become “good for all ages.”
**Conclusion**
Projected changes in the demographic profile of Virginia into the early decades of the 21st century will impact every facet of life for both the young and old, particularly in the areas of health care, education, transportation, employment, and retirement. Many — but not all — older Virginians will be healthier, better educated and more financially secure than their parents and grandparents and will be able to use their wisdom and experience to help the generations that follow. On the other hand, there will be two and a half times as many Virginians age 85 and older, a group most likely to need community support at home or high quality, cost-effective care in long-term care facilities.
The eighty-one (81) reports submitted by state agencies pursuant to §2.2-5510.4 of the Code of Virginia on their progress in preparing for the impact of an aging population present a mixed but somewhat reassuring view. While it is difficult to tell if preparations being made or contemplated by agencies are sufficient, it is encouraging that some agencies are taking innovative and targeted steps to address the needs of an older population and new activities have been developed even in a time of budget reductions. Other agencies are aware of the looming demographic shift but report that they have undertaken limited or no activity specifically designed to prepare for this change and there remains a persistent view by a minority of agencies that they will not be impacted by the increasing older population. In some cases, agencies with very similar missions view the impact on their roles quite differently. The challenge for the Commonwealth continues — to ensure that all agencies are realistically planning for the future and will therefore be well positioned to serve the Virginia of tomorrow.
APPENDIX A
Code of Virginia §2.2-5510 & Code of Virginia §2.2-604.1
CHAPTER 55.1
§2.2-5510. (Expires July 1, 2013) Strategic plan.
A. Each agency shall develop and maintain a strategic plan for its operations. The plan shall include:
1. A statement of the mission, goals, strategies, and performance measures of the agency that are linked into the performance management system directed by long-term objectives;
2. Identification of priority and other service populations under current law and how those populations are expected to change within the time period of the plan;
3. An analysis of any likely or expected changes in the services provided by the agency; and
4. An analysis of the impact that the aging of the population will have on its ability to deliver services and a description of how the agency is responding to these changes. Each agency shall report by November 15 of each year to the Department for the Aging its progress in addressing the impact of the aging of the population, according to guidance established by the Secretary of Health and Human Resources. Based upon information received, the Department for the Aging shall prepare a report summarizing the progress made by the agencies and submit such report to the Governor and the General Assembly by June 30 of the following year.
CHAPTER 6
§2.2-604.1. Designation of officials; interests of senior citizens and adults with disabilities.
The head of each state agency shall designate an existing employee who shall be responsible for reviewing policy and program decisions under consideration by the agency in light of the effect of such decisions on senior citizens and adults with disabilities. The designated employee shall advise and alert the agency head of opportunities to make policies, programs, and regulations senior-friendly and disability-friendly.
APPENDIX B
Instructions for the Online Survey
Instructions to State Agencies:
2008 Reports Pursuant to §2.2-5510.4
Note that this report is due by Monday, 11/17/08
In 2007 each state agency was directed to prepare a report, as required in §2.2-5510.4 of the Code of Virginia, on the impact of the aging of the population on their ability to provide services. The Virginia Department for the Aging (VDA), in turn, was directed to summarize the individual state agency reports and submit a summary report to the Governor and General Assembly by 6/30/08.
Eighty-eight (88) agencies submitted reports in 2007. The majority of these reports reflected concern about the growth of Virginia’s older population and many agencies reported providing specific and valuable services to today’s seniors. Few agencies, however, reported specific plans to expand or develop new services, activities, or processes to meet the future impact of the aging population. However, almost all of the 88 agencies did report being acutely aware of the aging of their own workforce and the probable loss of knowledge and experience as retirements increase. Some agencies reported developing strategies to minimize the effect of this loss while others expressed concern but did not report any succession planning activities.
In preparation for the 2008 report, you are encouraged to review the report your agency submitted in 2007. You may also want to review the summary report compiled by VDA and the reports submitted by other agencies to see what activities and initiatives they are engaged in to meet the needs of an aging population. To see VDA’s summary report and all individual state agency reports go to: http://www.vda.virginia.gov/HB2624.asp.
In 2008, we are asking that each state agency complete the following survey in order to comply with the requirements of §2.2-5510.4. While this survey is designed to be less burdensome than a narrative report, please be sure to provide as much detail as necessary to fully describe your answers.
The survey is divided into four sections. These sections include 1) questions about the impact an aging population will have on the activities and services the agency provides, 2) the impact of an aging workforce on agency operations, 3) information or training that might be helpful as the agency prepares to meet these demands, and finally, 4) instructions for submitting the report.
APPENDIX C
Agencies Responding to the 2008 Online Survey
(Alphabetical Order)
Accounts
Aging
Agriculture and Consumer Services
Alcoholic Beverage Control
Blind and Vision Impaired
Board of Accountancy
Board of Elections
Board for People with Disabilities
Business Assistance
Christopher Newport University
Commission for the Arts
Community College System
Compensation Board
Comprehensive Services for At-Risk Children and Families
Conservation and Recreation
Correctional Education
Corrections
Criminal Justice Services
Deaf and Hard of Hearing
Economic Development Partnership
Education
Emergency Management
Employee Dispute Resolution
Employment Commission
Fire Programs
Forensic Science
Forestry
Frontier Culture Museum
Game and Inland Fisheries
General Services
George Mason University
Governor’s Office for Substance Abuse Prevention
Health Professions
Historic Resources
Housing and Community Development
Housing Development Authority
Human Resources Management
Human Rights Council
Indigent Defense Commission
James Madison University
Jamestown - Yorktown Foundation
Labor and Industry
Library of Virginia
Longwood University
Marine Resources Commission
Medical Assistance Services (Medicaid)
Mental Health, Mental Retardation and Substance Abuse Services
Military Affairs
Mines, Minerals, and Energy
Minority Business Enterprise
Motor Vehicle Dealers Board
Motor Vehicles
Museum of Fine Arts
Museum of Natural History
Norfolk State University
Planning and Budget
Port Authority
Professional and Occupational Regulation
Rail and Public Transportation
Rehabilitative Services
Retirement System
School for the Deaf and Blind
Science Museum of Virginia
Social Services
State Council of Higher Education for Virginia
State Police
Taxation
Tobacco Commission
Tourism Corporation
Transportation
Treasury
University of Mary Washington
University of Virginia
University of Virginia College at Wise
University of Virginia Medical Center
Veterans Services
Virginia Commonwealth University
Virginia Military Institute
Virginia Tech
Virginia Information Technologies Agency
William and Mary
APPENDIX D
Online Survey Questions
AGING IMPACT SURVEY 2008
Contact Information
§2.2-604.1 of the Code states that the head of each state agency shall designate an existing employee who shall be responsible for reviewing policy and program decisions under consideration by the agency in light of the effect of such decisions on senior citizens and adults with disabilities. The designated employee shall advise and alert the agency head of opportunities to make policies, programs, and regulations senior-friendly and disability-friendly.
Complete the following contact information for your agency:
Name: ________________________________
Title: _________________________________
Agency: ______________________________
Address: _____________________________
Phone: _______________________________
Email: ________________________________
Section 1
AGENCY SERVICES
1. Please check the choice below that best describes your agency: Check only one.
A. _____ This agency does not provide programs or services directly to the citizens of the Commonwealth. Continue to question #3.
B. _____ This agency provides programs or services for children only. Continue to question #3.
C. _____ This agency provides programs or services for Virginians of all ages, which are also used by persons age 60 and older. Continue to question #2.
D. _____ This agency serves Virginians of different ages but also provides one or more programs or services specifically designed for Virginians age 60 and older. Continue to question #2.
E. _____ None of the choices above describe this agency. Please explain the role of this agency here and then continue to question #3.
If you checked E above, explain the role of this agency here:
2. If you checked (C) or (D) above, describe up to three programs or services provided by this agency and utilized by Virginians over age 60. If you wish to describe more than three items, you may add additional information in the comment section (Q11) at the end of this survey or send an addendum to VDA at the address provided.
3. Do you believe the aging of Virginia’s population will impact your agency? If so, please explain. (Do not include the impact on your agency’s workforce in this space. See Section 2 below):
4. Based on your response to question #3, please share specific plans to modify, expand, or develop services, activities, or processes that will help your agency meet the future needs of an aging Commonwealth. List up to three and describe:
5. Please identify any new activities to address the aging of the population that your agency has initiated since you submitted the 2007 report:
Section 2
AGENCY WORKFORCE
6. How many staff will be eligible for unreduced retirement from this agency over the next five (5) years? Please provide both the number of employees and what percentage of today’s workforce this number represents. (Note - you may want to consult your agency’s most current Workforce Plan to answer this question as well as questions 7 through 10 below):
________ Number of current employees who will be eligible for unreduced retirement within the next 5 years.
________ Percentage of agency’s current workforce.
7. Will the loss of these employees have a significant impact on agency operations?
_____ NO
_____ YES
If YES, briefly explain impact:
8. Has the agency developed specific strategies to help retain employees who are approaching retirement?
_____ NO
_____ YES
If YES, describe one or more strategies:
9. Has the agency developed specific strategies to recruit new employees to replace retiring workers?
_____ NO
_____ YES
If YES, describe one or more strategies:
10. Has the agency developed specific succession planning strategies to transfer knowledge from older workers to younger workers?
_____ NO
_____ YES
If YES, describe one or more strategies:
11. In the space provided, please include any additional comments, concerns or information that helps describe how this agency is serving older Virginians now, how it is preparing for the impact of an aging population, or how it is preparing for an aging workforce:
Section 3
AGENCY ASSISTANCE
Please indicate if any of the following would be helpful as your agency prepares to serve an aging Virginia population. Check all that apply:
_____ Demographic data about how Virginia’s population will change in the coming decades and how the next generation of older Virginians is likely to differ from today’s seniors.
_____ Learning about what other agencies are doing to prepare to serve an older population in the coming years.
_____ Training about how the next generation of employees will likely differ from the current baby boomers.
_____ Sharing best practices and learning how other agencies are preparing to deal with an aging workforce.
_____ Other. Please describe what other activities would be most helpful to this agency:
Section 4
REPORT SUBMISSION INSTRUCTIONS
Reports are due Monday 11/17/08 by close of business. If you have questions about this report, contact:
Bill Peterson, MSW, PhD
Senior Policy Analyst
Virginia Department for the Aging
1610 Forest Avenue, Suite 100
Richmond, VA 23229
Phone: 804-662-9325
Email: firstname.lastname@example.org |
Cerebrospinal fluid cytokine, chemokine, and SARS-CoV-2 antibody profiles in children with neuropsychiatric symptoms associated with COVID-19
Binh Ngo, Emory University
Stacey A Lapp, Emory University
Benjamin Siegel, Emory University
Vikash Patel, Emory University
Laila Hussaini, Emory University
Sonali Bora, Emory University
Bryan Philbrook, Emory University
Kristin Weinschenk, Emory University
Laura Wright, Childrens Healthcare Atlanta
Evan Anderson, Emory University
Only first 10 authors above; see publication for full author list.
Journal Title: MULTIPLE SCLEROSIS AND RELATED DISORDERS
Volume: Volume 55
Publisher: ELSEVIER SCI LTD | 2021-07-29, Pages 103169-103169
Type of Work: Article | Final Publisher PDF
Publisher DOI: 10.1016/j.msard.2021.103169
Permanent URL: https://pid.emory.edu/ark:/25593/w07c4
Final published version: http://dx.doi.org/10.1016/j.msard.2021.103169
Copyright information:
© 2021 Elsevier B.V. All rights reserved.
Accessed April 2, 2025 9:00 PM EDT
Since January 2020 Elsevier has created a COVID-19 resource centre with free information in English and Mandarin on the novel coronavirus COVID-19. The COVID-19 resource centre is hosted on Elsevier Connect, the company's public news and information website.
Elsevier hereby grants permission to make all its COVID-19-related research that is available on the COVID-19 resource centre - including this research content - immediately available in PubMed Central and other publicly funded repositories, such as the WHO COVID database with rights for unrestricted research re-use and analyses in any form or by any means with acknowledgement of the original source. These permissions are granted for free by Elsevier for as long as the COVID-19 resource centre remains active.
Cerebrospinal fluid cytokine, chemokine, and SARS-CoV-2 antibody profiles in children with neuropsychiatric symptoms associated with COVID-19
Binh Ngo\textsuperscript{a,b,1}, Stacey A. Lapp\textsuperscript{c,d,1}, Benjamin Siegel\textsuperscript{c,e}, Vikash Patel\textsuperscript{c,d}, Laila Hussaini\textsuperscript{c,d}, Sonali Bora\textsuperscript{a,b}, Bryan Philbrook\textsuperscript{c,e,h}, Kristin Weinschenk\textsuperscript{a,b}, Laura Wright\textsuperscript{f}, Evan J. Anderson\textsuperscript{c,d,g}, Christina A. Rostad\textsuperscript{c,d,1}, Grace Y. Gombolay\textsuperscript{e,h,1,*}
\textsuperscript{a} Children’s Healthcare of Atlanta, Division of Psychiatry, Atlanta, GA, United States
\textsuperscript{b} Emory University School of Medicine, Department of Psychiatry, Atlanta, GA, United States
\textsuperscript{c} Emory University School of Medicine, Department of Pediatrics, Division of Infectious Diseases, Atlanta, GA, United States
\textsuperscript{d} Center for Childhood Infections and Vaccines, Children’s Healthcare of Atlanta and Emory University School of Medicine, Atlanta, GA, United States
\textsuperscript{e} Children’s Healthcare of Atlanta, Division of Pediatric Neurology, Atlanta GA, United States
\textsuperscript{f} Children’s Healthcare of Atlanta, Department of Neuropsychology, Atlanta GA, United States
\textsuperscript{g} Emory University School of Medicine, Department of Medicine, Division of Infectious Diseases, Atlanta, GA, United States
\textsuperscript{h} Emory University School of Medicine, Department of Pediatrics, Division of Neurology
\textbf{Article info}
\textbf{Keywords:}
Pediatric COVID-19
SARS-CoV-2
Coronavirus
Cytokines
Chemokines
Cerebrospinal fluid
Psychiatric symptoms
\textbf{Abstract}
\textit{Background}: Neuropsychiatric symptoms and CSF cytokine, chemokine, and SARS-COV-2 antibody profiles are unknown in pediatric patients with COVID-19 or multisystem inflammatory syndrome (MIS-C), (NP-COVID-19).
\textit{Methods}: Children at a single pediatric institution quaternary referral center with laboratory-confirmed COVID-19 or MIS-C and neuropsychiatric symptoms were included in this retrospective case series. Clinical symptoms, ancillary testing data, treatments and outcomes are described. Multiplexed electrochemiluminescence assays for cytokines, chemokines and SARS-CoV-2 antibodies were tested in the CSF NP-COVID-19 patients compared to five controls and were analyzed using the Student’s t-test.
\textit{Results}: Three of five NP-COVID-19 patients had psychiatric symptoms, and two patients had encephalopathy and seizures. All patients had full or near resolution of neuropsychiatric symptoms by discharge. One patient received intravenous steroids for treatment for psychiatric symptoms; 3/5 other patients received immunotherapy for MIS-C, including IVIG, high-dose steroids, anakinra, and tocilizumab. Pro-inflammatory chemokines, including MIG, MPC, MIP-1β, and TARC were significantly elevated in NP-COVID-19 patients compared to controls. Two of five patients had elevated CSF neurofilament light chain. CSF SARS-CoV-2 antibody titers to the full-length spike, receptor binding domain and N-terminal domain were significantly elevated. SARS-CoV-2 antibody titers strongly correlated with pro-inflammatory chemokines/cytokines, including IL-1β, IL-2, IL-8, TNF-α, and IFN-γ (P ≤ 0.05 for all).
\textit{Conclusions}: A spectrum of neuropsychiatric clinical manifestations can occur in children with SARS-CoV-2 infection. CSF pro-inflammatory chemokines and SARS-CoV-2 antibodies may serve as biomarkers of SARS-CoV-2 mediated NP-COVID-19. Additional study is required to understand the pathophysiologic mechanisms of neuroinflammation in children with COVID-19 and MIS-C.
\section*{1. Introduction}
Severe acute respiratory syndrome coronavirus (SARS-CoV-2) has caused the coronavirus disease 19 (COVID-19) pandemic (\textit{World Health Organization}). Complications from COVID-19 include respiratory, cardiac, and multi-system organ failure. Children may also develop a...
Kawasaki-like syndrome called Multisystem Inflammatory Syndrome in Children (MIS-C), either coinciding with or following acute SARS-CoV-2 infection (Hobbs et al., 2020). In children, SARS-CoV-2 infection can also manifest with neuropsychiatric symptoms, which include neurological symptoms such as encephalopathy and encephalitis (Paterson et al., 2020) and psychiatric symptoms such as psychosis and mania. The mechanisms of SARS-CoV-2 associated neuropsychiatric clinical manifestations are thought to be multifactorial (Najjar et al., 2020). Psychosocial stressors, including social distancing, enhanced isolation, school closures, fear of the disease, and financial strain due to COVID-19 can exacerbate psychiatric symptoms, such as depression, anxiety, or suicidal ideation (Zalsman et al., 2020). However, neuropsychiatric symptoms may arise from potential biological causes that are incompletely understood, and direct viral invasion, immune cell infiltration, and cytokine storms have been implicated (Iqbal et al., 2020). There is evidence that the systemic inflammatory state could induce neuroinflammatory changes, which result in neuropsychiatric symptoms (Lin et al., 2021).
Although cases have been described in adults with neuropsychiatric symptoms (Iqbal et al., 2020; Benameur et al., 2020; Rogers et al., 2020) along with cerebrospinal fluid (CSF) cytokines (Bodro et al., 2020; Benameur et al., 2020), there is a paucity of literature of the neuropsychiatric manifestations of COVID-19 in children. Here we describe the clinical course and management of five children with neuropsychiatric symptoms in the setting of acute COVID-19 or during acute MIS-C following known or suspected COVID-19, including three patients with new onset psychosis, one patient with febrile status epilepticus, and one patient with a first-time seizure and encephalopathy. To understand the biological basis of these neuropsychiatric symptoms, we analyzed SARS-CoV-2 antibodies, cytokines, and chemokines in CSF from these children.
2. Methods
2.1. Patient enrollment
This study was approved by the institutional review boards (IRBs) of Emory University (IRB00000723, IRB00113456) and Children’s Healthcare of Atlanta (IRB00000885). Children 0 to 21 years of age who were hospitalized at Children’s Healthcare of Atlanta (CHOA) from January 1, 2020 to December 31, 2020 with suspected or confirmed symptomatic COVID-19 or MIS-C, as defined by the Centers for Disease Control and Prevention, were prospectively enrolled into a specimen collection protocol following informed parental consent and patient assent, as age appropriate. Residual CSF leftover from clinician-ordered testing was obtained from the clinical laboratory and stored at -80°C until subsequent analysis. CSF was available from 5 COVID-19 patients with neuropsychiatric clinical manifestations, including three with psychosis, one with febrile status epilepticus, and one with new-onset seizures. Four of these patients met the CDC case definition for MIS-C (CDC Health Alert Network, May 14, 2020), whereas one had acute COVID-19. Five additional control CSF specimens were obtained from children who were undergoing a lumbar puncture for evaluation for idiopathic intracranial hypertension following informed consent and assent as age appropriate. No controls had psychiatric symptoms or known history of COVID-19. CSF samples were stored at -80°C until subsequent analysis.
Retrospective chart review was performed on all five pediatric patients who presented with neuropsychiatric symptoms in the setting of either COVID-19 or MIS-C. Chart review was focused on systemic symptoms, neuropsychiatric symptoms, psychiatric history, psychosocial risk factors, blood and cerebrospinal fluid (CSF) test results, imaging, treatment, and outcomes.
2.2. CSF analyses
To measure CSF antibodies to SARS-CoV-2, a V-PLEX COVID-19 Coronavirus Panel 2 (IgG) Kit was obtained from MesoScale Discovery (MSD). IgG antibodies to SARS-CoV-2 S1 N-terminal domain (NTD), SARS-CoV-2 S1 receptor binding domain (RBD), SARS-CoV-2 full-length spike (S), and SARS-CoV-2 nucleocapsid (N) were measured in the CSF according to the manufacturer’s protocol at CSF dilutions 1:10 and 1:100. The electrochemiluminescence (ECL) signal was detected by a SECTOR Imager 6000, and data was analyzed using the Discovery Workbench software (MSD). Antibody concentrations were calculated by interpolating the ECL signals to a calibration curve using a 4-parameter logistic fitting model. Final antibody concentrations are expressed in arbitrary units (AU)/mL based on known concentrations of three reference standards according to MSD certificate of analysis.
Cytokine testing was similarly performed using the MSD V-PLEX Proinflammatory Panel 1 (interferon-gamma (IFN-γ), interleukin-1 beta (IL-1β), IL-2, IL-4, IL-6, IL-8, IL-10, IL-12p70, IL-13, TNF-α), Cytokine Panel 1 (GM-CSF, IL-1α, IL-5, IL-7, IL-12/23 p40, IL-15, IL-16, IL-17A, TNF-β, VEGF) and Chemokine Panel 1 kit (Eotaxin, MIP-1β, eotaxin-3, TARC, IP-10, MIP-1α, MCP-1, MDC, MCP-4). Neurofilament light chain (NFL), BAFF, APRIL/TNFSF13, CXCL13/B-CA1, and CXCL9/MIG were assayed using a custom U-PLEX kit from MSD. All MSD assays were performed according to manufacturer instructions and plates were read using a SECTOR Imager 6000 with the MSD Discovery workbench software (MSD). Whereas CSF cytokine and chemokine analyses were performed for all ten patients (including five NP-COVID-19 and five controls), one control patient had insufficient CSF volume available to complete antibody analyses.
2.3. Statistical analyses
Statistical analyses were performed using GraphPad Prism version 9.0. CSF cytokine levels and antibody titers from COVID-19 patients with neuropsychiatric symptoms and controls were compared using Student’s t-tests. A heatmap was generated of all the cytokines after normalization of the data to 100% of the highest cytokine value. Pearson’s correlation coefficient between SARS-CoV-2 antigen-specific antibody titers and cytokines in the CSF were determined, and linear regression analyses were performed with the coefficients of correlation ($R^2$) shown. $P$ values $\leq 0.05$ were considered statistically significant.
3. Results
Five pediatric NP-COVID-19 patients (Table 1) and five pediatric controls were included in this study. Three of the NP-COVID-19 patients (NP-COVID2, NP-COVID3, NP-COVID4) had new onset psychosis and met the case definition for MIS-C, whereas one patient (NP-COVID1) had acute COVID-19 and febrile seizures with encephalopathy. The clinical description of NP-COVID-19 Patient 4 was previously published (Lin et al., 2020). Patient 5 had a history of sickle cell anemia and presented with a possible focal seizure and encephalopathy. However, stroke evaluation was negative and he met the case definition for MIS-C by exclusion. For the controls, four females and one male were included, with ages between eleven and thirteen who underwent LP evaluation for idiopathic intracranial hypertension but were otherwise healthy.
CSF white blood cell count (WBC) along with protein was normal in all NP-COVID-19 patients. Oligoclonal bands were sent in two NP-COVID-19 patients and were negative. Brain magnetic resonance imaging (MRI) studies were performed for 4/5 (80%) patients, with two normal MRIs, one patient with nonspecific diffusion restriction in the corpus callosum and another patient with punctate T2 hyperintensities. Three patients received immunotherapy for MIS-C, consisting of either intravenous immunoglobulin (IVIG) (n=3), corticosteroids (n=2), anakinra (n=1), or tocilizumab (n=1). The cases are discussed below and a summary of clinical symptoms, clinical course, ancillary testing, and
management are summarized in Table 1.
CSF testing for cytokine and chemokine profiles was performed and compared to a panel of CSF from five pediatric controls. A heatmap of all cytokines and chemokines was generated by normalizing levels to 100% of the highest level of each cytokine (Fig. 1), demonstrating unique cytokine/chemokine profiles in each patient. Pro-inflammatory chemokines MIG, MIP-1β, MDC, and TARC were significantly higher in the CSF of NP-COVID-19 patients compared to controls. Pro-inflammatory chemokine Eotaxin, and pro-inflammatory cytokines including IL-13, and IL-15 also trended toward significance (Fig. 2). While no overall difference in neurofilament light (NFL) chain was detected between Np-COVID-19 and controls, 2/5 (40%) NP-COVID-19 patients had highly elevated levels of NFL (Fig. 2).
We then evaluated the CSF of NP-COVID-19 patients and 4/5 controls for SARS-CoV-2 IgG antibodies using an MSD V-PLEX multiplex panel, which included the full-length spike protein, the spike S1 receptor binding domain (RBD), S1 N-terminal domain (NTD), and nucleocapsid protein. NP-COVID-19 patients had significantly higher CSF IgG antibody titers to SARS-CoV-2 full-length spike, RBD, and NTD when compared to pediatric controls, as no controls had SARS-CoV-2 antibodies, with trends toward significance for nucleocapsid antibody titers (Fig. 3). Antibodies to all four SARS-CoV-2 antigens correlated with pro-inflammatory cytokines and chemokines in the CSF by Pearson’s correlation (Fig. 4). Linear regression analyses demonstrated that antibodies to the N protein correlated most strongly with CSF pro-inflammatory cytokines, including GM-CSF, IL-2, IL-8, IL-13, IP-10, MCP-1, MIP-1 β, and TNF-α (Fig. 5).
3.1. Case summaries
3.1.1. Neuropsychiatric (NP)-COVID-19 patients
184.108.40.206. NP-COVID1. A 17-month-old twin born at 37 weeks with history of hypotonia and global developmental delay presented with febrile status epilepticus. She had a generalized tonic-clonic seizure with a 102°F fever on the day of admission. The seizure abated after multiple doses of benzodiazepines and intravenous fosphenytoin. She tested positive for SARS-CoV-2 by nasopharyngeal-PCR (NP-PCR) and for rhinovirus/enterovirus on a multiplexed respiratory viral panel (BioFire). CSF studies were normal including a negative meningitisencephalitis panel (BioFire) that included negative enteroviral PCR. Prolonged EEG demonstrated focal slowing with rare sharp waves in the left temporal region with some background slowing but no seizures. MRI demonstrated a few small punctate T2-weighted nonspecific hyperintense lesions but was otherwise normal. She returned to her baseline after three days and was discharged home, with no further seizures. Of
note, a possible genetic predisposition was suspected as her identical twin sister also had a febrile seizure during the same week. However, COVID-19 testing was not available for her twin.
220.127.116.11. NP-COVID2. A 15-year-old previously healthy male was hospitalized with MIS-C approximately one month following diagnosis of asymptomatic SARS-CoV-2 infection by a positive SARS-CoV-2 NP-PCR.
Fig. 3. SARS-CoV-2 antibodies in the cerebrospinal fluid of children with COVID-19 associated neuropsychiatric symptoms vs. controls. Statistical comparisons were made using Student’s t-test. P-values are shown. RBD, receptor binding domain. NTD, N-terminal domain. HC, healthy control. COVID-19+NP, child with COVID-19 associated neuropsychiatric symptoms. AU/mL, arbitrary units/mL.
Fig. 4. Heat map showing correlation between SARS-CoV-2 antibodies in the cerebrospinal fluid vs. cytokine levels. Pearson’s correlation coefficients were calculated, and the coefficients of determination ($R^2$) are shown. RBD, receptor binding domain. NTD, N-terminal domain. N, nucleocapsid.
Fig. 5. Linear regression analyses showing the correlation between SARS-CoV-2 nucleocapsid protein IgG antibody titers in the CSF vs. cytokine concentrations. Chemokines and cytokines with statistically significant correlations are shown, with their coefficients of determination ($R^2$) and P-values. P $\leq 0.05$ was considered statistically significant.
He had no reported past psychiatric history or psychosocial risk factors. His presenting MIS-C symptoms included headache, nausea, abdominal pain, fever, acute renal failure and second-degree heart block. His serum was positive for SARS-CoV-2 nucleocapsid protein IgG (Abbott) with elevated CRP and erythrocyte sedimentation rate (ESR). During his hospitalization for MIS-C, he remained on room air with normal cardiac function. He was treated with intravenous methylprednisolone and IVIG with resolution of his symptoms and normalization of blood inflammatory markers. The patient was discharged home.
Approximately five days after completing steroids, he developed acute onset of progressive confusion, obsession with numbers, hyper-religiosity, hyper-sexuality, visual hallucinations, fast speech, and disorganized thoughts. He was readmitted for acute psychosis. He had normal inflammatory markers and normal CSF cell counts and protein. Magnetic resonance imaging (MRI) and magnetic resonance angiography (MRA) of the brain and EEG were also normal. He was treated with pulse-dose methylprednisolone for five days. Agitation and aggression were managed first by quetiapine, and then more effectively by chlorpromazine. He returned to near baseline on the fifth day of steroids, and he was discharged with both steroid and chlorpromazine tapers. At two-month follow-up, he exhibited no psychotic symptoms and was no longer requiring steroids or chlorpromazine.
During the follow-up appointment, he completed a psychological diagnostic interview and a series of PROMIS (Patient-Reported Outcomes Measurement Information System) short forms assessing anxiety, depressive symptoms, and psychological stress. Based on the diagnostic interview, he met criteria for generalized anxiety disorder; however, his scores on the anxiety and depression short forms were not clinically elevated. The patient also endorsed having a history of milder anxiety prior to his hospitalization for MIS-C. Although his anxiety and depression short forms were within the normal range, his psychological stress experiences short form was clinically elevated.
18.104.22.168. NP-COVID3. An 11-year-old previously healthy girl developed fever, headache, conjunctival injection, rash, hand swelling, and malaise approximately six weeks following acute COVID-19 diagnosis by SARS-CoV-2 NP-PCR. She had psychosocial risk factors including recent immigration to the United States from West Africa and resultant separation from her parents, but no past psychiatric history. She had elevated CRP, transaminitis, and mild thrombocytopenia. On day six of illness, she was admitted for MIS-C and repeat SARS-CoV-2 PCR was negative but SARS-CoV-2 IgG was positive by qualitative nucleocapsid protein assay (Abbott). She developed acute respiratory insufficiency requiring positive pressure ventilation and vasopressor support for shock. On day eight of illness, she hit her head, with normal head computed tomography (CT). She then developed hallucinations on day nine, and, by day ten, she was agitated and encephalopathic requiring intubation for airway protection. She was extubated on day fourteen and returned to normal mental status by day fifteen. She received IVIG, anakinra, methylprednisolone, and tocilizumab for treatment of MIS-C with blood inflammatory markers normalizing over time. By day 26 she was at her clinical baseline.
22.214.171.124. NP-COVID4. A 14-year-old previously healthy female presented to the emergency department with three days of fever, vomiting, diarrhea, cough, and unsteady gait. She had no reported past psychiatric history or psychosocial risk factors. On presentation she had high fever, elevated inflammatory markers, cardiac dysfunction, and shock requiring milrinone and epinephrine. Initial SARS-CoV-2 NP-PCR was negative, but repeat testing on hospital day three was positive, as was SARS-CoV-2 nucleocapsid protein IgG (ARUP). She was diagnosed with MIS-C associated with acute COVID-19. On day one, she developed nonsensical speech and visual and auditory hallucinations. She also developed urinary retention. Brain MRI showed nonspecific restricted diffusion in the splenium of the corpus colossum (Lin et al., 2020), with normal full MRI spine. Routine CSF studies were normal. EEG showed diffuse slowing consistent with nonspecific encephalopathy. She received IVIG with subsequent resolution of inflammatory markers and neurologic symptoms. Repeat MRI at 6 weeks later showed resolution of the diffusion restriction. At her two-month follow-up appointment, she was at her mental status baseline and had no further immunomodulatory therapy.
126.96.36.199. NP-COVID5. A 17-month-old boy with history of prematurity (born at 28 weeks), sickle cell anemia, and gross motor and speech delays presented with fever, altered mental status and possible seizures approximately one month following COVID-19 exposure. He had a fever the day prior to admission. On day of admission, he had lethargy and an episode of whole-body stiffening. Head CT was normal but his hemoglobin had decreased from 9.0 to 6.8 grams/deciliter with new splenomegaly so he was transferred to our institution with concern for splenic sequestration. En route, he developed multiple episodes of left gaze deviation and lip smacking concerning for possible seizures. He received a blood transfusion for his anemia. MRI/MRA of the head was normal. EEG showed diffuse slowing and captured one event of generalized stiffening without electrographic correlate. CSF studies were normal including a meningitis-encephalitis RT-PCR panel (BioFire). His SARS-CoV-2 NP-PCR was negative, but SARS-CoV-2 nucleocapsid IgG (Abbott) was positive. Otherwise, extensive workup did not reveal an etiology of his symptoms, and he therefore met the case definition for MIS-C by exclusion. His mental status returned to his baseline five days after admission without any immunotherapy.
4. Discussion
In this case series, we describe neuropsychiatric symptoms in pediatric patients with acute COVID-19 and MIS-C, including acute onset psychosis, encephalopathy, and/or seizures. The three patients with acute onset psychosis and one patient with seizures and encephalopathy met the CDC case definition for MIS-C (CDC Health Alert Network, May 14, 2020), whereas one patient with febrile status epilepticus presented with acute COVID-19.
The mechanisms of neuropsychiatric manifestations in patients with COVID-19 or MIS-C are incompletely understood, but are thought to represent a spectrum of distinct clinical syndromes. These have been loosely classified as those associated with direct viral invasion (e.g. SARS-CoV-2 encephalitis), delirium and encephalopathy, post-infectious immune-mediated phenomena, seizures, cerebrovascular events, and psychosocial and cognitive sequelae (Najjar et al., 2020; Lindan et al., 2020). Neuroinflammation stemming from systemic inflammation could then lead to neuropsychiatric symptoms. However, other causes may also be contributing to neuropsychiatric symptoms, including psychosocial risk factors, or iatrogenic factors such as treatment adverse effects (Parra et al., 2020). While one patient in our cohort did have a psychosocial stressor of recent immigration and temporary separation from her parents, it is difficult to determine how this contributed to her clinical presentation. Some patients in our cohort received immunomodulatory therapy for MIS-C, including NP-COVID2 who developed neuropsychiatric symptoms several days following completion of a course of corticosteroids. While his symptoms improved after receiving additional steroids, it is unclear to what extent steroids exacerbated versus alleviated his neuropsychiatric symptoms.
Adult patients with COVID-19 and neurological symptoms often have normal neuroimaging and normal routine CSF studies (including WBC, protein, oligoclonal bands, and IgG index) (Mao et al., 2020). In pediatric patients, however, other imaging findings such as acute disseminated encephalomyelitis, myelitis, and neural enhancement have been reported (Lindan et al., 2020). While treatment with steroids (Pilotto et al., 2020), IVIG (Muccioli et al., 2020a), and tocilizumab (Muccioli et al., 2020b) have been reported in management of COVID-19
related encephalopathy, the majority of adult patients do not seem to require immunotherapy, instead responding to low doses of antipsychotics (Parra et al., 2020; Paterson et al., 2020). In our pediatric NP-COVID-19 cohort, two of five did not receive immunotherapy and had resolution of symptoms. The clinical outcomes of COVID-19-associated neuropsychiatric symptoms in our cohort of patients was very good.
Although MIS-C has previously been associated with encephalopathy in children (Abdel-Mannan et al., 2020), our study is the first to describe psychiatric symptoms in association with MIS-C. We also describe the CSF cytokine and chemokine profiles with evidence of neuroinflammation despite normal routine CSF studies. Moreover, we identified a correlation of CSF cytokines and chemokines with SARS-CoV-2 antibody titers. In our cohort, pro-inflammatory chemokines MIG, MPC, TARC, and MIP-1β were significantly elevated in NP-COVID-19 patients as compared to controls. CSF pro-inflammatory chemokine eotaxin and pro-inflammatory cytokines, including IL-13 and IL-15, also trended toward significance. SARS-CoV-2 antibodies to the full-length spike, RBD, and NTD were significantly elevated, with trends towards significance with nucleocapsid protein antibodies. SARS-CoV-2 antibodies to all antigens tested significantly correlated with multiple pro-inflammatory cytokines and chemokines, which may be in part attributable to systemic hyperinflammatory response with resultant compromise of the blood-brain barrier and neuroinflammation. Interestingly, the patient who presented with febrile status epilepticus in the setting of acute COVID-19 had minimal CSF SARS-CoV-2 antibody titers and inflammatory cytokines. We suspect the pathophysiology of her clinical presentation differed from the others, as she likely had lowering of her seizure threshold during an acute infection in the setting of genetic predisposition with her history of developmental delay, hypotonia, and identical twin with febrile seizures.
Neurofilament light chain (NFL) is expressed in neurons and is a marker for neuronal injury. NFL has been used as a biomarker in other diseases including multiple sclerosis (MS) and Alzheimer’s disease (Gordon, 2020). NFL has been reported elevated in 2/6 adult COVID19 patients with neurological symptoms. (Eden et al., 2020) We also observed elevated NFL in two of our patients. NFL has been used in determining long-term prognosis, including predicting clinical progression or neurodegeneration in MS; thus, how CSF NFL is associated with long-term prognosis in COVID-19 patients is yet to be examined.
This case series is limited by its small sample size and varied medical work-up between patients. Moreover, the autoimmune encephalitis panel was only sent on two of five patients. Another limitation is that paired serum/plasma samples were not available in all patients, so whether the CSF cytokine/chemokine signatures reflect a crossing of the blood brain barrier versus CSF specific inflammation is unknown. Our ideal would have been to compare the CSF of NP-COVID-19 group with the CSF of COVID-19 positive patients without neuropsychiatric symptomatology. However, it is not standard of care to obtain CSF samples in these patients, thus limiting the availability of these samples for comparison.
In conclusion, the present case series describes multiple clinical phenotypes of acute neuropsychiatric symptoms in pediatric patients with MIS-C and acute COVID-19. We also identified cytokine, chemokine, and SARS-CoV-2 antibody profiles in children with COVID-19 associated neuropsychiatric symptoms, which may serve as biomarkers for SARS-CoV-2 mediated disease and provide insight into underlying pathophysiology of COVID-19 associated neuroinflammation. Future studies employing a prospective, longitudinal design would help identify the psychosocial and biologic underpinnings of the phenotypes illustrated in this series.
Conflicts of interest
B.N., S.A.L, B.S., V.P., L.H., S.B., B.P., K.W., and L.W. have no disclosures.
E.J.A. has received personal fees from AbbVie, Pfizer, and Sanofi Pasteur for consulting, and his institution receives funds to conduct clinical research unrelated to this manuscript from MedImmune, Regeneron, PaxVax, Pfizer, GSK, Merck, Novavax, Sanofi-Pasteur, Janssen, and Micron. He also serves on a safety monitoring board for Sanofi-Pasteur and Kentucky BioProcessing, Inc.
C.A.R.’s institution has received funds to conduct clinical research unrelated to this manuscript from BioFire Inc, GSK, MedImmune, Micron, Janssen, Merck, Moderna, Novavax, PaxVax, Pfizer, Regeneron, Sanofi-Pasteur. She is co-inventor of patented RSV vaccine technology unrelated to this manuscript, which has been licensed to Meissa Vaccines, Inc.
G.Y.G. receives salary support from the Centers for Disease Control and Prevention for surveillance for acute flaccid myelitis.
Funding
This work was funded by institutional funding from Emory University and Children’s Center for Infections and Vaccines.
This study was supported in part by the Emory Multiplexed Immunoassay Core (EMIC), which is subsidized by the Emory University School of Medicine and is one of the Emory Integrated Core Facilities. Additional support was provided by the National Center for Georgia Clinical & Translational Science Alliance of the National Institutes of Health under Award Number UL1TR002378. The content is solely the responsibility of the authors and does not necessarily reflect the official views of the National Institutes of Health.
Data availability statement
The data that support the findings of this study are available from the corresponding author upon reasonable request.
Author statements
Binh Ngo, MD: methodology, investigation, resources, writing – original draft, writing – review and editing
Stacey A. Lapp, MS, MPH: methodology, investigation, formal analysis, writing – review and editing
Benjamin Siegel, MD: methodology, formal analysis, investigation, writing – original draft, writing – review and editing
Vikash Patel, MS: investigation, edited final version
Laila Hussaini, MS: investigation, edited final version
Sonali Bora, MD: conceptualization, methodology, writing – review and editing
Bryan Philbrook, MD: conceptualization, methodology, writing – review and editing
Kristin Weinschenk, MD: conceptualization, methodology, writing – review and editing
Laura Wright, PhD: investigation, writing – review and editing
Evan J. Anderson, MD: methodology, resources, writing – review and editing
Christina A. Rostad, MD: conceptualization, methodology, formal analysis, investigation, resources, writing – original draft, writing – review and editing, visualization, supervision, project administration, funding acquisition
Grace Y. Gombolay, MD: conceptualization, methodology, formal analysis, investigation, resources, writing – original draft, writing – review and editing, visualization, supervision, project administration, funding acquisition
Acknowledgements
The authors would like to thank research coordinators including Marco Benoit, Felicia Glover, Austin Lu, Lisa Macoy, Amber Samuel, Ashley Tippett, and Kathy Stephens, along with Children’s Healthcare of
Atlanta Research Laboratory along with the Emory Children’s Clinical and Translational Discovery Core and patients and their families.
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Inheritance of esters and other volatile compounds responsible for the fruity aroma in strawberry
Pol Rey-Serra\textsuperscript{1,2}, Mourad Mneija\textsuperscript{1,2} and Amparo Monfort\textsuperscript{1,2,*}
\textsuperscript{1}Centre for Research in Agricultural Genomics (CRAG), CSIC-IRTA-UAB-UB, Barcelona, Spain, \textsuperscript{2}Institut de Recerca i Tecnologia Agroalimentaries (IRTA), Barcelona, Spain
Cultivated strawberry, \textit{Fragaria x ananassa}, has a complex aroma due to the presence of more than 350 volatile organic compounds (VOCs). However, a mixture of only 19 compounds, called Key Volatile Compounds (KVC), can impart the main strawberry aroma. The octoploid nature of the cultivated strawberry species ($2n=8x=56$) adds complexity to the inheritance of the accumulation of the volatiles responsible for aroma. An F1 population cross between two breeding parental lines, FC50 and FD54, was phenotyped for aroma by SPME GCMS during six harvests. A total of 58 compounds were identified: 33 esters, nine terpenes, seven aldehydes, four lactones, two furans, one acid, one alkane and one alcohol, of which 16 were KVCs. A total of 179 QTLs were found, and 85 of these were detected in at least three harvests, of which 50 QTLs were considered major (LOD>4.0) and detected in five or six analyzed harvests. Several clusters of ester QTLs associated with fruity aroma were discovered, such as QTLs for esters that share hexanoate group that were mapped in LG4A (\textit{Hexanoate_4A}), those that share acetate and octyl groups in LG6A (\textit{Acetate_6A} and \textit{Octyl_6A}) or those with the same methyl group in LG7B (\textit{Methyl_7B}). Different terpene QTLs associated with floral aroma appear grouped in a cluster in LG3C (\textit{Terpene_3C}). Some of these clusters of QTLs were validated in a second F2 population, a cross of "Camarosa" and "Dover," that was also phenotyped for three years. Selected SNPs from floral and fruity aroma QTLs were tested in a third population, which will most likely be useful for marker-assisted breeding (MAB).
KEYWORDS
\textit{Fragaria x ananassa}, aroma, QTL, key volatile compounds, marker-assisted breeding
Introduction
Strawberries are one of the most consumed berries worldwide. During the last decades, strawberry breeding programs had been focused principally on fruit quality and disease resistance. However, consumers are demanding better tasting fruits (Folta and Klee, 2016) and for that reason, quality traits such as volatiles and polyphenolic content has gained importance in breeding programs. Volatile compounds, which increase during fruit ripening, are perceived as a healthy nutrient label (Goff and Klee, 2006).
In strawberries a total of 979 volatile organic compounds (VOCs) were identified (Ulrich et al., 2018), but humans perceive only a few of them which contribute to the
strawberry aroma (Schieberle and Hofmann, 1997; Ulrich et al., 1997; Nuzzi et al., 2008; Urrutia et al., 2017). The large variability in strawberry volatile compounds can be explained by genetics, maturity stage and postharvest factors (Schwieterman et al., 2014). Woodland strawberry has a particular flavor and a more intense flavor than cultivated strawberry. Recent studies have shown that only a few VOCs correlate with human preferences and these enhance sweetness perception (Schwieterman et al., 2014; Fan et al., 2021).
Fatty acids are the major precursor of aromatic compounds, such as straight-chain acids, alcohols, aldehydes, esters, ketones and lactones. Esters, the most abundant chemical family in strawberry fruits, are produced by the esterification of alcohols, dehydrogenated by alcohol dehydrogenase (ADH), and acyl-CoA catalysed by the alcohol acyl transferases (AAT). In this last step, strawberry alcohol acyltransferase (SAAT) shows a wide range of substrate affinity (Aharoni et al., 2000; Beekwilder et al., 2004). Aldehydes and alcohols decrease during ripening at the same rate as the transcription level of AAT is increased in apricot (Gonzalez-Aguero et al., 2009) and during postharvest in peach (Zhang et al., 2010). Acyl-coA can be synthesised by β-oxidation or via lipoxygenases (LOX) being aldehydes and alcohol intermediates.
Branched and aromatic ester compounds are synthesised through amino acid metabolism. In strawberry, two eugenol synthases (FaEGS1 and FaEGS2) are involved in the biosynthesis of eugenol and both are controlled by an R2R3 MYB transcription factor (FaEOBI; Aragiez et al., 2013; Medina-Puche et al., 2015). An anthranilate acid methyl transferase (FaAAMT) controls the last step of methyl anthranilate synthesis (Pillet et al., 2017). However, this compound is only detected in few cultivars and in woodland strawberry (Ulrich et al., 1997; Schwieterman et al., 2014).
Furthermore, Z-3/E-2-hexenal isomerases are responsible for converting Z-3-hexenal to E-2-hexenal as described in cucumber (Spyropoulou et al., 2017). Different studies reported that an omega-6 fatty acid desaturase (FaFAD1) is necessary for the lactone γ-decalactone biosynthesis (Chambers et al., 2014; Sanchez-Sevilla et al., 2014).
Furanones can also produce volatile compounds such as mesifurane and furaneol. A quinone oxidoreductase (FaQR) is required for furaneol biosynthesis (Raab et al., 2006) and an O-methyltransferases (FaOMT) methylate furaneol to produce mesifurane (Wein et al., 2002).
Finally, terpene compounds are also highly accumulated in strawberry fruits. Terpenes are derived from isopentenyl pyrophosphate (IPP) and dimethylallyl pyrophosphate (DMAPP) which can produce both monoterpenes and sesquiterpenes, independently. In strawberry, nerolidol synthase (FaNES1) can synthesise the monoterpene linalool and the sesquiterpene nerolidol (Aharoni et al., 2004). FaNES1 is present only in cultivated but not in wild strawberries (Aharoni et al., 2004). Moreover, FaNES1 has been widely screened in cultivated, wild octoploid and diploid accessions, reporting that only octoploid strawberries have the functional allele (Chambers et al., 2012). On the other hand, some compounds, such as myrtenol, play an important part in the aroma of woodland strawberry, and are not present in cultivated strawberry (Aharoni et al., 2004; Ulrich et al., 2007).
Among all the VOCs identified, 19 volatile compounds have been described as those most relevant in strawberries as aroma representatives and are considered as key volatile compounds (KVCs) in wild strawberry (Urrutia et al., 2017). Their importance lies in overcoming the threshold of odour perception in humans, and the combination of these 19 compounds produces the characteristic strawberry aroma (Schieberle and Hofmann, 1997; Ulrich et al., 1997, 2007). These KVCs are composed by 12 esters, two aldehydes, two furans, two terpenes and one lactone. Ester volatile compounds, such as butyl acetate, hexyl acetate, methyl butanoate, ethyl butanoate, butyl butanoate, methyl hexanoate or ethyl hexanoate, deliver fruity and sweet notes. Other esters such as methyl cinnamate providing spicy notes, myrtenyl acetate conferring herbaceous notes and methyl anthranilate that provides strawberry-like flavor are only present in few cultivars. The γ-decalactone is a lactone that provides a peach aroma. Aldehydes, such as E-2-hexenal and Z-3-hexenal and their ester derivatives, E-2-hexenyl acetate and Z-3-hexenyl acetate, deliver herbaceous notes. Furans, mainly furanole and mesifurane, contribute to the strawberry aroma with caramel notes. Finally, terpene compounds, such as linalool and nerolidol, provide a floral aroma (Schieberle and Hofmann, 1997; Ulrich et al., 1997, 2007; Jetti et al., 2007; Nuzzi et al., 2008; Olbricht et al., 2008; Schwieterman et al., 2014).
Strawberry has an allo-octoploid genome composed by four subgenomes, one related to *Fragaria vesca*, another to *Fragaria iinumae* with the last two subgenomes being under discussion (Edger et al., 2020; Liston et al., 2020). The release of the *F. × ananassa* genome (Edger et al., 2019), increased the genomic knowledge of the cultivated strawberry. To characterize trait heritance, several dense genetic maps were constructed using the IStraw90k (Bassil et al., 2015) and IStraw35k SNP arrays (Verma et al., 2017). Recently, new 850 and 50 k SNP arrays have been developed (Hardigan et al., 2020).
QTLs for volatile compounds have been detected in previous studies. Zorrilla-Fontanesi et al. (2011) screened an F1 population by GC–MS and mapped 70 QTLs for 48 different volatile compounds, but only 35 of them were found to be stable over time. A near-isogenic line (NIL) collection using *F. vesca*, as the recurrent parent, and *F. bucharica*, as the donor parent, revealed 14 QTLs for different key volatile compounds (Urrutia et al., 2017). Moreover, RNAseq analysis identified two genes involved in the accumulation of two volatile compounds (Chambers et al., 2014; Sanchez-Sevilla et al., 2014; Pillet et al., 2017).
The main goal of this study is to increase the knowledge of the genetic regions responsible for the complex aroma of cultivated strawberry fruits. We will do this with two populations (the F1 of “FC50” × “FD54”, and the F2 of “Camarosa” × “Dover”) for which high-density linkage maps are already available (Rey-Serra et al., 2021). The VOC diversity obtained by GC–MS was analyzed in the F1 population from six harvests over three consecutive years,
where a set of major and stable QTLs were identified. These were validated using a second F2 population and the SNPs associated with aroma KVC QTLs were used to select these traits in a breeding population.
**Materials and methods**
**Plant material**
An F1 population ($N=70$) derived from a cross between two breeding lines, “FC50,” a seedling from the cross between “Donna” and “Cigaline” and “FD54,” an offspring from the cross between cultivars “Darselect Bright” and “Candonga” (hereafter “FC50 × FD54”). “FC50” has a wild strawberry aroma, whereas “FD54” has a characteristic fruity aroma. At least six clonal runner plants per progeny or parental lines were grown using standard cultivation practices in the south-west of France (Le Barp, latitude: 44°67′N, longitude 0°73′W) for three successive years (2016–2018). Ripe fruits were collected from six harvests over 3 years. Harvests from the same year were collected in one to 2 weeks’ intervals in May and June on 26/05/2016, 06/06/2016, 29/05/2017, 07/06/2017, 30/05/2018 and 07/06/2018. Each year, the plants have been clonally replicated by runners. Grandparents were also cultivated for further analysis.
A cross between two commercial cultivars, “Dover” and “Camarosa” produced a hybrid “H-21” which was self-pollinated to obtain an F2 population with 117 progenies (hereafter “21AF”). “Dover” was selected for its good agronomic performance and disease resistance, “Camarosa” for its fruit qualities such as its high polyphenol content. At least two clones per progeny or parental line were grown using standard cultivation practices in the northeast of Spain (Caldes de Montbui, latitude: 41°36′N, longitude 2°10′E) for 3 years (2014, 2015, and 2018). Ripe fruits were picked up over several days in May and June 2014, 2015, and 2018 and in this F2 population the harvested fruits from the same year were considered as an individual harvest. Each year, clonal runner plants were replicated.
**Volatile compound analysis by GC–MS**
Each sample consisted of a pool of three to five strawberry fruits from each genotype and harvest, frozen in $\text{N}_2$ ($\text{liq}_2$), powdered with a coffee grinder and stored immediately at $-80^\circ\text{C}$. To perform the GC–MS assay, 1 g of powdered strawberry fruit was weighted into a 10 ml screw cap headspace vial and 1 ml of saturated NaCl solution added together with 10 ppm of internal standard (3-hexanone; Sigma-Aldrich, MO, United States). A GC Sampler 80 (Agilent Technology, CA, United States) was used for incubation, extraction and desorption. Vials were first heated at 50°C during 10 min with agitation at 500 rpm, then SPME fibre (50/30 μm DVB/CAR/PDMS; Supelco, PA, United States) was exposed into the headspace vial for 30 min in the same conditions to extract the volatile compounds. The extracted volatiles were desorbed in the GC injection port at 250°C for 5 min in splitless mode. Volatile compounds were analyzed on a 7890A gas chromatograph coupled with a 5975C mass spectrometer (Agilent Technology, CA, United States). An HP-5MS UI GC column (30 m, 0.250 mm, 0.25 μm; J&W, CA, United States) and 1.2 ml/min constant helium flow was used for chromatographic separation. Oven conditions began at 40°C for 2 min, increasing by 5°C/min ramp until reaching a temperature of 250°C and maintaining that temperature for 5 min.
All profiles were analyzed using Enhanced ChemStation software (Agilent Technologies, CA, United States) and compared with mass spectra libraries, NIST08 and NIST11. In addition 19 key volatile compounds (KVCs) were identified by comparing the retention time and ion fragmentation with each respective commercial standard (Sigma-Aldrich, MO, USA), and the remaining compounds by comparing the non-isothermal Kovats retention index (KI). The KI (van den Dool and Kratz, 1963) is calculated using C7–C30 saturated standards (Sigma-Aldrich, MO, United States). Our results were compared with KI from NIST database.\footnote{\url{https://webbook.nist.gov/chemistry/gc-ri/}} Only those peaks that could be clearly identified were used for further analysis (Supplementary Table 1). Identified compounds areas were integrated by selecting a specific ion and multiplying by a response factor to get the real compound area. Then these areas were normalized by the 3-hexanone internal standard peak from each sample.
**Data analysis**
The statistical analysis of GC–MS data was performed using R v3.6.2 (RCoreTeam, 2019) with the Rstudio v1.2.5033 interface (RStudio, 2019). A violin plot was obtained using “ggplot2” R package (version 3.3.0) that visualise relative VOCs content distribution. and Pearson correlation between VOCs were calculated using “cor” function and visualised as cluster network analyses (CNA) using “qgraph” function from “qgraph” R package (version 1.6.5) and Pearson correlation between harvests and VOCs were visualised by “corrplot” R package (version 0.84). Heatmap representation of hierarchical cluster analysis was performed using “heatmap.2” function from “gplots” R package (version 3.0.3). Principal component analysis (PCA) was done with “fviz_pca_biplot” function from “factoextra” R package (version 1.0.7). Omega squared values ($\omega^2$) were derived from ANOVA residuals calculated with “aov” function and using the formula: $(\text{SSI} - \text{df} * \text{MS}_{\text{err}}) * (\text{MS}_i + \text{MS}_{\text{err}})^{-1}$. Boxplots were drawn using “ggplot2” package (version 3.3.0) and “ggsignif” function (version 0.6.0) to calculate the t-test significant level.
Volatile QTL analysis
To analyse the genetic regions responsible for the VOCs variance, a reduced “FC50×FD54” genetic map was constructed with 1,464 markers grouped in 28 LGs and spanning 2,273 cM. Likewise, we used a reduced genetic map from the F2 “Camarosa” × “Dover” population (“21AF”) with 1,457 markers grouped in 29 LGs and spanning 1808.05 cM (Rey-Serra et al., 2021).
VOC data was transformed with log$_2$ and analyzed separately for each harvest in the MapQTL®6 software (van Ooijen, 2009) using the Interval Mapping method (IM) and nonparametric Kruskal–Wallis test (KW). Same criteria as Rey-Serra et al. (2021) was followed to classify QTLs. A QTL was determined with a minimum LOD score of 2.5 by IM and when detected in at least two harvests. The threshold to identify a major QTL was calculated by a permutation test and established at a LOD score of four. KW has been used to determine the most accurately linked marker. $R^2$ determines the percentage of phenotypic variation expressed by the QTL. The MapChart2.2 software (Voorrips, 2002) was used to visualize each QTL in our genetic map with fill and color parameters that distinguish the stability and chemical family of each VOC, respectively. The QTL size was determined according to the overlapping 1-LOD confidence interval to define either side of the peak.
To identify the physical position of each marker, SNP probes were blasted to the *F × ananassa* cv. “Camarosa” genome (Edger et al., 2019) as explained in Rey-Serra et al. (2021). Once the genome distances of the QTLs had been delimited, genes inside each QTL were analyzed by gene homology using NCBI, SwissProt, Tair10 and TrEMBL database obtained from https://www.rosaceae.org/species/fragaria_x_ananassa/genome_v1.0.a1 (Jung et al., 2019).
Results
Volatile compound composition
To identify the compound variability in the strawberry aroma, full ripe fruits from 68 plants of the “FC50×FD54” population collected in six different harvests over three consecutive years (2016–2018) were analyzed by GC–MS. From hundreds of peaks present in strawberry aroma profile, 58 volatile organic compounds (VOCs) could be clearly identified (Table 1; Supplementary Table 2) including, 33 (57%) esters, nine (16%) terpenes, seven (12%) aldehydes, three (5%) lactones, two (3%) furans and four (7%) from compounds different to other families. Out of the 19 compounds considered as key volatile compounds (KVCs), 16 were identified (Table 1). Myrtenyl acetate and methyl cinnamate peaks were not present in this population and the Z-3-hexenal peak was almost undetectable.
The compounds that showed the highest peaks were methyl butanoate, ethyl butanoate, butyl butanoate, methyl hexanoate, ethyl hexanoate, E-2-hexenal, mesifurane, γ-decalactone and linalool which are KVCs (Table 1; Supplementary Figure 1). Despite the fact that VOC content differed among harvests, the “FD54” parental line displayed a significantly higher ($p$-value <0.05) concentration of most VOCs compared to the “FC50” parental line, such as some esters (methyl 3-methylbutanoate, methyl decanoate and methyl benzenecacetate), aldehydes (hexanal, heptanal and Z-2-heptanal), lactones (γ-octalactone and γ-decalactone) and terpenes (β-pinene, D-limonene, α-terpineol, linalool and geraniol), whereas the concentrations of methyl anthranilate and methyl nicotinate were significantly higher in the “FC50” parental line than in “FC54.” In addition, “FC50×FD54” progeny showed greater variation for each VOC than the parental lines (Supplementary Figure 1).
VOC distribution in each harvest was checked by a Shapiro–Wilk test which revealed that few compounds (methyl butanoate, methyl hexanoate, hexanal, E-2-hexenal, Z-2-heptanal and γ-decalactone) were normally distributed. However, when the VOC content was transformed to log$_2$, the majority (42/58) presented a normal distribution in at least three harvests (Supplementary Table 3).
Volatile correlation analysis
A Cluster network analysis (CNA) was drawn to visualise the relationships between different VOCs (Figure 1; Supplementary Table 4). This analysis clearly clustered the different terpene compounds that show a strong correlation and separates them from the rest of the VOCs. Esters, which are the most abundant compounds, were shown to be highly correlated with each other, while branched esters display less correlation with other compounds. Lactones showed a high correlation with each other and with few esters. Similarly, furan compounds revealed a high correlation with each other and with hexyl butanoate. Only the aldehyde family presented a low correlation between its components. Indeed, few weak negative correlations were detected.
To further understand the relationship between compounds in different harvests, Pearson correlation between VOCs, independently of the harvest, were calculated (Supplementary Table 5). The results showed that ester compounds sharing the same acyl-CoA group were highly correlated (0.43–0.90 correlation range between VOCs and harvests), such as propyl butanoate with ethyl butanoate, isopropyl butanoate with butyl butanoate, and methyl hexanoate with propyl hexanoate and with isoamyl hexanoate. Similarly, esters having the same alcohol group showed high correlations (between 0.30 and 0.97), such as methyl hexanoate with methyl octanoate and with methyl decanoate, ethyl hexanoate with ethyl 2-hexenoate, with ethyl octanoate and with ethyl butanoate, methyl octanoate with methyl decanoate, hexyl butanoate with hexyl acetate, and octyl acetate with octyl 3-methylbutanoate and with octyl hexanoate (Supplementary Figure 2).
Lactones also presented high correlations, the highest being between $\gamma$-dodecalactone and $\gamma$-decalactone (0.52–0.83). Likewise, furans showed a greater correlation between each other than with other compounds (Supplementary Figure 2).
The most stable correlations across the different harvests were detected between terpene compounds. Indeed, the minimal correlation between monoterpenes was 0.74, while for sesquiterpenes it was 0.77. However, the minimal correlation between monoterpene and sesquiterpene compounds was quite low (0.32). Notably, linalool showed the highest correlations among all terpene compounds ranging from 0.60 to 0.99 (Supplementary Figure 2).
Moreover, high correlations between compounds belonging to different families were also observed. For instance, some butanoate related esters and furans presented a high correlation between each other. Likewise, some lactones with ester compounds and some terpenes with compounds from other families with a maximum correlation of 0.76 (Supplementary Figure 2).
To better understand the relationship between VOCs and progenies, parental lines (“FC50” and “FD54”) and grandparental lines (“Donna,” “Cigaline,” “Darselect Bright” and “Candonga”), a hierarchical cluster analysis (HCA) using the average of six harvests was performed. A heatmap representation of the HCA shows three main compounds and four individual clusters (Figure 2). Compound cluster 1 agglomerated 43% of the VOCs, which is divided into two subclusters, 1A and 1B. Compound cluster 1A, contained 21% of the VOCs and grouped esters derived from octyl-CoA and lactones. Compound cluster 1B, comprised 22% of the VOCs and clustered aldehydes and hexyl-CoA esters. Compound cluster 2, the smallest one, grouped 9% of the VOCs, being all butanoate derived esters. Finally, compound cluster 3 agglutinated 48% of the VOCs that join terpenes, hexanoate derived esters and branched ester, where the latter is the furthest from the others.
The hierarchical cluster analysis defines four groups of genotypes which could be interesting for breeding purposes (Figure 2). Most of the lines (64%), were grouped together in a big cluster A, which is separated into two subclusters, A1 and A2. Cluster A1 included 18% of the individuals such as “FC50” and “Donna” and was characterized by its relatively low VOC content. Cluster A2, the largest group, comprised 46% of the individuals such as “Candonga,” and was distinguished by its high content of several VOCs, but also by its low terpene content. Cluster B, represented by a unique sample, “Cigaline,” was characterized by its high content of octanol, methyl nicotinate, butyl acetate and ethyl E-2-hexanoate. Cluster C corresponded to 28% of the individuals that includes “FD54.” This cluster was characterized by showing a high terpene and several ester contents. The last group, cluster D with only 5 individuals (7%), includes “Darselect Bright,” and differs by its high content of almost all VOCs except terpenes (Figure 2).
**Analysis of the environmental effect on VOCs**
In response to varying environmental conditions, plants could alter the biosynthesis of some VOCs in different ways. We assumed that each harvest, cultivated in the open field, to be under different environmental conditions and therefore, its VOC accumulation would be affected. To figure out how different environmental conditions might affect VOC content, a Principal component analysis (PCA) was performed. The first three dimensions explained 26.5% (Dim1), 11.9% (Dim2) and 8.2% (Dim3) of the VOC variance. Each harvest partially overlapped the others in both PCA plots. The closest harvests were from the same year, but slight differences arose between years, the most divergent being 2018 (Supplementary Figure 3).
Regarding the contribution of VOCs to each PCA plot, the plot of Dim1 and Dim2 showed that terpene, lactone and aldehyde compounds were clustered together and esters such as the octyl group and hexanoate related esters were forming a
small and dense group. Other ester compounds were scattered (Supplementary Figure 3A). However, no clear pattern was found when plotting together the Dim 1 and Dim 3 (Supplementary Figure 3B).
To dissect the variance caused by the genotype (G), the environment (E) or their interaction (GxE) regarding the VOC accumulation, the significance of each factor and trait was calculated and quantified (Supplementary Table 6). The analysis of variance (ANOVA), taking into account the genotype, year and interaction between both (G + E + GxE), revealed 50 VOCs with significant genetic differences ($p$-value < 0.05), 48 VOCs depending significantly on the environmental effect and only 18 VOCs exhibiting a significant effect of GxE interaction.
In general, the genotypic factor was the main contributor to the observed variance over environment and GxE. At least 25% of the observed variance was explained by the G factor in 26 VOCs. This genetic variance was particularly high in linalool, nerolidol and octyl 3-methyl butanoate, explaining about 40% of their variance. In contrast, a high influence of the E factor was detected in some VOCs, explaining more than 30% of their total observed variance, such as methyl salicylate, nonanal, octanol and $\gamma$-nonalactone. The GxE effect never exceeded 20% of the total
observed variance in any VOCs. The part of the VOC variability that cannot be attributed to any of the above factors, was named “error” (Supplementary Table 6).
**Key volatile compounds in the “21AF” population**
Fully ripe fruits from a second population (“21AF”) were similarly analyzed by GC–MS for three harvests (2014, 2015, and 2018) to measure their KVCs (Supplementary Table 7). In this population, methyl anthranilate and furaneol were not detected. The distribution analysis shows that the KVCs in each year were normal distributed and overlapped on violin plot representation (Supplementary Figure 4A; Supplementary Table 8). As described in F1 population, high correlations were detected between ester compounds that share the same acyl-CoA group (0.49–0.79 in range), such as between butyl acetate and hexyl acetate, or the same alcohol group, such as between methyl butanoate and methyl hexanoate or between ethyl butanoate and ethyl hexanoate. Also, high correlations were found between other ester compounds, such as between hexyl acetate and butyl butanoate or between hexyl acetate and ethyl hexanoate. In addition to esters, two terpene compounds, linalool and nerolidol, also exhibited high correlation between each other ranging between 0.60 and 0.71 according to the year (Supplementary Figure 4B). The performed hierarchical cluster analysis classified the genotypes by groups in relation to their KVC accumulation. (Supplementary Figure 4C). The same overlapping behavior, as for the F1 population, was observed in the PCA plots when comparing all KVCs from different years together (Supplementary Figure 4D).
**Volatile QTL detection**
A total of 58 VOCs were characterized by GC–MS in the “FC50×FD54” population, of which 16 were considered KVCs. By the genetic analyses, a total of 179 QTLs were discovered, exhibiting a LOD > 2.5 in at least two different harvests, for 55 different VOCs (Supplementary Table 9). From these, 94 QTLs were detected in more than three harvests and 22 in five to six harvests (Figure 3). Up to 50 QTLs were considered major (LOD > 4.0) and described with more detail in Table 2. A total of 44 QTLs were mapped for 14 KVCs, of which 11 were major. Only two KVCs, ethyl butanoate and E-2-hexenyl acetate, did not show any significant QTL.
Focusing on KVC_QTLs of the ester family, two butyl acetate QTLs were mapped: BA_5A, with $R^2 \leq 27.0$, and
BA_6A, a major QTL detected in five of the six analyzed harvests with $R^2 \leq 35.2$. Significant QTLs for hexyl acetate were detected and the most important ones are HA_1A and HA_5A with $R^2 \leq 24.6$. For methyl butanoate, different QTLs were discovered such as MB_2B, a major QTL with $R^2 \leq 28.5$ and MB_3A with $R^2 \leq 20$. For butyl butanoate, a single QTL was mapped in LG6A with $R^2 \leq 27.4$. Two major QTLs were detected for methyl hexanoate that are MH_4A present in four of the six harvests with $R^2 \leq 44.5$ and MH_7B observed in half of the harvests with $R^2 \leq 36.3$. Six different QTLs were detected for methyl anthranilate, of which two were constant in three of the six harvests that are MA_1A, which explained $R^2 \leq 34.6$ and MA_5D with $R^2 \leq 29.0$. A third interesting major QTL for MA was consistent in all harvests, which in LG7A explained a
| QTL ID | KVC | Har. | LOD | $R^2$ | LG | QTL boundaries (cM) | QTL interval (cM) | F. × ananassa genome |
|------------|-----|------|------|-------|------|---------------------|-------------------|----------------------|
| | | | | | | | | QTL interval (pb) | Nb. genes |
| FC50×FD54 | | | | | | | | | |
| BA_6A | X | 5 | 5.19 | 35.2 | 6A | 68.03 | 77.92 | 9.89 | 5,541,008 | 753 |
| OA_6A | 6 | 14.41| 69.4 | | 6A | 73.39 | 92.94 | 19.55 | 11,087,539 | 1,652 |
| MB_2B | X | 4 | 4.07 | 28.5 | 2B | 58.73 | 76.17 | 17.44 | 6,021,672 | 1,021 |
| IPB_4B | 3 | 5.53 | 37.6 | | 4B | 1.86 | 12.14 | 10.29 | 152,931 | 13 |
| M3MB_3B | 4 | 6.52 | 41.5 | | 3B | 64.92 | 69.99 | 5.07 | 5,783,583 | 653 |
| PB_5A | 4 | 4.13 | 29.2 | | 5A | 53.10 | 84.11 | 31.01 | 16,168,702 | 2,154 |
| PB_5D | 3 | 4.91 | 33.2 | | 5D | 5.91 | 15.94 | 10.03 | 6,955,239 | 1,108 |
| HB_1A | 4 | 5.06 | 35.1 | | 1A | 28.15 | 56.67 | 28.52 | 6,127,553 | 1,037 |
| HB_6A | 4 | 4.64 | 32.7 | | 6A | 3.65 | 31.50 | 27.85 | 6,369,285 | 1,096 |
| OB_1A | 3 | 5.72 | 38.6 | | 1A | 43.14 | 50.98 | 7.84 | 2,217,834 | 339 |
| OB_6A | 6 | 11.26| 61.7 | | 6A | 77.92 | 90.13 | 12.21 | 6,023,570 | 830 |
| O3MB_2D | 4 | 4.51 | 31.9 | | 2D | 3.71 | 13.37 | 9.67 | 6,336,099 | 653 |
| O3MB_6A | 6 | 14.4 | 44.5 | | 6A | 73.39 | 85.13 | 11.74 | 6,023,570 | 830 |
| MH_4A | X | 4 | 6.91 | 44.5 | 4A | 57.48 | 62.90 | 5.42 | 7,402,050 | 1,233 |
| MH_7B | X | 3 | 5.49 | 36.3 | 7B | 27.13 | 49.80 | 22.67 | 10,345,159 | 1,754 |
| IPH_4A | 4 | 4.51 | 31.9 | | 4A | 57.48 | 61.90 | 4.42 | 7,402,050 | 1,233 |
| IPH_7B | 6 | 9.08 | 53.9 | | 7B | 27.13 | 44.57 | 17.44 | 4,953,047 | 765 |
| IAH_4A | 4 | 5.25 | 36.1 | | 4A | 54.49 | 60.08 | 5.59 | 7,402,050 | 1,233 |
| HH_4A | 3 | 4.48 | 31.8 | | 4A | 54.49 | 62.90 | 8.41 | 7,402,050 | 1,233 |
| OH_6A | 6 | 12.59| 65.2 | | 6A | 73.39 | 90.13 | 16.74 | 6,023,570 | 830 |
| M2H_4A | 3 | 4.32 | 30.8 | | 4A | 56.49 | 61.90 | 5.41 | 7,402,050 | 1,233 |
| MO_4A | 4 | 7.22 | 46 | | 4A | 58.48 | 61.90 | 3.42 | 7,402,050 | 1,233 |
| MO_7D | 5 | 4.03 | 28.6 | | 7D | 6.36 | 20.70 | 14.33 | 7,059,468 | 849 |
| MD_4A | 6 | 9.98 | 57.3 | | 4A | 57.48 | 62.90 | 5.42 | 7,402,050 | 1,233 |
| MBA_1A | 3 | 4.37 | 31.1 | | 1A | 1.82 | 8.85 | 7.03 | 1,881,958 | 382 |
| MBA_3C | 6 | 4.45 | 31.1 | | 3C | 53.25 | 86.54 | 33.29 | 14,891,344 | 1,682 |
| MN_3C | 6 | 14.93| 72 | | 3C | 18.55 | 35.35 | 16.80 | 2,519,086 | 358 |
| MS_3C | 6 | 13.63| 68 | | 3C | 18.55 | 21.35 | 2.80 | 2,519,086 | 358 |
| MA_1A | X | 3 | 5.07 | 34.6 | 1A | 31.87 | 38.92 | 7.06 | 2,839,656 | 526 |
| MA_3D | X | 3 | 4.16 | 29 | 5D | 4.85 | 10.09 | 5.24 | 5,079,981 | 809 |
| MA_7A | X | 6 | 7.3 | 46.4 | 7A | 24.26 | 46.52 | 22.26 | 16,373,010 | 2,767 |
| Dode_6B | 3 | 4.15 | 28.9 | | 6B | 92.16 | 126.82 | 34.65 | 5,991,681 | 1,078 |
| Dode_7B | 4 | 6.85 | 44.2 | | 7B | 19.56 | 40.22 | 20.66 | 2,871,386 | 395 |
| Oac_1C | 3 | 4.85 | 33.9 | | 1C | 0.00 | 21.93 | 21.93 | 3,554,988 | 667 |
| Oac_7D | 5 | 6.25 | 41.3 | | 7D | 0.00 | 14.05 | 14.05 | 11,737,287 | 1,243 |
| Ool_6D | 3 | 4.54 | 31.6 | | 6D | 50.90 | 61.34 | 10.43 | 4,473,829 | 502 |
| GDo_6D | 4 | 4.06 | 28.8 | | 6D | 53.81 | 66.63 | 12.82 | 9,105,053 | 1,010 |
| F_1C | X | 3 | 4.74 | 33.2 | 1C | 0.00 | 5.52 | 5.52 | 1,505,596 | 283 |
| BP_3C | 6 | 7.15 | 45.6 | | 3C | 1.82 | 7.43 | 5.62 | 954,222 | 171 |
| DL_3C | 5 | 7.32 | 45.2 | | 3C | 1.82 | 7.43 | 5.62 | 954,222 | 171 |
| AT_3C | 5 | 6.2 | 39.9 | | 3C | 1.82 | 5.52 | 3.71 | 954,222 | 171 |
| L_3C | X | 5 | 7.06 | 44 | 3C | 1.82 | 7.43 | 5.62 | 954,222 | 171 |
| G_3C | 6 | 7.01 | 43.8 | | 3C | 1.82 | 7.43 | 5.62 | 954,222 | 171 |
| BF_3C | 4 | 7.23 | 44.8 | | 3C | 1.82 | 33.55 | 33.53 | 6,795,619 | 1,077 |
| BF_4A | 3 | 5 | 34.7 | | 4A | 57.48 | 73.96 | 16.48 | 11,331,026 | 1,980 |
| AC_3C | 5 | 7.25 | 44.9 | | 3C | 1.82 | 34.35 | 32.53 | 6,795,619 | 1,077 |
(Continued)
range of $R^2$ between 22.7% and 46.4% of the phenotypic variance (Supplementary Table 9).
For the terpene family, two major QTLs were detected in five of the six harvests and mapped together with the two most important terpenes, linalool and nerolidol, in LG3C (L_3C and N_3C) with $R^2 \leq 44.6$ of both variances. For nerolidol, another major QTL was identified N_4A, with $R^2 \leq 33.4$ (Table 2).
With respect to lactone family, one QTL was discovered for $\gamma$-decalactone in LG6D $R^2 \leq 25.5$. For furans, two QTLs were constant in three of the six harvests, F_1C a major QTL for furenol, with $R^2 \leq 33.2$, and M_6A a QTL for mesifurane with $R^2 \leq 25.1$.
Looking at map distribution, QTLs for ester compounds were present in almost all linkage groups. Major QTLs of octyl ester compounds were mapped in LG6A, LG6B and LG7B, being the QTL in LG6A the most significant and stable. In LG1A, few ester QTLs were mapped closely to the OB_1A QTL, such as HA_1A, HB_1A, PB_1A and MA_1A. Several QTLs mainly related to hexanoate but also to octanoate and decanoate (MH_4A, IAH_4A, IPH_4A, HH_4A, M2H_4A, MO_4A and MD_4A) were mapped at the end of LG4A. Moreover, QTLs of MH_7B, IPH_7B and MO_7B were detected in LG7B and were mapped close to some octyl ester QTLs (Figure 3; Supplementary Table 9).
All identified terpenes showed QTLs that were major and consistent in at least five of the six harvests (L_3C, BP_3C, DL_3C, AT_3C, G_3C, N_3C, AF_3C, BF_3C and AC_3C). All of them shared the same region at the beginning of LG3C. In addition to these major QTLs, stable QTLs for monoterpene compounds were detected in LG3A and for sesquiterpenes in LG1B, LG4A and LG4C (Figure 3; Supplementary Table 9). The QTLs for lactone compounds were found in few LGs, and the major QTL GDo_6D was co-located in the lower part of the LG6D with GD_6D.
The QTL analysis in the 21AF population showed a total of 51 QTLs for 14 KVCs, but only nine of these were major and consistent in all harvests. Six of these QTLs were for ester compounds, one for lactones and two for terpenes (Table 2; Supplementary Table 9). Concerning the ester QTLs, methyl butanoate and methyl hexanoate QTLs were mapped in the same region in LG1A (MB_1A and MH_1A) and in LG7B (MB_7B and MH_7B), while two other ester compounds, butyl acetate and hexyl acetate, were located in LG6A (BA_6A and HA_6A). For terpenes, linalool and nerolidol QTLs were located at the beginning of LG3C, and for lactones, the $\gamma$-decalactone QTL was mapped at the end of LG3B (Table 2).
**QTL validation in the two populations**
In order to compare and validate the QTLs detected in the two populations studied, an analysis of synteny was carried out and the consistency of the QTLs checked over different harvests and populations. Two ester QTLs BA_6A and MH_7B, and the terpene QTL in LG3C, had been mapped in the same regions of the same LGs in both “FC50 × FD54” and “21AF” populations (Figure 3). In addition, other major QTLs have been detected that may be of interest for breeding. However, they were significant in only one of the studied populations, such as GD_3B and MH_1A detected in the “21AF” and MH_4A and MA_7A discovered in “FC50 × FD54” (Supplementary Figure 5). To improve synteny analysis, high-dense genetic maps were used.
Ester QTLs were spread over different LGs in both populations. Focusing on the interesting QTL cluster in LG6A, BA_6A and HA_6A detected in the “21AF” genetic map in the same region as BA_6A, O3MB_6A, OA_6A, OB_6A and OH_6A identified in the “FC50 × FD54” genetic map (Figure 3). All of these QTLs are related to acetate and octyl groups (Acetate_6A and Octyl_6A). When comparing the relative butyl acetate content in both populations, the detected content was 10-fold higher in “21AF” than in “FC50 × FD54” (Figure 4A). In the case of the Affx-8884155 marker, different segregation behaviors were observed in both populations. The homozygous allele (A) of the “FC50 × FD54” genetic map corresponded to the highest butyl acetate accumulation ($p$-value < 0.001), whereas in the “21AF” genetic map, it was found to be homozygous B. The Acetate_6A was localized in the chromosome 6A. The smallest QTL interval was detected for the hexyl acetate in the “21AF” genetic map, which corresponds to a physical distance of 1.7Mbp and comprises 237 annotated genes (Table 2).
Different ester QTLs with a common methyl group were mapped in LG7B (Methyl_7B) such as MH_7B, IPH_7B and MO_7B in the “FC50 × FD54” genetic map and MH_7B and MB_7B in the “21AF” genetic map. Relative methyl hexanoate content was twice to three times higher in the “FC50 × FD54” population than in “21AF.” When observing the Affx-88897295 marker, individuals carrying the BB genotype showed a higher methyl hexanoate content than those with the AB genotypes in both populations. In fact, individuals with the AA genotype, present only in the “21AF” population, revealed an almost undetectable methyl hexanoate content (Figure 4B). Therefore, the B allele of this marker appears to be responsible for the accumulation of methyl hexanoate. The LG7B corresponded to the *F. iinumae-like* subgenome. The smallest QTL size for the Methyl_7B was of only 0.6 Mbp and included 93 genes (Table 2).
Two of the ester QTLs were detected only in the “21AF” population, these were MH_1A and MB_1A, both of which share a methyl group named as Methyl_1A (Supplementary Figure 5A). However, different QTLs related to the acetate group were detected in the same region of LG1A as the “FC50 × FD54” population. Focusing on the Affx-88812680 marker located in the Methyl_1A QTL interval, individuals with the homozygous A allele showed a significantly higher methyl hexanoate content than those carrying the B allele. Since the AA genotype is not present in the “FC50 × FD54” population, no significant differences were observed between “FC50 × FD54” genotypes. The Methyl_1A QTL covered a physical distance of 3Mbp and contained 481 annotated genes (Table 2).
Regarding the major ester QTLs involving eight different compounds related to the hexanoate group, these were all located at the end of the LG4A (Figure 3) and named as Hexanoate_4A. However, different stability degrees were observed in these compounds. Four of these compounds were directly related to hexanoate group (methyl, ethyl, isoamyl and hexyl hexanoates), two were related to 2-hexenoate group (methyl and ethyl 2-hexenoate), one to octanoate group (methyl octanoate) and one to decanoate group (methyl decanoate; Figure 3; Supplementary Table 9). The AB genotype of the Affx-88856759 marker in the “FC50 × FD54” population showed a significant accumulation of methyl hexanoate ($p$-value < 0.001) compared to the BB genotype (Supplementary Figure 5B). But this QTL was not detected in the “21AF” population, probably masked by the effects of major QTLs in LG1A and LG7B. The Hexanoate_4A QTL was located at the end of LG4A which corresponds to the beginning of the described as *F. vesca-like* chromosome. The QTL interval size is 7.4Mbp containing a total of 1,233 annotated genes (Table 2). Methyl anthranilate is an aromatic ester compound providing wild strawberry aroma that was only detected in “FC50 × FD54.” Looking at the segregation of the Affx-8897207 marker located in LG7A, the AB genotype showed a significantly higher methyl anthranilate content than the AA genotype ($p$-value < 0.001; Supplementary Figure 5C). This MA_7A QTL was located in the middle of the *F. vesca-like* chromosome. This QTL interval was relatively large (16.4Mbp) and therefore 2,767 genes were annotated inside (Table 2).
The terpene family, which provides floral aroma, was identified with five monoterpenes (linalool, β-pinene, D-limonene, α-terpineol and geraniol) and four sesquiterpenes (nerolidol, α-farnesene, β-farnesene and α-curcumen) in the “FC50 × FD54” population (Figure 3), and with linalool and nerolidol in the “21AF” population, since the VOC analysis was restricted to the key compounds. Different major QTLs for all these compounds were colocalized at the beginning of LG3C Terpenes_3C in both populations (Table 2). Focussing on the L_3C QTL, similar linalool relative contents were observed in both populations (Figure 4C). The genetic region of this QTL in the “21AF” genetic map showed a gap which limited the synteny to a few markers. Despite this, good synteny was observed throughout both genetic maps. Looking at the common markers inside this QTL, such as the Affx-88832495 marker, individuals with the AA genotype showed significant differences in the accumulation of linalool compared to the individuals having the AB genotype in “FC50 × FD54” or the BB genotype in “21AF.” This finding suggested that the presence of the A allele at this locus increased linalool content in both populations, while the B allele, particularly in homozygosity, appeared to correlate with a very low linalool accumulation.
Since markers from IStraw35k and 90k arrays are not subgenome-specific, markers from the linalool QTL were located by blast analysis in all homeologous chromosomes and especially abundant in the chromosomes 3A (*F. vesca-like*) and 3C. To identify the chromosome, selected markers from the subgenome-specific 50 k SNP array, were tested in “FC50 × FD54” and those from chromosome 3C showed the same segregation as those mapped in LG3C (data not shown).
In the “FC50 × FD54” genetic map, the shortest terpene QTL interval size was observed in monoterpene compounds with an interval of 0.9Mbp and includes 171 annotated genes (Table 2). However, most of the markers from the “21AF” genetic map were mapped in the other homeologous rather than in chromosome 3C.
γ-decalactone is known to provide peach-like aroma in strawberries. In “21AF” we found a major QTL, consistent in all harvests, in LG3B. Comparing the genotyping data of the marker Affx-88845940 with the γ-decalactone content revealed that the BB genotype correlates with a very low content of γ-decalactone and that both genotypes, AA and AB, which presented small
differences between them, are related to high content of γ-decalactone. This means that A allele determines the γ-decalactone accumulation (Supplementary Figure 5D). This QTL is located at the end *F. iinumae*-like chromosome spanning a physical size of 2.4Mbp that encloses 368 annotated genes (Table 2).
**SNPs for terpene and hexanoate marker-assisted breeding**
A different F1 population, called “C19,” a cross between “FC041” and “FC081” breeding lines, selected for their special aroma, composed of 46 progenies and was chosen for the study of its VOCs. The GC–MS analysis revealed that 14 out of the 19 KVCs were present in the C19 progenies.
SNP markers were selected for the *Terpene_3C* and *Hexanoate_4A* QTLs to construct a Fluidigm® array. Hybridization array analyses showed association between four SNPs with linalool and three SNPs with methyl hexanoate accumulations. The alleles that increased linalool (Affx-88843366, $R^2 \leq 26$) are from the parental line “FC081” and those that increased methyl hexanoate (Affx-88856956, $R^2 \leq 21$) are from “FC041” (Figure 5).
**Discussion**
Volatile organic compounds are key factors for fruit consumer acceptance. For this reason, breeding programs are demanding new tools that allow marker-assisted breeding (MAB) in order to satisfy the market demand. In this study, we present the aromatic profile of two strawberry populations and reveal the genome regions responsible for VOC accumulation. Additionally, some SNP markers are suggested for MAB.
The analysis of the volatilome for the “FC50×FD54” population along six harvests identified 58 VOCs, with 16 of these being KVCs. The total number of VOCs in the “FC50×FD54” population appears to be lower than in previous studies such as the 87 VOCs found in an F1 population (Zorrilla-Fontanesi et al., 2012), the 81 identified in a parental collection (Schwieterman et al., 2014) or the 100 discovered in a *F. vesca* NIL collection (Urrutia et al., 2017). These differences might be caused by the differences that exist between wild and cultivated strawberry, the genetic differences for VOC segregation in the used parental lines and the metabolite identification method used. In our study, Kovats retention index, used for melon (Mayobre et al., 2021), was adopted to identify volatiles, while commercial standards were used for KVCs. Ulrich et al. (2018) reviewed that between 50 and 75 compounds were identified using few strawberry accession lines as also seen in our results. More than half of the VOCs identified in our analysis were esters (57%), followed by terpenes (16%), aldehydes (12%) and lactones (5%). These proportions are comparable to those found in previous studies (Zorrilla-Fontanesi et al., 2012; Schwieterman et al., 2014; Urrutia et al., 2017).
Generally, the high correlation between compounds of the same chemical family suggests that these compounds are regulated in the same way. But also, some high correlations were observed between compounds of different chemical families. Although these correlated compounds did not necessarily share the same biosynthetic pathway, they could have some common transcription factors regulating their activity or some linked genes involved in different volatile pathways. Hence, when selecting a compound, you may be simultaneously selecting others related (Fan et al., 2021). Although the genetic factor was the main contributor to the phenotypic variance, several compounds were rather dependent on the environment.
In our analysis, a high number of QTLs (179) were discovered for 55 identified VOCs in the “FC50×FD54” population. Among them, 94 QTLs were detected in at least three of the six harvests.
for 43 VOCs. This relatively low QTL stability is in concordance with previous studies in strawberry (Zorrilla-Fontanesi et al., 2012; Urrutia et al., 2017). For KVCs, 11 of the 44 discovered QTLs in the “FC50 × FD54” genetic map were detected in at least three of the six harvests for 17 different compounds. However, in the “21AF” genetic map, only nine of the 51 detected QTLs were observed in two different harvests for seven KVCs. Despite the large variation observed between seasons and populations, a good number of the detected QTLs would be valuable for breeding.
Besides, some QTLs controlling the same trait localize in different homeologous groups (HG) as observed in most of the QTL analyses in cultivated strawberry (Zorrilla-Fontanesi et al., 2011, 2012; Lerceteau-Köhler et al., 2012; Cockerton et al., 2018, 2019). In our “FC50 × FD54” population, six VOC_QTLs were mapped in HGs, with always one QTL in one HG being more stable and significant than the others. We therefore suggest that the same genes located in different HGs can contribute to the same trait, but one would have a predominant role and the others would modulate the accumulation of the VOCs (Lerceteau-Köhler et al., 2012).
Some QTLs have been validated in different genetic backgrounds. An interesting example is the Terpenes_3C QTL, responsible for the pleasant floral aroma, identified at the beginning of LG3C. In the “21AF” population this QTL showed higher LOD score than in the “FC50 × FD54” population. The LOD score difference is mainly due to the exclusive presence in the “21AF” population of the allele associated with a very low terpene accumulation in homozygosis (Figure 3C). Even if Terpenes_3C is localized in the 3C chromosome, some of its markers map to the 3B and 3D chromosome, indicating a high synteny between the homeologous chromosomes. A terpene synthase cluster or a non-specific terpene substrate protein placed in this QTL region might explain the accumulation of the terpene components. Another hypothesis is that some post-transcriptional modifications may alter the volatile terpene accumulation.
Similar to our finding, F × ananassa nerolidol synthase, FaNES1, has been characterized as important for linalool and nerolidol synthesis (Aharoni et al., 2004), mapped in LGIII-4 (Zorrilla-Fontanesi et al., 2012) and annotated in 3D. Additionally, when having the functional enzyme, cultivated and wild octoploid strawberries produce higher linalool content (Chambers et al., 2012). Other nerolidol synthases, FaNES1-like and FaNES2, are annotated in 3B. These three genes show the same syntenic position as our QTL located in 3C. A very recently published genetic analysis of flavor compounds in cultivated strawberry, found also a cluster of terpene QTLs on chromosome 3C (Barbey et al., 2021). Although a non-functional allele was described in F. vesca (Aharoni et al., 2004; Chambers et al., 2012), terpene QTLs were also mapped in Fvb3 (Urrutia et al., 2017) and a cluster of seven FvNES1 genes exists in the updated F. vesca genome annotation (Li et al., 2019). Since these results are based on the version 1.0.a1 of the cultivated strawberry genome (Edger et al., 2019) which presents high synteny between the homeologous chromosomes, mismatches may be likely to occur during assembling and therefore an homeologous FaNES1 gene could also be located in 3C. Nevertheless, the involvement of a new gene in the accumulation of these compounds should not be discarded.
In cultivated strawberry, ester compounds are the most abundant family providing a wide range of fruity aroma. Several ester QTLs were found in different LGs such as LG1A, LG4A, LG6A and LG7B. According to our study, QTLs for different ester compounds were mapped in the same region regardless of mapping populations. In LG1A, methyl butanoate and methyl hexanoate QTLs mapped in the “21AF” genetic map while hexyl acetate, hexyl butanoate and octyl butanoate QTLs mapped in “FC50 × FD54.” These “21AF” QTLs might be related to Methyl_1A, whereas the “FC50 × FD54” QTLs may be related to Hexyl_1A. In the literature, different ester QTLs, including one for methyl hexanoate, were also mapped in LGI-1 (Zorrilla-Fontanesi et al., 2012). Other examples are the QTLs in LG6A mapped for different compounds in different populations, such as octyl group compounds, Octyl_6A, discovered in “FC50 × FD54” and acetate related compounds, Acetate_6A, in “21AF.” In previous studies, QTLs for different compounds were also found clustered together without any obvious relationship between these compounds, such as in the F1 population used by Zorrilla-Fontanesi et al. (2012) and in a multiple family studied with GWAS by Fan et al. (2021). Where the BA_6A QTL was mapped in both populations, the most significant marker shared, showed different genotypes for butyl acetate accumulation, this means that we are still quite far from the causal gene (Figure 4A). Our Hexanoate_4A QTL, mapped only in “FC50 × FD54,” which seems to validate the cluster of ester QTLs mapped in LGIV-1 of the “1,392×232” population (Zorrilla-Fontanesi et al., 2012).
QTLs for methyl hexanoate, isopropyl hexanoate and methyl octanoate were co-localized in the LG7B. These three compounds shared a methyl group, and we called the resulting QTL Methyl_7B. The MH_7B presented higher significance in the “21AF” compared to the “FC50 × FD54” genetic maps. This difference is due to the homozygous genotype of the allele linked to the low accumulation of methyl hexanoate that is only present in the “21AF” population (Figure 4B). The last step for ester biosynthesis is catalysed by alcohol acyl transferase (AAT). This enzyme can use a wide variety of substrates (Aharoni et al., 2000). Seven AAT genes were annotated in the F. × ananassa genome, located in LG1D (2), 7A (3), 7B (1) and 7C (1). These genes are mostly conserved in Fragaria genus, such as FcAAT1 in F. chiloensis (Gonzalez-Aguero et al., 2009) and four AAT genes in diploid F. vesca genome annotated in LG6 (1) and LG7 (3) being one FvAAT enzyme already characterized (Beekwilder et al., 2004). The annotated gene encoding an AAT named as FxaC_26g18860 (Liu et al., 2021) is a candidate for our Methyl_7B QTL.
Methyl anthranilate, derived from the degradation of amino acids, is defined as the wild strawberry aroma which is appreciated by consumers and consequently by aroma breeding programs. In the “FC50 × FD54” population, several methyl anthranilate QTLs were mapped in different LGs, such as in LG1A, LG4C, three LGs of the HG5 and LG7A. Methyl anthranilate was not detected in
the “21AF” population as this compound is known to be present in only a few cultivars (Olbricht et al., 2008; Schwieterman et al., 2014). The anthranilate acid methyl transferase gene, FaAAMT, mapped in the *F. vesca* chromosome 4 (Pillet et al., 2017), may be responsible of the MA_4C QTL that we detected. The HG5 and LG7A QTLs are probably related to the methyl anthranilate QTLs found in LG5 and LG7 in *F. vesca* (Urrutia et al., 2017). Markers in the region of a highly stable and major QTL, such is MA_7A, would be appropriate for MAB to select towards methyl anthranilate accumulation.
The peach aroma is attributed to γ-decalactone presence and amount. A total of six QTLs for lactone compounds were detected in the two studied populations in LG2A, LG3B, LG4A, LG6B and LG6D. The major GD_3B QTL was only detected in the “21AF” population. Although the allele linked to the high γ-decalactone accumulation was present in both populations, only the “21AF” population exhibited the low γ-decalactone accumulation genotype. This QTL is likely related to the omega fatty acid desaturase gene, FaFAD1, involved in the γ-decalactone synthesis and mapped in LGIII-2 (Zorrilla-Fontanesi et al., 2012; Chambers et al., 2014; Sanchez-Sevilla et al., 2014). Unfortunately, this gene is not annotated in the *F. × ananassa* genome due to an 8 kb deletion in non-producing γ-decalactone cultivars (Oh et al., 2021).
The “FC50 × FD54” volatilome revealed that this population is suitable for the discovery of volatile QTLs. Some of these QTLs are related to liking compounds (Schwieterman et al., 2014; Ulrich and Olbricht, 2016; Fan et al., 2021) and validate QTLs from previous studies. Still, much more effort is needed to narrow down these genomic regions in order to come across candidate genes that allow a better understanding of how these compounds accumulate and to therefore find diagnostic markers for selection in strawberry breeding.
**Data availability statement**
The original contributions presented in the study are included in the article/Supplementary material, further inquiries can be directed to the corresponding author.
**Author contributions**
AM and MM contributed to the conception and design of the study. PR-S performed the experimental and statistical analysis and wrote the first draft of the manuscript. All authors contributed to the article and approved the submitted version.
**Funding**
PR-S was supported by a PhD grant CPD2015-0185 from MINECO (FPI-INIA). This work was supported by grant RTA2013-00010-00-00 and PID2020-119052RR-I00 from FEDER/Ministerio de Ciencia, Innovación y Universidades – Agencia Estatal de Investigación and by the CERCA Programme/Generalitat de Catalunya. We acknowledge financial support from the Spanish Ministry of Science and Innovation-State Research Agency (AEI), through the “Severo Ochoa Programme for Centres of Excellence in R&D” SEV-2015-0533 and CEX2019-000902-S.
**Conflict of interest**
The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.
**Publisher’s note**
All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.
**Supplementary material**
The Supplementary material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/fpls.2022.959155/full#supplementary-material
**SUPPLEMENTARY FIGURE 1**
Violin plot representing VOC distributions of parents and progeny of the “FC50×FD54” population. Harvest colors: 2016 (reddish), 2017 (orangish) and 2018 (bluish). Dots: “FC50” (green), “FD54” (red). Stars indicate KVCs.
**SUPPLEMENTARY FIGURE 2**
Heatmap visualization of Pearson correlation between VOCs in six harvests of the “FC50×FD54” population (*p*-value < 0.05). Stars indicate KVCs.
**SUPPLEMENTARY FIGURE 3**
Principal component analysis (PCA) plot in VOCs: (A) Dim1 vs Dim2 and (B) Dim1 vs Dim3. Harvest: 2016 (reddish), 2017 (orangish) and 2018 (bluish).
**SUPPLEMENTARY FIGURE 4**
KVC contents in the “21AF” population. A. Violin plot representing KVC distributions. Dots: ‘Dover’ (green), ‘Camarosa’ (red) and H-21 (yellow). B. Heatmap visualization of Pearson correlation in three years (*p*-value < 0.05). C. Heatmap representation of hierarchical clustering analyses (HCA) and D. Principal component analysis (PCA) plot in three years.
**SUPPLEMENTARY FIGURE 5**
QTLs of interest found in one of the two populations studied. A. MH_4A (Methyl hexanoate) QTL synteny and boxplot of the Affx-88812697 marker for “FC50×FD54” and “21AF” population. B. MH_4A (Methyl hexanoate) QTL synteny for “FC50×FD54” and “21AF” population and boxplot of the Affx-88856759 marker. C. MA_7A (Methyl anthranilate) QTL synteny for “FC50×FD54” and “21AF” population and boxplot of the Affx-88897207 marker. D. GD_3B (γ-decalactone) QTL synteny and boxplot of the Affx-88845940
marker for ‘FC50xFD54’ and ‘21AF’ population. Left: red boxes cover 1–LOD confidence intervals and red line is the Affx-88845940 position. Marker class represented as codominant (green), ‘FC50’ segregating (blue) and ‘FD54’ segregating (yellow). Right: Boxplot with each sample represented as dots and the blue square the average of each group. Significant levels <0.001 (**), <0.01 (*) and <0.05 (*).
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SECTION 4: POLICIES
4.20 PROTOCOL GUIDE
1. INTRODUCTION
1.1. The aim of the Virtus Protocol Guide is to support Local Organising Committees (LOCs) in delivering a high quality of protocol for the audience, dignitaries and most importantly, the athletes.
1.2. It will:
1.2.1. Give LOCs technical information on the most important requirements of protocol
1.2.2. Make recommendations to the LOC on the procedures and processes by which those requirements may be met
1.3. The Protocol Guide covers the following areas:
- Opening Ceremony
- Medal ceremonies
- Closing Ceremony
- Official naming of Virtus Championships
2. OFFICIAL NAMING OF Virtus CHAMPIONSHIPS AND GLOBAL GAMES
2.1. World Championships
2.1.1. The Virtus sports World Championships should always be named as follows:
- (year) Virtus Swimming Championships
- (year) Virtus Athletics Championships
- (year) Virtus Athletics Cross Country Championships
- (year) Virtus Athletics Half Marathon Championships
- (year) Virtus Athletics Indoor Championships
- (year) Virtus Table Tennis World Championships
- (year) Virtus Basketball World Championships
- (year) Virtus Cycling World Championships
- (year) Virtus Equestrian World Championships
- (year) Virtus Football World Championships
- (year) Virtus Futsal World Championships
- (year) Virtus Rowing World Championships
- (year) Virtus Indoor Rowing World Championships
- (year) Virtus Skiing World Championships
2.1.2. For example: 2017 Virtus Swimming Championships or 2018 Virtus Basketball World Championships.
2.2. Virtus Cricket Tri-Nations
2.2.1. The Virtus Cricket Tri-Nations should always be named as follows:
- (year) Virtus Cricket Tri-Nations
2.3. Regional Championships
2.3.1. The Virtus sports regional Championships be named as follows:
4.20 PROTOCOL GUIDE
- (year) Virtus Swimming Championships (Region)
- (year) Virtus Athletics Championships (Region)
- (year) Virtus Athletics Cross Country Championships (Region)
- (year) Virtus Athletics Half Marathon Championships (Region)
- (year) Virtus Athletics Indoor Championships (Region)
- (year) Virtus Table Tennis (Region) Championships
- (year) Virtus Basketball (Region) Championships
- (year) Virtus Cycling (Region) Championships
- (year) Virtus Equestrian (Region) Championships
- (year) Virtus Football (Region) Championships
- (year) Virtus Futsal (Region) Championships
- (year) Virtus Rowing (Region) Championships
- (year) Virtus Indoor Rowing (Region) Championships
- (year) Virtus Skiing (Region) Championships
For example: 2018 Virtus Swimming Championships (Americas)
2.4. Open Championships
2.4.1. In the case of open competitions, where a regional event is held but the competition is open to athletes from other regions, the following naming example will be used:
- (year) Virtus Swimming Open Championships (Region)
- Virtus Football Open (Region) Championships
2.4.2. Please note that if an event is to be recognised by World Para Athletics or World Para Swimming, organisers and Virtus are not permitted to use any references to ‘world’ in the event title. The region must also be placed at the end in brackets.
2.5. Virtus Global Games
2.5.1. The Virtus Global Games will be named as follows:
- (year) Virtus Global Games
2.6. Dates
2.6.1. The official dates of the Championships and Global Games will be from the Opening Ceremony until the Closing Ceremony.
2.6.2. For example if the athletes begin to arrive on 12 December but the Opening Ceremony is not until 15 December, then the official start date will be 15 December until the date of the Closing Ceremony.
3. VIRTUS AND NATIONAL ANTHEMS
3.1.1. The Virtus anthem is available in two versions – one short and one full. The Virtus anthem does not have lyrics.
3.2. Availability and use of the Virtus anthem
3.2.1. Virtus will provide (upon request) recordings of the Virtus anthem in short and full. All the intellectual property rights remain with Virtus.
3.2.2. It is mandatory for the full version of the Virtus anthem to be played on the following occasions:
- Opening Ceremony of the Championships
- Closing Ceremony of the Championships
3.2.3. When the Virtus anthem is playing during the Opening and Closing, it is customary while not obligatory, for those people who are able, to stand as a sign of respect.
3.2.4. It is mandatory for the short version of the Virtus anthem to be played on the following occasions:
- During the athlete walk on in medal ceremonies and during the medal awards
3.3. National anthems
3.3.1. The LOC must, respecting legal requirements, acquire a shortened version (approximately 75 seconds) of the national anthem of all the countries and regions participating in the Championships. The LOC should take the opportunity to have all of the anthems checked and confirmed in writing by the respective countries on the occasion of the Team Leaders/Technical Meeting meeting prior to the commencement of the Championships.
3.3.2. For some sports with a high number of medal ceremonies (athletics and swimming), Virtus recommends to even use shorter versions of the national anthems (at most 60 seconds) to better compliment the tight competition schedules.
4. FLAGS
4.1. Virtus flag
4.1.1. The Virtus flag features the Virtus logo, always on a white background.
4.1.2. The Virtus flag should fly for the entire duration of the Championships and Global Games in a prominent position in the main competition venue (or location as determined by Virtus) and in all other venues placed under the responsibility of the LOC.
4.1.3. Care should be taken to ensure the flag appears the right way round at all times (not upside down or back to front) and that the correct logo is used (see below).
4.1.4. The correct logo does not contain any additional wording or letters, only ‘Virtus’.
4.1.5. The Virtus flag in the main venue is hoisted during the Opening Ceremony and lowered during the Closing Ceremony of the Championships or Global Games.
4.1.6. The LOC is responsible for producing all required Virtus flags for the Championships and
4.1.7. There is a 2:3 ratio (2 height x 3 length e.g. 1.5m x 2.25m) as the standard ratio for the Virtus flag. A clear isolation area shall appear around the Virtus logo. Flags should be produced according to these specifications with the prior approval of Virtus.
4.1.8. The official colours of the Virtus logo are provided in the Brand Book available from Virtus.
4.2. General usage rules for flags
4.2.1. Great care must be taken to ensure that all flags are produced according to the correct specifications regarding colour, design and orientation.
4.2.2. The LOC is responsible for providing all required flags including the protocol set and national flags.
4.2.3. It is not advisable to ask countries to bring their own flags. This is because every country will bring different sizes. Therefore medal ceremonies and flags in the venue will not look professional or consistent. Additionally, countries and athletes may try to use medal ceremonies to make a political statement by using an incorrect or modified flag. See ‘sizes of country flags’ for more information.
4.3. Sets of flags
4.3.1. LOCs are advised that having two sets of flags is the easiest way to ensure enough flags are available for all protocol requirements.
4.3.2. Opening and Closing Ceremonies
- Protocol set of flags
- Flag of each participating country in alphabetical order according to English or the official language of the host country.
4.3.3. Competition venue(s)
- Protocol set of flags
Flags of the countries participating in the respective sport (in alphabetical order according to English or the language of the host country. The flag of the host country should fly in the last position)
4.3.4. What is a protocol set of flags?
- Virtus flag
- Flag of the host country
- Flag of the LOC and/or host city (depending on circumstances)
4.4. Numbers of flags to purchase
4.4.1. For all sports it is possible that more than one athlete from the same country could win a medal (for example, three South African athletes). Therefore at least three flags for each country must be produced and available in all venues for use during medal ceremonies.
4.4.2. It is also possible in some sports that there could be a tie for one or all medal positions. Therefore it is possible, although unlikely, that six South Africans could win medals. Therefore LOCs must be prepared for any of the different medal scenarios to avoid an athlete being without a flag during a medal ceremony.
4.5. Sizes of country flags
4.5.1. Country flags are traditionally produced in many different sizes and shapes. However, the flag protocol dictates that when massed in a display, all flags should be identical in size, to avoid that some flags could stand out more than others.
4.5.2. Therefore, a standard 2:3 ratio (2 height x 3 length, e.g., 1.5m x 2.25m) has been established as the standard ratio for flags during the Championships and Global Games. Any variation of this rule requires Virtus approval.
4.5.3. All designs of flags must be approved by each country before the production and signed off at the Team Leader’s/Technical meeting prior to the start of the Championships.
4.6. Precedence of flags at ceremonies and competition venues
4.6.1. When viewed from the front, flags should be displayed from left to right beginning at the point of honour. In general, the point of honour is to your left when looking from the VIP seating area towards the Field of Play.
4.6.2. All flag displays should begin with the protocol set. As host, the flag of the host country should fly last in the set of competing country flags. In general, all flags should be evenly spaced and displayed at the same level.
4.6.3. Note: Should the host country belong to the EU, the European Union flag may be added to the protocol set depending on the constitutional requirements of the host country.
4.7. Flags for Victory Ceremonies
4.7.1. All flags, at both indoor and outdoor locations, will be raised in the horizontal format. Flags will be raised in the following formation when viewed from the athletes’ position on the medals podium:
Silver Gold Bronze
4.8. Tie
4.8.1. If a tie occurs, two flags may be flown from the same pole during Victory Ceremonies. The flags will be hung in alphabetical order of the language of the host country from top to bottom.
4.8.2. Two flags should not be flown from the same pole under any other circumstances, UNLESS there is a tie for a medal position and a horizontal flag pole is used (see next page). In this case, one flag may be hung from above the other.
4.9. Flag poles for medal ceremonies
4.9.1. Flag poles and real flags are preferred over any digital representation of flags using a screen/projector/computer etc. However consideration must be given to whether the venue is inside or outside.
4.9.2. If the venue is outdoors, the wind may help the flags to be seen. If a ceremony venue is indoors there will be no wind to blow the flags.
4.9.3. The best solution is to source flag poles where flags can be hung, and raised, horizontally:
4.10. Country flags
4.10.1. The LOC must acquire the national flags of all the countries and territories participating in the Championships and Global Games. The LOC must ensure that all the flags are checked and confirmed in writing by the respective countries prior to the commencement of the Championships or Global Games.
4.11. Flag handling
4.11.1. Protocol requires certain etiquette when handling a flag, a country’s foremost symbol:
- Flags should be folded when carried to and from flagpoles
- No flag should be raised in a position inferior to another flag
- No flag should be smaller than another
- Flags should be securely fastened so as not to fall
- When a flag visibly deteriorates, it should be replaced with a new one
- Flags should never touch the floor
4.11.2. Athletes are not permitted to take flags of any kind (including country flags) onto the podium. Athletes must be checked before they walk out for their medal ceremony for flags of any kind.
5. OFFICIAL LANGUAGES
5.1.1. The official language of Virtus is English.
5.1.2. The official language(s) of the Virtus sports Championships are English, and the language that is officially recognised as official language of the host country.
5.1.3. Note: Should the host country have more than one official language, then the language that is officially recognised as the first language of the city/country shall be used.
6. PROTOCOL LIST OF VIRTUS, CHAMPIONSHIPS AND GLOBAL GAMES FAMILY MEMBERS
6.1. The Virtus Governing Board
6.1.1. The Virtus Governing Board consists of the following membership:
- Virtus President (one)
- Virtus Vice President (one)
- Virtus Secretary General (one)
- Virtus Governing Board Members (up to twelve)
- Virtus co-opted Members (up to three)
6.1.2. One member of the Governing Board will also be the appointed Official Representative to the competition.
6.2. Protocol order
6.2.1. At all functions and events the following protocol of precedence should be followed:
- Virtus President
- Virtus Vice President
- Virtus Secretary General
- Virtus Official Representative
- Virtus Governing Board Members (in alphabetical order)
- Virtus co-opted Governing Board Members (in chronological order of the co-opt date)
- Virtus Executive Director
- President of the LOC
- National dignitaries of the host country/territory
- President of the Virtus member of the host country
- Mayor of the host city
- Executive Board Members of the LOC
- President of the Virtus Regional Organisations (where the Championships are taking place)
- Sport Director
- Presidents of the Virtus members (in alphabetical order according to language of the host country)
- Other designated Virtus representatives
- Other designated Virtus staff
6.3. Accredited seating management
6.3.1. In a competition venue and in venues where official ceremonies are held, specific stands are assigned to the accredited guests. This does not need to be a huge area, only some dedicated seating is required to ensure all dignitaries and Virtus representatives can be seated if required.
6.3.2. Please note here that accessible seats also need to be available should any guests with impairments from the wider Para sport family attend.
6.3.3. The main activities based in accredited seating area are the following:
Management of the seats in the stands and consequent problem solving in case of specific situations (e.g., high attendance of an event)
Co-ordination with medal ceremony team for accompanying the presenters to the medal ceremony preparation area.
6.4. Venue flag protocol
6.4.1. At the competition venue, the LOC protocol function ensures that the flags displayed are accurate and reflect internationally recognised protocol. The protocol function manages issues including torn or damaged flags.
6.4.2. There are three (3) flag sets considered for the competition venue:
- Protocol set
- Victory Ceremony set (up to three flags per country depending on sport entries)
- Participating country set
6.4.3. The Protocol set and participating country set are displayed at a prominent location visible from the accredited seating and spectator stands. Flags of the participating countries are not displayed at training venues. The Victory Ceremony set is kept and then displayed where medal ceremonies take place.
6.4.4. The main activities within venue flag protocol are the following:
- Check of the correct position of all flag sets with reference to Virtus guidelines
- Frequent check of the status of flags for the duration of the Championships
- Problem solving of all issues relating to flags arising during the Championships
- Management of flag storage and supply
- Collaboration for the removal or replacement of a flag
- Collaboration with other functions for victory ceremonies
6.5. Staffing
6.5.1. It is advised that one person within the LOC has overall responsibility for medal ceremonies and other protocol. Other volunteers/staff will also be required for the following:
- Coordination of medal presenters (e.g. ensuring they arrive on time and know what to do)
- Flag management (e.g. ensuring the correct flags are ready for the medal ceremonies; ensuring all flags are displayed correctly in the venue(s))
- Taking care of Virtus representatives and other accredited guests
- Ensuring that athletes do not have any additional flags or symbols to take onto the podium
7. OPENING AND CLOSING CEREMONIES
7.1.1. An official Opening and Closing Ceremony must take place at every Virtus Championships and Global Games. These cannot be replaced by any kind of other event (e.g. a gala dinner or athlete party).
7.1.2. However, Opening and Closing Ceremonies do not need to be large, long or expensive.
7.2. Virtus approvals
7.2.1. The Opening and Closing Ceremony programme must be submitted to Virtus in a timely manner for approval. Depending on the scale of the ceremony, the LOC should consider incorporating artistic parts which are usually connected with the host country traditions, history and creativity.
7.3. Dates
7.3.1. The Opening Ceremony usually takes place one day before the start of the competitions and the Closing Ceremony after completion of the last event/match. Depending on the overall size of the Championships, Virtus will consider different formats and timings for the Opening and Closing Ceremonies. The concepts need to be submitted to Virtus for approval.
7.4. Virtus official box and stands management
7.4.1. The Virtus official box is a dedicated area inside the stadium/venue with assigned seating for the highest representatives of Virtus, the LOC and local government/city. The Virtus official box shall be accessible for wheelchair users in case of attendance from the wider Paralympic family and designed in a manner to be able to accommodate wheelchair users within the protocol order of precedence.
7.5. Language services
7.5.1. All ceremonies must be conducted in English and potentially in the official language of the host country.
7.5.2. Official speeches taking place during the ceremonies must be translated into the official language of the host country and English and displayed on the video boards of the venue (where applicable).
7.6. Flag protocol
7.6.1. The Protocol team ensures that the flags are displayed as specified in section 3 of this guide.
7.7. Protocol order at the Opening Ceremony
7.7.1. Protocol elements within the Opening Ceremony are fundamental to the correct communication of the Virtus values and ideals. Therefore, while artistic segments may be interspersed between these protocols, the protocol elements stated below must be placed in the following order:
1. **Introduction of the most prominent representatives of the Virtus, LOC and host city**
The highest representatives of Virtus, the LOC and host city will be officially introduced by the master of ceremony (MC).
2. **Playing of the national anthem and hoisting of the host country’s flag**
After the introduction, the national anthem of the host country is then played or sung, as the host country’s flag is hoisted. While patriotic, the LOC shall not make this moment political or more than a solemn and reverent raising of their national flag.
3. Parade of the athletes
The parade of the athletes is the next required element of protocol. Each delegation dressed in its official uniform must be preceded by a name-board/placard bearing its name (in English and/or the language of the host country) and must be accompanied by its flag, to be carried by a member of the delegation. The flags of the participating delegations, as well as the name-boards shall be provided by the LOC and shall all be of equal size.
An example of the name board and name board bearer, athlete carrying the flag and formation of teams wearing official uniform during the athlete parade at an Opening Ceremony.
The name-board bearers shall be designated by the LOC. The flag bearers shall be designated by the country.
The delegations parade in alphabetical order according to English or the language of the host country. Please note that the team of the host country enters the stadium/venue last.
The delegations shall parade past the official Virtus box after entering the stadium/venue. Each delegation, after completing its march, proceeds to the seats that have been reserved for it in order to watch the ceremony. Seats must be made available for all non-parading participants.
All delegations including the host country’s delegation shall be treated equally. Their flags, name-boards, entry music, announcements, and all other acknowledgements shall be the same. No single country shall receive greater attention than any other.
Under specific circumstances, the LOC could also submit a request to Virtus for a flag parade (only the flag bearer of the team plus one volunteer carrying the placard).
Note: It is important to note that whilst different parades of athletes will be considered, at least one athlete from each country must march during the Opening Ceremony. Athlete involvement in this protocol element is essential.
4. **Official speeches**
After the athletes have all entered, the official Virtus representative, accompanied by the president of the LOC, proceeds to the official rostrum. There, first the president of the LOC gives a speech of welcome of not more than three (3) minutes duration and shall subsequently introduce the highest Virtus representative.
Should the mayor of the host city wish to address some words of welcome, this can be done prior to the speech of the LOC President.
5. **Opening of the Championships**
Without any further comment or speech, the highest official representative of the host city/country then declares open the Championships by saying: "I declare open the (year) (Virtus sport name) Championships or [Regional] Championships" (e.g., “I declare open the 2018 Virtus Tennis World Championships”)
During the entire period of the Virtus Championships, including all ceremonies, no speeches of political nature may be held by any representative of any government or other public authority, nor by any other politician, in any venue placed under the responsibility of the LOC. During the Opening and Closing Ceremony, only the Virtus representative, the LOC President and the mayor of the host city are entitled to deliver short addresses.
6. **Raising the Virtus flag and playing the Virtus anthem**
After the Championships have been declared open, the Virtus flag, unfurled horizontally, is brought into the stadium/venue accompanied by respectful and dignified music of national origin. When the flag reaches the base of the flagpole, the Virtus anthem is played as it rises to the top of the pole.
The Virtus flag must fly on the most prominent pole in the stadium/venue for the duration of the Championships, through the end of the Closing Ceremony.
7. **Swearing of the oaths**
- **Athletes’ oath**
After the Virtus flag has been raised, a competitor of the host country mounts the official rostrum. They will then say the following words:
“In the name of all competitors, I promise that we shall take part in the INSERT NAME OF EVENT, respecting and abiding by the rules that govern them, respecting our fellow competitors and officials and committing ourselves to a sport without doping, in the true spirit of sportsmanship, for the glory of sport and the honour of our country.”
- **Officials’ oath**
Immediately after the athletes’ oath, a judge of the host country mounts the rostrum and, in the same manner, recites the following oath:
“On behalf of all judges and officials at the INSERT NAME OF EVENT we make this oath:
We declare we will apply the rules, in a manner that is fair and equitable to all competitors; showing
complete impartiality, and respecting the abilities and rights of all concerned.
We will endeavour to encourage the true spirit of sportsmanship through our professional approach to our duties and the fairness of our decisions and actions.”
Then right after the officials’ oath, a coach from the host country mounts the rostrum and, in the same manner, recites the following oath:
“In the name of all those that surround and support the athletes, I promise that we shall commit ourselves to ensuring that the spirit of sportsmanship and fairplay is respected.”
7.8. Closing Ceremony protocol order and requirements
7.8.1. Athletes and team officials flow management for Closing Ceremony
All athletes (except for the flag bearer) and team officials are seated in the venue prior to the commencement of the ceremony. The flag bearers should return to their national team after the entry of the nations’ flags.
7.9. Protocol order at the Closing Ceremony
1 Introduction of the most prominent representative of Virtus, LOC and host city
The highest representatives of Virtus, the LOC and host city will be officially introduced by the master of ceremony (MC).
2 Playing of the national anthem and hoisting of the host country’s flag
After the introduction, the national anthem of the host country is then played or sung, as the host country’s flag is hoisted. While patriotic, the LOC shall not make this moment political or more than a solemn and reverent raising of their national flag.
3 Entry of nations’ flags
The entry of the nations’ flags is the next element of the Closing Ceremony. All of the nations’ flags enter the stadium/venue. The flags enter in alphabetical order according to English and/or the language of the host country. The host country’s flag enters last. An athlete representative of that country carries each flag and a name-board bearing its name - again shown in English and/or the language of the host country - walks alongside of each flag. The name-boards shall be provided by the LOC and shall all be of equal size. The name-board-bearers shall be designated by the LOC. The flag bearers place their flags in a semi-circle adjacent to or behind the rostrum and should be accompanied to their reserved seating with their teams.
Note: It is important to note that whilst different parades of athletes will be considered, at least one athlete from each country must march. Athlete involvement in this protocol element is essential.
4 Official speeches
The President of the LOC gives a brief speech wherein he/she thanks the athletes and volunteers and concludes with inviting the Virtus representative to the stage.
Immediately after the address by the president of the LOC, the representative of Virtus gives the closing speech of the Championships and declares the close of the Championships.
5 Lowering of the Virtus flag
While the Virtus anthem is being played, the Virtus flag is slowly lowered from the flagpole and carefully folded in a dignified manner at the base of the pole and carried out of the venue.
6 Closing
Without any further comment or speech, the highest official representative of the host city/country then declares the Championships closed by saying: “I declare closed the (year) (Virtus sport name) Championships or [Regional] Championships” (e.g., “I declare closed the 2018 Virtus Tennis World Championships”)
During the entire period of the Virtus Championships, including all ceremonies, no speeches of political nature may be held by any representative of any government or other public authority, nor by any other politician, in any venue placed under the responsibility of the LOC. During the Opening and Closing Ceremony, only the Virtus representative, the LOC President and the mayor of the host city are entitled to deliver short addresses.
8. MEDAL CEREMONIES
8.1.1. The purpose of the medal ceremonies is to award with honour and circumstance the athletes who have won a medal during the Championships or Global Games and to make the moment memorable and meaningful.
8.1.2. Medal ceremonies usually take place at the conclusion of each sport event directly at the venue in order to present the medals and flowers to the athletes. However for Global Games a ‘medals plaza’ for all sports medal ceremonies will be considered subject to relevant athlete transport plans and location.
8.2. Medal ceremony Field of Play
8.2.1. The medal ceremony “Field of Play” and access pathways shall be fully accessible to all athletes and medal/flower presenters.
8.2.2. The Victory Ceremony podiums must have a common design and look.
8.2.3. In order to allow for medal presenters who are wheelchair users to efficiently and safely perform their duty, the height of the podium for the 1st place should not exceed 300mm.
8.2.4. The material of the ramp should be non-slippery in case it rains and the podium gets wet.
8.2.5. The podium design (including drawings and measurements) must be submitted to Virtus for approval no later than six (6) months prior to the commencement of the Championships. Special consideration shall be given to the backdrop of the medal ceremony location, such as buildings or branding that is not related to the competition. Ideally, a backdrop will be designed and produced which will carry the Virtus logo and social media information.
8.2.6. The podium shall be positioned so that there is room for photographers and broadcasters to stand in front of it, with enough space to be able to get good pictures.
8.3. Athletes’ apparel
8.3.1. Athletes are to wear their official country uniform/tracksuit to medal ceremonies. This can be communicated during the technical meeting.
8.4. Brand integration and message
8.4.1. Each ceremony is an opportunity to support, enhance and deepen the vision and brand of the Championships. Medal ceremony podiums and backdrops should tie visually and thematically to the Championships’ massage, look and theme. Medals, ribbons and flowers should incorporate the vision of the Championships.
Example podium including decoration, flowers and backdrop. Note: The name of the competition is not correct in this case, but must be correct on all branded materials related to the competition.
8.5. Language services
8.5.1. All ceremonies must be conducted in English. If the competition schedule allows more time to be dedicated to the Victory Ceremony, then the ceremony can additionally be conducted in the official language of the host country.
8.6. Medal and flower presenters
8.6.1. For each medal ceremony held during the Championships, one (1) medal presenter and one (1) flower presenter is identified. The same medal/flower presenter can be scheduled for several medal ceremonies, however the same presenters should not be assigned to more than three (3) consecutive ceremonies.
8.6.2. For the sports of athletics and swimming a concept to only use one presenter per ceremony can be submitted to Virtus for consideration.
8.6.3. Medals and flower presenters should be briefed to dress smartly.
8.6.4. Presenting medals and/or flowers in a Championships Victory Ceremony is a privilege granted exclusively by Virtus/LOC to selected individuals from pre-determined categories.
The complete list of presenters must be approved by Virtus. The categories for medal and flower presenters are:
- Virtus Governing Board Members
- President and Governing Board members of the LOC
- High ranked governmental officials from the host city/country
- President and Secretary General of the Virtus member of host country
- Mayor of host city
- President of Virtus Regional Organisation (where the Championships are taking place)
- Sport Director and members of the respective committee
- Virtus Directors
- Executives of sponsors
- LOC distinguished guests
- Other designated people decided by Virtus & LOC
8.7. Medal ceremony protocol order
8.7.1. All medal winners and presenters must remain on the podium until the medal ceremony is completed. The protocol order of the Victory Ceremony must be followed according to the below criteria:
1 Entrance of the presenters and Championships/Global Games medallists
The medallists and the presenters are led, in a line, by hostesses or hosts onto the Victory Ceremony Field of Play. The medallists are led behind their relevant places on the podium. The presenters are led to the side of the podium.
No national flags, banners or other merchandise should be allowed on the medal platform.
2 Introduction of presenters (name and title)
The medal and flower presenters will be introduced by the MC (using their name and title).
3 Introduction of the Championships/Global Games medallists (name and country)
The winners names are announced in the following order: the third place finisher is announced first, followed by the second-place holder, leading up to the announcement of the first-place athlete, the gold medallist and champion.
As their names are announced, the competitors who are first, second and third, take their places on a podium facing the official stand, with the winner slightly higher than the second-placed who is on his/her right, and the third-placed who is on his/her left. The second and third-place podiums are of equal height. The athletes move on to the podium individually or, in case of team events, together team by team.
For relay teams, the four athletes of each team who competed in the final shall mount the podium. Other athletes who competed for any of these teams in the competition shall subsequently receive their medals and diplomas.
4 Medal, trophy and flower presentations
SECTION 4: POLICIES
4.20 PROTOCOL GUIDE
Medals will be awarded in the order of bronze, silver and gold. There will be no variation of this rule.
The presenter shall hang the medal around the winner’s neck. Then the flower presenter presents the winner with a bouquet of flowers.
For cycling, a rainbow jersey will also be presented to the winner by the same presenter who gave them their medal. Traditionally, the presenter places the jersey over the athlete’s head but this is flexible depending on the athlete.
For football, the winning team shall also be presented with a trophy. This will be presented to the captain of the winning team after all medals have been awarded.
5 Raising of the national flags and playing of the gold medallist’s national anthem
The flag of the winner’s delegation shall be hoisted up the central flagpole, and those of the second and the third-placed competitors up adjoining flagpoles to the right and left of the central flagpole at equal height, slightly lower than the central, champion’s flag, looking towards the arena. All flags should be of uniform size, usually 1.5m in height and 2.25m in length (2:3 ratio), with horizontal orientation.
While the (abbreviated, in a recording version of no more than 75 seconds, no live performances by an orchestra and/or singers) anthem of the winner’s delegation is played, the medal winners face the flags.
The location of the Victory Ceremony flags should be in a location that is both visible to the athletes and the spectators. The location of the Victory Ceremony flags should be approved by Virtus or the Virtus Official Representative.
Notes
- A medallist may not delegate the receipt of his/her medal during a medal ceremony to another person, if the medallist is not able to attend his/her respective medal ceremony for any reason.
- If a Championships competitor is disqualified, his/her medal(s) and diploma(s) must be returned to the LOC for retention or redistribution.
- Medallists must present themselves at least 15 minutes before their medal ceremony is scheduled. If an athlete is not present for their medal ceremony, it will go ahead without them. No changes in the medal ceremony schedule can be made to account for late or absent athletes.
- Under the World Anti-Doping Agency (WADA) rules, athletes are allowed to delay anti-doping procedures such as sample giving for medal ceremonies and media commitments (mixed zone interviews etc). Their chaperone can still have sight of the athlete or athlete at all times.
8.8. Staffing
8.8.1. At least three (but ideally five) hosts or hostesses should be present for the medal ceremonies:
1. One host/hostess to lead the medallists, medal and flower presenters (medal party) onto the medal ceremony field of play and show them where to stand.
2. One host/hostess to follow the medal party onto the medal ceremony field of play to help show them where to stand.
3. Three hosts/hostesses to hold the medals and flowers on a tray and present them to the medals and flowers presenters (this can be done by one person if necessary). This amounts to one person each for gold, silver and bronze.
4. A person to ensure that athletes do not have any additional flags or symbols to take onto the podium.
Hosts and hostesses should be wearing the same outfits which must be smart. A kind of national dress, without flags, is also permitted.
*Please note there is no podium in this picture. A podium shall be present at all Championships and Global Games (see requirements in section 7.1)
8.9. Virtus approval of medals, trophies, jerseys and diplomas
8.9.1. All medals, rainbow jerseys (for cycling) and diplomas shall be produced and distributed under the strict supervision, and subject to the prior written approval of, Virtus
9. Virtus COPYRIGHT
9.1.1. The LOC shall ensure that a valid assignment of the copyright is made by all the designers of the medals in favour of Virtus, which shall automatically be the recognised owner of the copyright. If the law of the host country requires that an assignment must be made in writing, the LOC is obliged to draw up the necessary document and to submit it for signature to Virtus, which shall thereupon be the sole holder of such copyright.
10. MEDALS
10.1. Policy relating to victory medals
10.1.1. The LOC shall provide to Virtus, at the LOC’s expense, a minimum of five (5) sets of Championships medals.
10.2. Requirements for medals production
10.2.1. Size – To include both confirmed Virtus categories (II1) and trial groups (II2 and II3), two sizes of medals shall be produced for world and regional Championships and Global Games.
- II1 medals - The II1 medals shall be at least minimum 70mm - maximum 90mm in diameter and minimum 5mm - maximum 10mm in thickness.
- II2 and II3 medals - The II2 and II3 medals shall be at least minimum 50mm – maximum 70mm in diameter and minimum 3mm-5mm maximum in thickness.
10.2.2. Weight
- II1 medals - The weight of each medal should be between 150 and 250 grams.
- II2 and II3 medals
- The weight of each medal should be between 100 and 125 grams.
10.3. Material
10.3.1. For II1, II2 and II3 the medals should be easily recognised as gold, silver and bronze. The medals should be of the same “finish”, whether matte or highly polished. Medal recommended composition is 80% bronze/copper and 20% zinc.
10.4. Mould
10.4.1. In principle, the medals should be round in shape. If the LOC decides to propose medal shape that is not round, the size and shape of the medal must be approved in advance by
10.5. Ribbon
10.5.1. Each medal shall be provided with a ribbon to give the athletes the possibility to put the medal around their neck. The ribbon should be decorated with the Championships emblem, look elements and Virtus logo. This should be sent to Virtus prior to production for approval.
No sponsor or partner logos can appear on the medals or on the ribbons.
10.6. Design
10.6.1. All medal designs require prior approval by Virtus. The same design applies for all medals. The lines shall be simple, clean and the text (engraved or in relief) should be appropriate for the dimension. The medals are decorated on both sides.
10.7. Guidelines for medal design
10.7.1. Each medal shall include the following protocol elements:
- Front side:
- Official name of the Championships in English
- Visual representation of the sport and/or host city
- Design elements (optional)
- Back side
- The back of the medals will carry the Virtus logo.
The medals will be unique to the relevant Virtus Championships. Re-using medals used for or from other events (including Virtus Championships) is not permitted.
10.8. Flower bouquet or special Championships gift
10.8.1. Traditionally, a bouquet of flowers shall be presented during medal ceremonies at the Championships.
10.8.2. If the LOC decides to present something different than the bouquet to the winning athletes (e.g., mascot or special local product), approval from Virtus shall be obtained. |
Schelling-Type Micro-Segregation in a Hassidic Enclave of Stamford-Hill
Corresponding Author:
Dr Shlomit Flint Ashery
Email firstname.lastname@example.org
Abstract
This study examines how non-economic inter- and intra-group relationships are reflected in residential pattern, uses a mixed methods approach designed to overcome the principal weaknesses of existing data sources for understanding micro residential dynamics. Micro-macro qualitative and quantitative analysis of the infrastructure of residential dynamics offers a holistic understanding of urban spaces organised according to cultural codes. The case study, the Haredi community, is composed of sects, and residential preferences of the Haredi sect members are highly affected by the need to live among "friends" – other members of the same sect. Based on the independent residential records at the resolution of a single family and apartment that cover the period of 20 years the study examine residential dynamics in the Hassidic area of Stamford-Hill, reveal and analyse powerful Schelling-like mechanisms of residential segregation at the apartment, building and the near neighbourhood level. Taken together, these mechanisms are candidates for explaining the dynamics of residential segregation in the area during 1995-2015.
Keywords
Hassidic, Stamford-Hill, Segregation, Residential, London
Acknowledgments
This research was carried out under a Marie Curie Fellowship PIEF-GA-2012-328820 while based at Centre for Advanced Spatial Analysis (CASA) University College London (UCL).
1. Introduction
The dynamics of social and ethnoreligious segregation, which form part of our urban landscape, are a central theme of housing studies. Despite the interest raised by large-scale aspects of the Haredi (the strictly orthodox Jews) organization, who tend to form sizeable enclaves in large cities around the globe, including New-York and London (Valins, 2003), very little has been written about their micro-resolution residential dynamics. Using a mixed methods approach to analyse data from extensive bottom-up micro resolution field survey that took place in Stamford-Hill, this paper investigates whether the tendency of each sect's members to be different from the others is expressed in their residential pattern. Such method can recognize real and previously unknown dynamic processes, which other studies in the field may have overlooked as they have tended to work with patterns. This study adds to the existing body of knowledge by integrating bottom-up knowledge of the impact of social structures and networks of the Haredi Jews on residential dynamics, and explores how the human need for a sense of belonging and continuity leads to the development of micro-mechanisms that improve the individual’s ability to cope with the challenges of urban life.
Members of Jewish Haredi society define themselves by their commitment to Halacha, the dominant protocol determining Jewish ritual and translation of the commandments into daily practice. Expression of this distinctiveness is found in the clear tendency to avoid the larger Jewish society, live among other Haredi of the same or close sects, engage in a strict practice of ritual and maintain the lifestyles reflecting their rabbinical origins (Berman, 2009). While the Haredi community in Stamford-Hill, this study's case, appears unified to outsiders, it is actually distinguished by internal, nuanced distinctions among sects and sub-sects (Valins, 2003). These internal divisions are affecting the values, religious rituals, and normative behaviour, and vary from one sub-sect to another in terms of clothing, language and attitudes towards working as opposed to full-time Torah (Bible) study. In the Haredi world, the basic lifestyle and ritual orientation of each sub-sect express theological stances and historical tradition determined by their association to the sect's leader (Shilhav and Friedman, 1985).
In a close-knit community, neighbours' identity and a flat's genealogy are important components of the stated preferences for making residential choices. The residential preferences of Haredi individuals to live among other members of the same sub-sect to which they belong - together with the relatively similar economic status of the majority of Haredi families in Stamford-Hill, no matter which sect they belong, enables focusing on the role of cultural identity in the creation of residential patterns. The relationships between Haredi sects are likewise expressed in the residential preferences of their individual members. The Haredi individual is committed to a community-determined segregation lifestyle that is observed in several communities and affects its choice of residential location. According to Shilhav and Friedman (1985) Haredim "... voluntary segregation is based on a pre-existing ideological concept which reinforces itself, even when people's economic and socio-economic status improves..." It is important for this study that most of the Haredi residents of Stamford-Hill belong to Hassidic sub-sects; which all differ in terms of their self-identity and status within Haredi society and wish to live among their group (Gonen, 2006).
Similar to other religious neighbourhoods around the world, Stamford-Hill has become a Haredi neighbourhood over several decades, its character was influenced primarily by its central location and individual-level decision making. These circumstances are reflected in residential patterns, enabling maintenance of individual-community relations together with a reproduction of the sects' hierarchy. The relations between these Haredi sects reflect those within the entire Haredi world while local circumstances affect the specific links connecting the sub-sects. The research thus considers Stamford-Hill’s residential pattern as driven by the interactions between householders of different groups and investigates whether the tendency to reside among people of their own groups can explain non-economic residential patterns there. The paper begins with the theoretical framework (Section 2), describing the effects of communal identity on inter-group residential relations and presenting the Non-economic segregation, which provides the context for the Hassidic residential behaviour. Section 3 presents the details of Stamford-Hill population groups, followed by the methodology of the study in Section 4. Section 5 presents the inter-building and intra-building segregation dynamics, and Section 6 presents Inter-sect relations. Section 7 discusses the findings, their relevance to theories of residential dynamics and the impact of intra-communal and inter-sect relations on the spatial organization.
2. Residential segregation
2.1 Communal identity and Inter-group residential relations
Research on residential choices and "geography of opportunity" (Rosenbaum, 1995; Clark, and Dieleman, 1996; Karsten, 2007), state that in addition to labour migration, housing and access to higher education, individual identity play an important role in determining neighbourhood choice (Twigger-Ross and Uzzell, 1996; ); usually influenced by individuals’ views of their own identity and that of their neighbours (McGarrigle and Kearns, 2009; Clark and Coulter, 2015). According to the social identity theory (Tajfel 1972), individuals’ behaviour reflects identification with larger societal units. Individuals define themselves in terms of their belonging to a social category, adopt its norms and lifestyle, and eventually create a group (Abrams and Hogg 1990). More differentiated and context-bound works on identity, residential selection and segregation in different countries and cities show that identities might be particularly intense in mixed cities (South et al, 2011) where individuals prefer to form ties with others living close by and of the same group (Blumenstock et al, 2014; Musterd et al, 2016). Subject to factors such as affordability and availability of appropriate accommodation, they may be driven into segregating themselves from influences of unwelcomed groups and concentrating in what they perceive as friendly social environments (Johnston et al, 2007; Arbaci, 2007; Colomb, 2017).
Ibraimovic and Masiero (2014) show that the housing market in cities is a mirror of housing demand from different groups, whose voluntary segregation preferences - positive for members of the same or close groups and negative for others – and preferences for location, create the spatial distribution of housing tenures (Atkinson & Flint, 2004; Briggs, 2005; Phillips, 2009, Andersen et al, 2016). The housing market, in this sense, does not influence segregation but is a result of this dynamic (Andersson et al, 2016; Musterd et al,
Other domains of segregation (e.g., voluntary association) and hidden value homophily (e.g., information or attitudes) may drive the inbreeding process (Kalmijn, 1998: 410; Lloyd, 2015) as people’s personal networks are homogeneous with regard to many sociodemographic, behavioural, and intrapersonal characteristics (McPherson et al, 2001; Blumenstock et al, 2014). Over time, they may create “nested” places in specific urban areas at various urban scales: buildings, street blocks, neighbourhoods, and larger enclaves, with the smaller scales having more intense social interactions (Kusenbach 2008; South et al., 2011). The degree to which these concentrations form communities depends on the presence of a shared territory, significant social ties, and meaningful social interactions (Guest et al. 2006). Segregation, therefore, can be thus conceptualised both as a static distribution of groups across space and as a dynamic phenomenon whereby such socio-spatial distribution undergoes change over time (Andersen et al, 2016).
The effect of cooperation between a city’s free individuals on its urban structure was considered, for example, by the Chicago School at the beginning of the 20th century. According to their "invasion-succession" theory (Park, Burgess, & McKenzie, 1925), spatial segregation is a dynamic phenomenon whereby such socio-spatial distribution undergoes change over time, and therefore reflects individuals’ preference to cooperate with others as a means of promoting their welfare (Wirth 1928/1998). Current models, however, claim that the tendency to cooperate is more complicated. Modern, urban individuals are driven by the constant assessments of risks embedded in other people. As individuals carefully select those to be trusted, they actually engage in the building of self-identity. In Giddens’ (1984) words, “Self-identity is not a distinctive trait or even a collection of traits [...] possessed by the individual. It is the self as reflexively understood by the person in terms of her or his biography” (Giddens 1984, 53). The person’s biography is, inevitably, connected to the urban sphere—again, in a complicated manner. One example of this connection is the sub-national ‘Internal’ migratory dynamics of Middle-class individuals and families moving for education (Levy and Lee, 2011; Fielding, 2012). With the rise individualism, the tendency to move in order to reside in the ‘right neighbourhood’ and access the ‘right education’ (Butler et al, 2007) consists one of the most conspicuous signifiers of contemporary urban and rural change in the UK (Smith and Jons, 2015).
Researchers who examined intergroup relations among Mormons, Catholics, and Protestants (Finke, 1997; Boal, 2010; Tausch et al., 2011) raise doubt regarding the degree to which a-spatial segregation of post-traditional society is relevant for understanding the social life of ultra-religious groups residing in current multicultural cities. The parochial realm—a term coined by Hunter (1985) and developed by Lofland (2009)—is especially meaningful in the case of religious communities. While modern, post-traditional identities are individual, biography-oriented, and institution-oriented products, communal identity provides a central pillar for the ultra-religious person and an important source of one’s self-identity. Moreover, belonging to the ultra-religious community is the main source of strength and vitality—of minimizing the risk to the self of interacting with others, in Giddens’ terms—and the stronger it gets, the more impact it has on the individual’s norms and lifestyle. The intense awareness of religious identity motivates individuals to exclusively encounter people with the same values and affiliations (Peach, 2006, Shuttleworth et al, 2012). Therefore, and in a contrast to the
general modern British society which highlights the individual's qualities and preferences as the means for defining one's identity, the importance given in the Haredi world to appropriate education is expressed in their need to live, from the cradle to the grave, within the community, where the social order is already established as a basis for an individual's definition. Being born and raised into the social and educational environment of their community, where access to appropriate social and educational institutions is already guaranteed, Haredi people do not need such "Internal migration" (Fielding, 2012). Identity concerns are the paramount factor in housing decisions for people belonging to Haredi groups, who tend to limit their social contacts to people belonging to the same sects and sub-sects, preferably inside the defined enclave. Each sub-sect cooperates in its own religious and educational institutions and exclusive social networks and tends to compete with "others" over spatial-cultural dominance, emphasizing the strategic influence played by spatial homogeneity (Valins 2003).
2.2. Non-economic segregation
The UK literature concerning the housing pattern of ethnic minorities tended to include aspects of both choices – property type, size and location – and constraints – direct and indirect discrimination from housing exchange professionals and socio-cultural considerations (Ratcliffe, 2009; Berg & Sigona, 2013). This Sociocultural housing approach often blurs the specific mechanisms and impact, whether sociocultural motives or economic, that generate spatial patterns. Many researchers study residential relationships based on empirical observation (Krivo, et al. 1998; Britton 2011), while others explain residential choices using deductive assumptions regarding economic and socio-cultural factors (Clark and Dieleman, 1996; Bisin et al., 2016). In both cases, differences in family situation, lifestyle and changes in the life cycle that were traditionally seen as factors of greatest importance for residential choices, usually overlap—whether conceptually or empirically—with economic factors, such as tenure preferences, dwelling requirements, flexibility and security, as well as socio-cultural-economic interactions (Catney and Simpson, 2010; Finney and Jivraj 2013; Clark and Coulter, 2015, Smith and Jons, 2015). Although these approaches help interpret the spatial manifestation of intergroup differences, they are limited in distinguishing between the roles of economic and noneconomic factors in actual residential dynamics (Massey and Denton 1985; Krivo et al., 1998; Johnston, Poulsen, and Forrest, 2007).
In the mid-1970's, Speare's classification identified the socio-economic characteristics of the individual and the household on the one hand, and the socio-economic status of the housing and neighbourhood on the other, as the main factors for analysis of householders' residential behaviour (Speare et al., 1975; Kasarda, 1978). It is now common to distinguish between revealed preferences, actual individual/household behaviour and stated preferences, individuals' declared attitudes and intentions. As many studies show, a comparison between stated preferences, which are found by asking people directly about how they would prefer to live and why, and revealed preferences, which are found by examining how people actually live, lays the foundation for understanding residential dynamics as an outcome of individuals' choices (Benenson et al., 2002).
Particularly the comparison of the two may reflect the roles of socio-cultural motives for segregation, expressed in revealed preferences, and the economic constraints, affecting the revealed behaviour.
A basic approach to non-economic segregation between householders who belong to one of two ethnic groups – although not on such a highly specific group of the population - was offered by -Sakoda and -Schelling (Sakoda, 1971; Schelling, 1978). According to them, each householder considers the surrounding population to consist of ‘friends’, that is, householders belonging to the same group, and ‘strangers’ - householders belonging to other groups. Sakoda and Schelling further reduced the non-economic factors influencing the householder’s decision to stay or to move to a single variable: the fraction of ‘friends’ within the householder’s neighbourhood. According to Schelling’s model, householders aim at residing in a neighbourhood where the fraction of friends, $F$, is above a certain threshold. In the abstract versions of a model, which consider the square grid of cells, each populating one householder only, a threshold value of $F$ varies lays within the interval $1/4 - 1/3$, depending on the other model parameters. This means that the tendency of a householder to reside within a neighbourhood where the fraction of friends is above one third eventually results in complete residential segregation. He then concluded that a relatively weak tendency to congregate is, in the long term, sufficient to create full segregation between members of two groups within the urban space and the exclusion of “others” (Speare et al, 1975). Regarding the importance of communal identity to the individuals, the distinction between the will to congregate with “friends” and the desire to segregate from “others” may be particularly relevant for the research of religious groups. Despite the essential advance in studying Schelling model in its abstract form, examples of the real-world dynamics that can be described by the Schelling-type rules are very few. In what follows the research aim to verify the same idea in the real world and investigate whether the tendency to reside among people of their own sects can explain residential patterns there.
3. The case study of the Hassidic community of Stamford-Hill
Jewish settlement in Stamford-Hill began as early as the 18th century when Jewish merchants built their country homes in what was then a rural area. In the early 20th century, pogroms and persecution in Russia and Eastern Europe led to the immigration of 100,000 Jews into England, and many of these passed through London's East End and moved north through Hackney towards Stamford-Hill. During the 1930's and immediately post WW2 the Jewish population was swelled by refugees and Holocaust survivors, many of them Haredim. Since the war there has been further, albeit more limited, Jewish immigration, for example from Hungary following the revolution in 1956 and Aden in 1967 as well as a more recent influx of Jews from the Yemen.
Today, Stamford-Hill is particularly known for its 30,000 Ashkenazi ultra-Orthodox Hasidic Jews (DESTINATION Hackney, 2015), characterized by conventional devotion to Torah study and strict adherence to Jewish laws regarding diet, prayer, social and sexual relationships, Sabbath and festivals. The lives of the Hassidim focus around the Admor’s (Rebbe, their religious leader) courtyard, who fulfils the spiritual role of the link between people and God, and is a central leader in the daily lives of his community. The Hassidim usually
marry others from the same Hassidic courtyard and most of their social relations takes place within it (Green, 2001). High fertility among the Haredi communities, the area has one of highest birthrates in the UK, with a crude birth rate of more than 25 per 1,000 of the population - twice as high as the UK average (ONS, 2012) and limited career training, prevent economic improvement for the majority of Haredi Jewish households (Gonen, 2006). The role of economic considerations is not completely absent, though, as Haredi households have variations in their economic positions. A gradually growing minority of the community is of more comfortable means but over 50% are on means-tested benefits (Interlink, 2010). However, the Haredi community is bound by a shared faith and culture and people in different economic circumstances live side by side. Although individuals are free to live anywhere in this densely populated neighbourhood, households must comply with the sect’s directives.
The large number of 75 synagogues in the research area (Figure 1) reflects the diversity within the Haredi community, with different liturgical traditions. Definitions of the sects derived from the substantial self-identity of each rabbinical dynasties and courtyards of the Hassidim also expressed in lifestyle and appearance and reflect the internal Haredi discourse. The largest groups are the Satmar, the Gerer, the Belzer and the Bobover (Table 1). Other London based communities include the Kosov, the Biala, the Machnovka, the Chernobyl, the Skver, the Rachmastrivka, the Vizhnitz, the Karlin-Stolin and the Sassov. All taking their name from the village or town in Poland, Hungary or Ukraine where they originated, and each distinguished by some slight variation of religious practice and of dress.
Unlike other Hassidic sects, Chabad’s latest Rebbe, Menachem Schneeson, has not been succeeded by another Rebbe, and Chabad is deeply divided with regard to messianism (the notion that the Rebbe was/is the messiah), a claim that seems to put them on a different trajectory than from nearly all other sects, including Hasidic groups with similar norms and practices. Chabad is also unusually large and well-staffed organization, extremely geared to outreach other Jews. More than 70% of Chabad adherent join the movement later in their life. Besides English, most British Chabad Rabbis speak Yiddish with a Lithuanian accent and grammar, unlike other Hassidim (except for Stolin-Karlin) who speak Polish-Hungarian Yiddish. Unlike the Hassidic dress code of wearing a shtreimel and either a bekishe or a rekel, most Chabad men wear business attire with coloured shirts during the week and wear a Chabad version of the Lithuanian Kappote on the Sabbath.
This socio-cultural tendency, together with the innate conflict with modern, secular and even modern-Orthodox lifestyles, has motivated voluntary territorial separation of the Haredi population into an enclave of sorts (Shilhav and Friedman, 1985). At the urban level, the Haredi areas of Stamford-Hill are extremely segregated within the mixed London Borough of Hackney. The Haredi live in separate streets from the other ethnic groups in the Borough of Hackney, surrounded mainly by a mixture of negligible numbers of North African, Indian, Iraqi, Persian, Yemeni and Adeni Jews and other Lithuanians Haredi sects (Litvak) whose presence continuously declines, as well as Chinese, East European, Turkish and Kurdish communities.
Representatives of the Hassidim are involved in planning for the community through The Interlink Foundation, Orthodox Jewish Voluntary Action, that advocating for community needs, and helping influence
policy-makers to work collaboratively. Interlink (2010) explain that Haredim are continually engaged in adapting and extending the housing stock to meet their needs with hundreds of loft extensions, dormers and back extensions. However, prices in Stamford-Hill, both of rental units and units for sale, are relatively high and reflects the area’s attractiveness with a wide range of religious institutions and rabbinical courts active in the area.
Figure 1: (a) the distribution of the Jewish population in London; (b) Stamford-Hill. 2011 Census in open data
| Name | Current (or last) Rebbe | Founder | Headquartered In | City/Town of Origin |
|------------|-------------------------------------------------------------|--------------------------------|-----------------------------------|----------------------------------------------|
| Satmar | Aaron Teitelbaum (b. 1947); Zalman Leib Teitelbaum (b. 1952) | Yoel Teitelbaum (1887–1979) | Kiryas Joel, New York; Williamsburg, Brooklyn | Satu Mare, Hungary (now in Romania) |
| Ger (er) | Yaakov Aryeh Alter (b. 1939) | Yitzchak Meir Alter (1799–1866)| Jerusalem, Israel | Góra Kalwaria, Russian Empire (now in Poland) |
| Belz (er) | Yissachar Dov Rokeach | Sholom Rokeach (1781–1855) | Jerusalem, Israel | Belz, Galicia, Austria-Hungary / Poland (now in Ukraine) |
| Bobov (er) | Ben Zion Aryeh Leibish Halberstam; Mordechai Dovid Unger | Shlomo Halberstam of Bobov (1847–1905) | Borough Park, Brooklyn | Bobowa and Sanz, Galicia, Austria-Hungary (now in Poland) |
| Kosov (See: Vizhnitz) | Shraga Feivish Hager | Rabbi Menachem Mendel Hager | Borough Park, Brooklyn, Jerusalem and Tzfas, Israel | Kosiv, Ukraine |
| Vizhnitz | Yisrael Hager; Mordechai Hager | Menachem Mendel Hager of Kosov (1830–1884) | Bnei Brak, Israel; Kaser, New York | Vyzhnytsia, Bukovina, Austria-Hungary (now in Ukraine) |
| Biala | Avraham Yerachmiel Rabinowicz; Yaakov Menachem Rabinowicz; Aaron Rabinowicz | Yitzchok Yaakov Rabinowicz (died 1905) | Jerusalem, Israel; Bnei Brak, Israel; Borough Park, Brooklyn | Biała Podlaska, Poland |
| Sub-sect | Founder | Leader | Location | Origin |
|---------------|--------------------------------|---------------------------------------------|-----------------------------------------------|-------------------------|
| Machnovka | Yehoshua Rokeach | Yosef Meir Twersky of Machnovka | Bnei Brak, Israel | Machnovka, Ukraine |
| Chernobyl | several | Menachem Nachum Twerski of Chernobyl (1730–1797) | Bnei Brak, Israel; Ashdod, Israel; Boro Park, Brooklyn | Chernobyl, Ukraine |
| Skver | David Twersky (b. 1940) | Yitzchak Twersky | New Square, New York | Skvira, Russian Empire (now in Ukraine) |
| Rachmastrivka | Rebbe Duvid (David) Twersky of Rachmastrivka-Yerushalayim | Yochanan Twersky | Borough Park, Brooklyn, New York and in Jerusalem, Israel | Rotmistrivka, Ukraine |
| Karlin-Stolin | Baruch Meir Yaakov Shochet | Aaron ben Jacob of Karlin (1736–1772) | Givat Zeev, West Bank; Jerusalem, Israel | Karlin, Belarus |
| Sassov | Grand Rabbi Yaakov Tzvi Erblich | Moshe Leib Sassover (1745–1807) | Monsey, New York; Ganei Tikva, Israel | Eastern Galicia, Ukraine|
| Chabad Lubavitch | Menachem Mendel Schneerson (1902–1994) | Schneur Zalman of Liadi (1745–1812) | Crown Heights, Brooklyn | Lyubavichi, Russia |
Table 1: Rabbinical dynasties of the Hassidic sect in Stamford-Hill, by Sub-sects
4. Methods
4.1 Construction of Stamford-Hill’s spatio-temporal population GIS
To investigate residential relationships in the research area among Stamford-Hill’s population groups, a detailed spatial-temporal database that contains exact geo-referenced data on families’ religious affiliation was conducted. The field research was conducted during 2015 at the level of individual families and apartments. Two interviewers, young Haredi males from the local community, canvassed the neighbourhood and conducted a quantitative–qualitative door-to-door survey. During a one hour interview, the households were asked to identify themselves as well as the apartment’s former dwellers, going back 1995. Since people find it difficult to pinpoint and separate why exactly they make particular moves, a reasonable concern is raised regarding the
reliability of retrospective reports and knowledge of local population turnover. However, several researchers stress that the identity of the previous residents is important for traditional families (Waterman and Kosmin, 1988; Sennett, 2012). The importance of a continuum of residency to traditional populations limit the number of turnovers of flats: While the average housing turnover in the UK is 21 years (ONS, 2015), the average housing turnover for the Haredi population in this research is over 46 years. This tendency leads to the development of flat genealogy of previous occupants, a conclusion confirmed by this research. For the Haredi population, it is highly important that their apartment will be "Kosher". Renting or buying an apartment in which an ultra-Orthodox family used to live, ensures a double kosher sink according to the sect’s norms, and that the mezuzos (A case comprises a piece of parchment with specific Hebrew verses from the Torah affixed to every doorway in the home) won’t be removed once they placed. These norms lead to relatively few turnover of families during the years, enable us to identify of past residents and allow us to understand which sect’s members occupied each apartment for the past 20 years.
All other questions were asked related to the present occupants in order to ascertain their socio-spatial behaviour. Householders were also questioned about their motives for choosing the apartment, how long they have been occupying it and asked to rank the relative importance of the apartment’s price, their neighbours’ identity, and institutional proximity (stated preferences). This field survey also collected data about the location of the synagogues the families attended, whether the apartment was owned or rented, and the source of information about the apartment prior to buying or renting it (revealed preferences). Given the heavy reliance on the primary survey, and in order to ensure consistency and quality, each interviewer was to carry out three pilot interviews to refine approaches and questions. In addition, the field notes were reviewed weekly to ensure consistency across the project. A 5-10% overlap among the sections under review was maintained in order to evaluate the incoming data and improve accuracy. Despite early apprehensions regarding cooperation, the response rate reached 83%. A high level of cooperation with the survey enabled a comparison between stated and revealed preferences and recognizes similar preferences amongst the groups.
Snowball sampling for in-depth interviews was then used, in which participants are recruited by chain referrals, and 32 in-depth open-ended interviews were conducted with key figures from various fields, provided rich qualitative data. Those involved with the communities were interviewed about spatial relations between the individual and the community, and the economic aspect of the yeshiva in regard to housing. The information was cross-checked with blogs, articles, and Haredi internet sites, which offered a range of different types of knowledge and perspectives on their communities.
Construction of the Stamford-Hill GIS was based on the layers updated for the year 2015, which were provided by the ordnancesurvey.co.uk/opendatadownload/products.html. The characteristics of all the research area’s apartments and households were organized as a GIS layer, in which every record in the table is related to the corresponding building. The layer was then included in the area’s high-resolution GIS. Stamford-Hill GIS contains additional layers pertaining to topography, roads, land parcels, and buildings, the latter characterized by use and number of floors.
Combining the spatial-temporal GIS of residential patterns with information on individuals' preferences and organisational tools enabled evaluation of residential patterns at the level of apartments, buildings and neighborhood. High-resolution mixed methods analysis using CityEngine and MAXQDA as well as more traditional modelling tools such as Python and R indicated the differences between stated and revealed preferences, presenting a background for an examination of the area with regards to the context of its environs.
The research area of Stamford-Hill contains 104 apartments in 7 buildings with another 686 apartments in 406 detached/semi-detached houses. 1165 Households occupy 590 apartments. Another 67 apartments are used by institutions (such as synagogues) and the remaining 71 are shared by households and institutions (such as kindergartens operated within dwellings).
4.2 Estimation of residential segregation
Given the exhaustive survey and high response rate, the micro-segregation residential pattern in Stamford-Hill is available at the highest possible resolution of households and buildings. Disaggregated data enable direct estimation of the relationships between households and neighbours in the same and neighbouring buildings. Standard measures of segregation, such as the Dissimilarity Index (Sharma 2012), employ data that are aggregated over the units of a predefined, usually administrative, partition of the area. That aggregated view of space does not allow us, however, to account for the spatial adjacency of the householders of different sects at the resolution of buildings or apartments. The high-resolution data the study collected enables direct estimation of the relation between characteristics of the household and its neighbours. Moran’s I index of spatial autocorrelation perfectly fits this purpose (Brown and Chung 2006). Moran’s I estimates the correlation between the fraction $D_i$ of sect D in building i and the average fraction of sect D over the buildings within the neighbourhood $U(i)$ of building i:
$$\frac{N \sum_i \sum_{j \in U(i)} w_{ij} (D_i - \overline{D})(D_j - \overline{D})}{\left( \sum_i \sum_{j \in U(i)} w_{ij} \right) \sum_i (D_i - \overline{D})^2}$$
Where N is the number of buildings and $\overline{D}$ the average fraction of a sect D in Stamford-Hill. The influence $w_{ij}$ of the neighbouring buildings $j \in U(i)$ on i is calculated as $w_{ij} = 1/NU(i)$, where $NU(i)$ is the number of buildings in $U(i)$. The proximity of buildings is defined by a Voronoi partition constructed on the basis of the buildings’ central points, as proposed by Benenson et al (2002).
According to the collected data, the Hassidic population in the research area of Stamford-Hill is growing (Figure 2). The area was initially populated by various Hassidic groups with North African, Persian and Adeni Jews steadily substituting for Chabad residents during the late 2000s. Close intra-group relations are responsible for the efficient information network that helps Haredi householders learn about vacancies from
members of their own group. According to the data, 73% of Stamford-Hill’s population either bought or rented their current apartment after receiving information through family and friends, whereas only 25% learned about it from agents and advertising (Table 2). Note that the distribution of information sources does not depend on affiliation to sects (chi-square test, $p \sim 0.4$).
Figure 2: Population dynamics in the research area of Stamford-Hill: (percentages).
| Source of information | N | % |
|-----------------------|-----|------|
| Public advertisement | 36 | 3.1 |
| Real estate agents | 11 | 0.9 |
| Family | 704 | 60.4 |
| Friends | 307 | 26.4 |
| Other | 33 | 2.8 |
| Inheritance | 74 | 6.4 |
| Total | 1165| |
Table 2: Sources of real estate information: How dwellers learned of vacant apartments prior to their purchase or rental
Table 3: Importance of apartment cost, neighbours’ identity and proximity to institutions in apartment choice by Haredi sect, Stamford-Hill (2015)
Table 3 shows that Haredi sects in Stamford-Hill share similar concerns (chi-square test, p~0.5). Less than 26% of Stamford-Hill dwellers chose the location of Haredi institutions as their main concern. Stamford-Hill’s location close to the city centre ensures the proximity of such institutions. Contrary to economic theory, only up to 18% of each group indicated that price was a critical issue for them. Most important rather is the fact that, despite the neighbourhood’s reputation as a Haredi neighbourhood, more than 56% of Stamford-Hill dwellers from all sects reported that the identity of their immediate neighbours is their principal concern. As this stated preference appears to be shared by members of all sects, the research can assume that the Schelling-type mechanism of actively distinguishing between “friends” and “others” remains relevant within the Haredi haven of Stamford-Hill. Apparently, most of the neighbourhoods’ dwellers feel the need for at least a few “friends” in order to feel at home in their apartment building. The study thus turned to investigate the impact of these declared preferences on the revealed preferences of Stamford-Hill’s dwellers.
5. Inter-building and intra-building segregation
The survey data enabled reconstruction of Stamford-Hill’s residential patterns for the entire period between 1995 and 2015 (Figure 3). Despite the stated preference for living in a “friendly” environment, those maps indicate a high level of spatial integration, with members of several sub-sects sharing apartment buildings and near neighbourhoods.
Figure 3: Spatial distribution of Bobov, Vizhnitz, Skver, Satmar, Karlin-Stolin, Chabad and non-Haredi Jewish sects in apartment buildings, Stamford-Hill 1995–2015.
Moran’s I index appears relatively high for three sects (Figure 4). The dynamics of Moran’s I index show that the Chabad and Satmar Hassidim are the most highly segregated sect in Stamford-Hill, although the residential segregation of the other sects has been steadily growing over the years.
A high resolution look into the dynamics reveals the relation between the stated (Table 3) and the revealed residential preferences of the area’s residents. To estimate the latter, for each sect D the study calculated the fraction of D-families in each building that had a vacant apartment. Then, for each sect D, we now compared the average fraction of D-families in buildings the vacant apartment of which was chosen by new D-families, to the fraction of D-families in the rest of the buildings. For each sect D, the average fractions of friendly families in the buildings chosen and not chosen by D-families are presented in Table 4. The buildings chosen by D-families show percentages of “friends” is up to two times higher than the buildings with vacant apartments ignored by D-families. This fundamental pattern of residential behaviour is consistent for all religious sects in Stamford-Hill, although weakening at the near neighbourhood level (Table 5).
Note that although the relatively small number of Karlin-Stolin members is insufficient to express their segregation tendency by the Moran’s I index (Figure 4), a comparison between the average fraction of families in buildings the vacant apartment of which was chosen by new families and the fraction of D-families in the rest of the buildings indicate that they effectively implement their stated preferences by residing in buildings occupied by “friends.” As these preferences appear to weaken at the near neighbourhood level (Table 5), it is safe to conclude that they form a fundamental mechanism, providing people with a sufficiently strong sense of home and belonging.
The central role of the parochial realm (Hunter 1985; Lofland 2009) is now revealed: In addition to their efficient information network that helps Haredi householders learn about vacancies from members of their own group (Table 2), an individual-based mechanism is supporting the establishment of residential patterns. A high percentage of Haredi families reside in apartments vacated by householders of their own sect (Table 6). The high probability of an empty apartment being transferred to members of the same sect becomes
a parallel, individual based mechanism supporting micro-congregation. Families can thus be assured that the level of “friendliness” in their building will not decrease.
| Sect | Bobov | Vizhnitz | Skver | Satmar | Chabad |
|--------|-------|----------|-------|--------|--------|
| Fraction | 0.92 | 0.94 | 0.81 | 0.85 | 0.52 |
| N | 101 | 110 | 71 | 265 | 279 |
Table 6: The fraction of members of a given sect who occupied an apartment vacated by a member of their own sect (1983 – 2008)
6. Inter-sect relations
The Schelling-type tendency to reside in buildings and neighbourhoods with a sufficiently high fraction of friends explains the evolution of residential patterns in populations consisting of two groups. This model, however, is insufficient to explain the case of Stamford-Hill, where householders from several groups compete for the same residential space. Moreover, in contradiction to Schelling’s symmetric view of residential relationships, relations between Haredi sects are hierarchical. It is well-known, for instance, that Hassidim consider proximity to Chabad to be embarrassing (Friedman 1991), as Miriam (30’s) explains:
“Two Chabad families moved to the building behind us last summer, so now we are considering to move out. We are renting, so we can do it. For other families it is also a nuisance. Their kids are talking to ours in the street, and they may be influenced by wrong ideas” (16 Sep. 2015).
One can assume that Hassidic householders would avoid residing in a building with one or more Chabad families, although Chabad householders may be tolerant toward Hassidic neighbours and even prefer them. It is also known that despite the differences between the Hassidic courts, there are marriage relations between other Hassidic groups. Which, if any, of the relationships between the sects are relevant for explaining residential patterns in Stamford-Hill?
To estimate the residential attitudes of members of sect D toward members of other sects, the research compared the residential structure in buildings with vacancies that were/were not selected by householders belonging to D. If two buildings have the same fraction of families belonging to sect D but different fractions of families of other sects, and D-newcomers prefer/avoid residence in one of those buildings, a comparison of the fractions of the other sects residing in these two buildings should reveal D’s preferences in regards to the other sects in the building. This procedure was applied when the steady out-migration of non-Haredi householders from Stamford-Hill was almost completed (Figure 3). The analysis began with comparing “buildings of others” in which D-families did not reside at all at the moment of residential choice.
Satmar families are indifferent to the identity of others in the building, and can reside anywhere (Figure 3). This is not so for Bobov, Skver, Vizhniz and Karlin-Stolin householders. Satmar, if forced to choose apartments in “buildings of others,” surprisingly choose houses with high fractions of Adeni and Chabad
families. Here, for first time, the indirect impact of social status plays: As the Satmar presence spread in Stamford-Hill during this period, their social status provided them the power to select the most desirable locations. Satmars, appear to prefer buildings with less competition, although the non-Haredi residents in those buildings belong to sects “below them” in the neighbourhood social hierarchy. When “friends” reside in the building, all besides Bobov, Skver, and Vizhniz newcomers become indifferent to the proportions of others. They remain sensitive to the building’s population structure and avoid/are deterred from buildings with more Chabad, but are attracted by more Satmars. Chabad families, however, avoid buildings with high fractions of Bobov, Skver, Vizhniz and Karlin-Stolin, and prefer or are steered to buildings with high fractions of Satmar and Adeni families.
This is another manifestation of the important role played by the social hierarchy in the formation of residential structure: Individuals belonging to higher status sects are in effect less concerned by the identity of others in the building, as long as there is at least one family of “friends.” However, households with lower social status are much more limited in residential choices and end up with a greater presence of “friends” in an apartment house. In conclusion, individuals and households are sensitive to the identity of others in the buildings, and when they cannot find “friends” as close neighbours, they choose their residents according to the social hierarchy. Individuals from marginalized sects associate with households of other marginalized sects, whereas individuals located at the top of the social hierarchy are in effect free to choose their neighbours from all other sects. In the case of Satmars, they are also able to express their high social status by choosing cheaper apartments, located in buildings with non-Haredi households.
The last issue concerns the near neighbourhood (excluding the building itself). Comparing chosen and not-chosen buildings, the study compared sect percentages within the near neighbourhoods of buildings that had a vacant apartment. Only Chabad were found to be sensitive to the sect distribution of the near neighbourhood in addition to the building, and tend to avoid/are steered away from other Hassidim but the Satmars. Taken together, the need to live close to someone who shares the same faith, worldview, and lifestyle is shared by all the sects examined, the urge to avoid those who are “not friendly” is partial and weak.
Another interesting finding concerns the asymmetric nature of segregation attitudes. Chabad and the four Hasidic sects of Bobov, Skver, Karlin-Stolin and Vizhniz - relations, are one-way: Chabad avoid buildings where the percentage of those Hassidim is high, yet the Hassidim are less sensitive to the percentage of Chabad; Satmar are insensitive to the fraction of Chabad families in the building while Chabad prefer buildings with a higher percentage of Adeni. Resulting from the lack of symmetry, different sects face different limitations when choosing a new building. While individuals from higher in the social hierarchy focus on the building and tend to neglect the near neighbourhood, households of lower social status are more sensitive to the distribution of their sect in the near neighbourhood, as a compensation to the relative absence of a “friend” in the building, and are usually forced to choose apartments with a higher fraction of non-Haredi households.
The currents described above are coupled with other tendencies that have shaped the spatial configuration of Stamford-Hill throughout the years. For decades, Chabad families have concentrated around
their institutions, on the northern area of Portland-Avenue and along Stamford-Hill Road, a major highway, considered less attractive than the neighbourhood’s interior areas. Recently, Chabad have concentrated on the southern area of Portland Avenue (see Figure 5). All this leads to the assumption that the residential preferences of Chabad families manifest feelings of social exclusion rather than free choice between market alternatives.
Figure 5: Dynamics of spatial distribution of the Satmar and Karlin-Stolin versus Chabad, the patterns for 1995, 2002, 2008 and 2015.
Exclusion of Chabad from buildings is especially striking when compared with the segregated pattern of Karlin-Stolin. From the mid-1990s, Karlin-Stolins began to make themselves felt in the stronghold of the "Hasidic Hub". While they rarely managed to purchase apartments in the area, by 2015, 73% of Karlin-Stolins continue to rent from Chabad (Figure 5, bottom row).
Regarding the apartments vacated by non-Haredi families, the Satmars’ competitors are the Chabad. Chabad is taking advantage of their economic abilities, and are the first owners and renters of the apartments vacated by North African, Persian and Adeni families. The fraction of Non-Haredi families in the “buildings of others” chosen by both sects is essentially higher than the respective percentages in buildings not chosen. However, we assume that the occupation of these buildings by Satmar expresses their superior status and freedom of choice, whereas Chabad reside there as an expression of their social exclusion and lack of choice. In conclusion, our intra-sect and inter-sect analysis has revealed mechanisms of spatial differentiation through congregation with “friends” whilst selectively ignoring unwelcome “others.” Since these mechanisms operate more strongly on the building than on the near neighbourhood level, it is appropriate to refer to the aggregate results under the heading “micro-segregation”.
7. Discussion and conclusions
This study examines the impact of social relations and social identity on intra-urban segregation, focusing on the research area of Stamford-Hill. The literature assumes that non-economic forces, namely, communal relations and social considerations, are the main driving forces of internal neighbourhood segregation (Peach, 2006); while other economic factors have less influence on the residential decision-making of traditional communities. This is especially true for Stamford-Hill’s Haredi population. Generally, relatively intense devotion to lifestyle lead the Haredi population to focus on sect affiliation and enforce residential homogeneity despite turnover in the buildings and neighbourhoods. Once economic considerations are set aside, Stamford-Hill householders are free to direct their attention to inter- and intra-sect relations and emerging social patterns when choosing a residence.
The study reveals micro-segregation dynamics operate at the level of the household as well as at the neighbourhood level. The research is pioneering in three respects: (1) using the combination of mixed methods in order to provide a useful technique for studying micro dynamics within a community; (2) study of a relevant example of spatial interactions between population groups that are similar in many respects, while each is interested in preserving its unique cultural identity; and (3) the research findings extend Schelling’s theory regarding the symmetric relations between two groups by adding two essential points. The unique information collected via in-depth door-to-door survey made it possible to compare stated and revealed preferences at the household level and to reveals powerful migration mechanisms that govern this segregation over two decades. The religious affiliation of the building’s inhabitants proves to be the motivating force for dwellers from all sects. Non-Orthodox people living in Stamford-Hill are leaving because Haredim from the two poles of the local social spectrum—the high-ranked Satmar and low-ranked Chabad—quickly occupy their vacated apartments. The
Hassidic group of Karlin-Stolins plays the role of the most highly segregated sect, most anxious to congregate with one another. Other Hassidic sects of Bobov, Skver and Vizhni avoid specific others in the building level, such as the Chabad. Chabad is the only group paying almost the same amount of attention to the number of “friends” in a nearby building as in their own. Chabad are socially excluded from other Hassidic-dominated areas. Whether Chabad tend to avoid other Hassidim or feel unwelcome by them, they are nevertheless more likely to move in with the marginal non-Haredi and Satmar.
The study shows that micro-segregation is not only inevitable but also desirable for maintaining the diversity. The case study of Stamford-Hill is a laboratory for studying micro-segregation, offers lessons to the broad field of inner-city dynamic processes. First, instead of Schelling’s “white” and “black” dualism, the study examined several groups residing in the same urban neighbourhood. Although Schelling’s research was not based on such a highly specific group of the population, it still shows that beside the basic urge to live among “friends,” individuals’ decisions are affected by the relations to each of the other groups. Thus, individuals belonging to high-status groups are mainly sensitive to the fraction of people of their own sect. As assumed by Schelling (1978), those individuals are satisfied with a sufficient number of “friends” in a building and remain insensitive to the proximity of specific “others.” Conversely, individuals belonging to marginal and low-status groups are selectively sensitive to the presence of others: in addition to preferring buildings hosting a sufficient number of “friends,” they acquire micro-environments with low fractions of individuals belonging to inhospitable and high status groups. A second contrast with Schelling’s model moves closer to the real world. Despite the need to study multi-family buildings, researchers tend to avoid studying multi-parametric situations of this kind because of the multiplicity of “clues” demanded by the research. This study supplies these clues and managed to explore how the revealed behaviour of individuals maintains the diversity.
The micro-segregation pattern could be relevant to many other inner-city situations, where various population groups live together in dense urban areas. This mixed methods research framework of culture-oriented micro-residential analysis, offers reasoned answers to defined situations in Stamford-Hill. However, this intensive, multi-method study of a very specific religious and residential context is also general enough to be applied to other multi-parametric situations occurring in dense inner-city neighbourhoods inhabited by different groups and religious communities, like New-York, Montreal, Manchester and Jerusalem. From the perspective of urban dynamics, the Haredi population’s behaviour exemplifies the influence of social relations within a microcosm of small communities with bold leadership in the spatial organization of a densely populated urban area. A specific type of relationship between individuals and the community is needed for constructing as well as maintaining such a spatial order. Analysing how ultra-religious identities shape segregation dynamics, raises questions regarding the social mechanisms that created and continue to maintain this segregation. However, the research has several limitations. Firstly, the interviewees cooperated with the researchers, but this may not be the case in other scenarios. Secondly, this type of research may only be suitable for inner-cities areas, and not applicable elsewhere. Thirdly, the proposed approach is costly and requires a substantial investment of professional time for gathering detailed information. Further research may reveal the
degree to which micro-segregation is a more general mechanism applicable for seemingly heterogeneous urban spaces.
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Supporting Life with Reading: 9 Patterns from A Pattern Language for Creative Reading
RIO NITTA, Faculty of Policy Management, Keio University
WATARU MURAKAMI, Faculty of Environment and Information Studies, Keio University
YASUSHI WATANABE, Yurindo, Co., Ltd. & Keio Research Institute at SFC
TAKASHI IBA, Faculty of Policy Management, Keio University
In this paper, we present 9 patterns for “Tips for Reading” from A Pattern Language for Creative Reading, created for people to discuss about their own experiences of reading books and share their reading habits with others. The 9 patterns introduced in this paper were extracted from the experiences of 30 people who enjoy reading books, focusing on their reading process. They do not only solve the problems which are likely to occur when inexperienced people attempt to read books, but also show various ways of reading and using books. Therefore, they work as a trigger for people who do not regularly read books to jump into the world of literature, and also let people who are used to reading books think about their ways of reading and discover new ones as well. Since each pattern is expressed in a single vocabulary, the set of patterns together work as a common language. We expect this paper to provide readers with a view to using these patterns effectively in their practice of reading books.
Categories and Subject Descriptors: [Social and professional topics]: Computing education—Informal education; [Software and its engineering]: Language features—Patterns; [Software and its engineering]: Software development process management—Design patterns
General Terms: Human Factors
Additional Key Words and Phrases: reading, book, pattern language, design, creativity
ACM Reference Format:
Nitta, R., Murakami, W., Watanabe, Y., Iba, T. 2018. Supporting Life with Reading: 9 Patterns from A Pattern Language for Creative Reading. HILLSIDE Proc. of Conf. on Pattern Lang. of Prog. 25 (October 2018). 13pages.
1. INTRODUCTION
In any age, book-lovers exist; however, others do not like to read books. People who do not read books tend to stay away from reading because they believe it to be a burdensome task. Reasons such as the “lack of patience to read a book word by word”, or “not having time for reading” are some leading factors that keep people from picking up a book. However, such assumptions are often made simply because they do not know the effective, fun ways of reading. Once people are exposed to the ways in which book-lovers approach the reading process, they too may be able to better their relationship with reading. The difficulty here, however, is as explained below by Seigo Matsuoka, a renowned Japanese editor:
“The most difficult thing is that the process of reading is hard to peek at from outside. It can be described as Marcel Duchamp says, “I can see what people are watching but I can not hear what people are hearing,” “I know what people are reading but I do not know how people read it.”” (Matsuoka, 2009, p. 8)
As stated above, it is difficult for people to understand the practices of people who are able to enjoy reading. If people can easily share their different reading styles, it would not only allow people who usually don’t read to learn how to read, but would also give book-lovers a chance to gain new ideas about ways of enjoying reading.
The pattern language method is a way in which peoples’ processes of reading can be made explicit, we decided to use the methodology to put it into words. In this paper, we introduce the 9 patterns for “Tips for Reading” in detail, which are also positioned as the first category in A Pattern Language for Creative Reading (Iba et al., 2018).
2. A PATTERN LANGUAGE FOR CREATIVE READING
In this paper, we introduce 9 patterns for “Tips for Reading”. These 9 patterns were created with the intention of helping beginners, and contain some basic hints that help improve the reading process. The aim is that by using these patterns, those who do not usually enjoy reading, or those who are inexperienced with reading will feel more enthusiasm and confidence to pick up a book.
| Tips for Reading | Ways to Enjoy Reading | Ideas for Creative Reading |
|------------------|-----------------------|----------------------------|
| 1. Rough Reading | 1. Valuable Possession | 1. Inspiration for Creation |
| 2. Notes on Pages | 2. Discovery of Detail | 2. Writing Style Abstraction |
| 3. Freestyle Reading | 3. Special Spot | 3. Source of Courage |
| 4. Book the Date | 4. Familiar Bookstore | 4. Alternate Possibilities |
| 5. Meaning of Reading | 5. Bookstore Roaming | 5. Book Design Inspiration |
| 6. Reading Partners | 6. Today’s Buddy | 6. Framework for Thinking |
| 7. Links Within Books | 7. Reading Race | 7. Clues for Creative Living |
| 8. Same Deep Feeling | 8. Book-Driven Actions | 8. Movement of the World |
| 9. Personal Bookshelf | 9. Life with Reading | 9. Pieces of the Future |
Fig.1. The list of 27 Patterns for Creative Reading
The Pattern Language for Creative Reading has two other categories, that each also consists of 9 patterns. The second category, “Ways to Enjoy Reading,” contains patterns that encourage people to have fun with reading books in their daily lives, to deal with one of the key issues that keep people away from reading; lack of time. In the third category, “Ideas for Creative Reading,” creative ways of reading books, which are strongly recommended for people in the coming Creative Society, are described. These patterns help people to utilize books as not only information media, but also creative media, which helps enhance their own creative activities.
The 27 patterns for Creative Reading were created using the Iba Laboratory’s pattern language methodology (Iba, 2016; Iba & Isaku, 2016). The extracted patterns were found from interviews with around 30 people (selected with no relation to how frequently they read), where we asked interviewees about the ways in which they enjoy reading, as well as any unique reading habits they have.
3. 9 PATTERNS FOR “TIPS FOR READING”
In this section, we present the 9 patterns for “Tips for Reading”: ROUGH READING, NOTES ON PAGES, FREESTYLE READING, BOOK THE DATE, MEANING OF READING, READING PARTNERS, LINKS WITHIN BOOKS, SAME DEEP FEELING, and PERSONAL BOOKSHELF. These patterns are for people who do not like to read books to carry out better practices of reading. This set of patterns can be categorized as a pattern language for human actions, i.e. “Pattern Language 3.0” (Iba, 2011a; Iba, 2012b). Each pattern is written in short sentences that summarizes the Context, Problem and Solution, and has its own name. It can therefore be recognized and function as a vocabulary when communicating with others.
3.1 Rough Reading
Rough Reading
Read on without focusing on the details.
You are trying to start reading a book.
In this context
If you try to read completely from the beginning to the end, you may get tired partway through; or you may not even be able to begin reading because you lack the confidence that you can finish it.
Forces:
- You think you must read a book from the beginning to the end completely.
- Reading the entire book takes a lot of time.
- Your motivation does not continue till the last page.
Therefore
Pick up phrases / sections that seem important as you read, grasping the overall flow of the book. Focus on the parts, which you feel, is important instead of getting caught up in the detail. You can reread the important parts later on, so focus on the parts that you think are important without worrying about the details.
For example:
- First of all, you flip through the book while focusing on section titles or bold words and choose where you read more.
- Read the table of contents, and grasp the keywords of the book.
- Before you read the contents of the book, you get tips from the afterword.
Consequently
You will be able to understand the overall content of the book even without stressing over detail.
Notes on Pages
Books are your notebook to write down your thoughts.
When reading, you may encounter new exciting ideas.
▼ In this context
As such findings are often instantaneous, you may not get a chance to deepen those thoughts, or even forget them as time passes.
Forces:
- You cannot remember everything what you thought while reading.
- You cannot organize your thoughts.
- You can’t sink into your thoughts and concentrate on reading at the same time.
▼ Therefore
Make habit to have a pen any time you read and note your thought.
For example:
- Underline the sentences where you feel are important.
- Write summaries of what you read or your thoughts on the blank pages.
- Draw a diagram of your thoughts in the margins.
▼ Consequently
By leaving a trace of your thoughts in the book, you will be able to organize and deepen your thoughts as you read. Furthermore, it will make it easier for you to quickly find important sections when you read the book again.
Freestyle Reading
Everyone has different reading styles.
You are sitting down and reading a book quietly.
▼ In this context
There may be times when getting tired or sleepy, inhibiting you from focusing on your reading.
Forces:
- You think you cannot read books without sitting quietly.
- Reading while sitting for a long time makes you tired.
- Reading styles in which one can concentrate varies between people and situations.
▼ Therefore
By changing your posture or the environment in which you read, find for yourself a comfortable reading style.
For example:
- Instead of sitting still in a chair, try to read books standing up or lying down.
- Read books with background music which makes you more comfortable.
- Read at your favorite places such as a habitual café and a bar.
▼ Consequently
By gaining various reading styles, you will find more opportunities in your life to enjoy reading.
3.4 Book the Date
Book the Date
Make time to read and face books on the time.
You think about the time when you read books.
▼ In this context
Even if you have a book that you want to read, other plans may get in the way.
Forces:
- You think you can read books at any time.
- Because of the busy schedule, the priority of reading decreases.
- When time passes, you may forget a feeling to want to read the book at that time.
▼ Therefore
Build time to read into your schedule and write it in your planner.
For example:
- Write the name of author of the book on your calendar as if you have a date with your friends.
- As if you have a plan to visit somewhere, write the book title on your planner.
- You read a book every week at a set hour like a school.
▼ Consequently
By perceiving reading as one of your plans equal to other things you need to do, you can make time to read.
3.5 Meaning of Reading
Meaning of Reading
Reading is shaping yourself.
You have a lot of things to do.
▼ In this context
In a busy life where you are constantly facing task after task, reading can become something of low priority.
Forces:
- It is difficult to make a change after reading books.
- If you continue to neglect reading, you may lose a chance to learn and grow by yourself in the long run.
- Books build the foundation of generating new ideas.
▼ Therefore
Secure time for reading with the mindset that it is an essential part of your personal growth.
For example:
- Clarify the value of the book for you.
- Not read books at random but select valuable books for you and read them.
- Invest in your learning of books from a long-term perspective.
▼ Consequently
You are able to identify for yourself how reading contributes to your long-term growth, and will naturally be able to make time for reading even amidst a busy schedule.
Reading Partners
Tackle the same book with everyone.
You want to cherish the time you read.
▼ In this context
There are times when you cannot help but to prioritize other plans: especially if the book you are trying to read is challenging one, you may get frustrated and give up on it before you can gain any significant understanding.
Forces:
- You think reading is a work to tackle alone.
- It takes time to try to understand everything by yourself
- In a limited period of time, you cannot read everything what you want to read
▼ Therefore
Search for people who are interested in similar topics as you, and make opportunities to read/discuss the book together.
For example:
- Divide in chapters and assign each chapters for each person.
- Make a party to read together or post reading events where people who have same interest with you.
- Gather with people who read different books and share what they get from the books.
▼ Consequently
By having other people to read/discuss the book with, it will be easier to establish and stick to a timeline to finish the book. Furthermore, having people to discuss with, allows you to understand the book through multiple angles, helping to deepen your understanding and clarify any points that you find difficult to understand.
3.7 Links Within Books
Links Within Books
Find the next book to read from the book.
You are searching for the next book to read.
▼ In this context
Amidst the vast number of books available to read, it can be difficult to find ones that will resonate with you.
Forces:
- Even in genres you are interested in, it is sometimes difficult to select the next book to read.
- When trying to read books in a filed which is unfamiliar to you, you need guidance where to start.
- You have no one who can recommend you the appropriate books for you.
▼ Therefore
Search for works/authors referenced in or related to books that you have enjoyed in the past. In other words, looks for the “links within books”.
For example:
- Tackle all the books written by your author’s favorite who you favorite.
- Pay attention to people who appeared on the book you read and find his books.
- Read the books which inspired to your author favorite.
▼ Consequently
Through using information referenced in books that you enjoy, you will be able to discover works that are relevant to your interest and/or expand your interests.
3.8 Same Deep Feeling
Same Deep Feeling
Find people who have a similar sense of what is "interesting."
Looking for the next book to read.
▼ In this context
It can be difficult to find one that suits your taste.
Forces:
- Popular books do not always suit you.
- Your favorite authors do not always write your favorite books.
- The number of pages does not necessarily represent the value of the book, because sometimes thick books do not explain things in detail.
▼ Therefore
Find a person whose "wavelength" is similar to yours, and get book recommendations from them.
For example:
- Ask your family about the books they like.
- Choose books introduced by people you respect.
- Read popular books which have fans in your generations.
▼ Consequently
This will make it easier to come across books that you can enjoy, and will allow you to encounter those you wouldn’t have found on your own. Even if the topic of the book is something outside of your usual interest, you will most likely enjoy it if you and the person who recommended it share a similar deep feeling.
Personal Bookshelf
A place where you can always meet books.
You find a book that catches your interest.
▼ In this context
You may purchase a book because you feel that you will not read it right away, and end up forgetting about it over time, or not be able to find it when you want it again.
Forces:
- As new books are on sale, old books will disappear from bookshops.
- If you forget the title or author of the book, you will not be able to search it.
- The motivation to read the book goes down, if it cannot be easily found.
▼ Therefore
Try to purchase a book at the moment it catches your interest, and have it stashed in your bookshelf for later.
For example:
- If you have some books you want to read soon, put them on your bookshelf where you find them easily.
- Even if you think it is too early to read certain books, buy them and put them in your bookshelf so you can read them anytime.
- Make a corner named “want to read”.
▼ Consequently
Your bookshelf is not only a place to store books, which you have already read. It is also a place to keep books that you may read at some point in the future. By having such books stored in your bookshelf, your bookshelf will begin to resemble your interests in the past, present, and future.
4. CONCLUSION
In this paper, we presented the patterns for “Tips for Reading.” The pattern language was created based on the belief that more people will be enticed to read once they are exposed to the ways in which book enthusiasts approach reading. However, simply creating the pattern language is not enough to actually influence people to read; we must also make efforts to deliver the patterns to our target user. However, such target users (i.e. people who do not enjoy reading), may find the patterns to be a burdensome reading material itself.
Therefore, we chose to present the patterns in the form of cards (Figure 2), so that they are easy to read/use. The card format allows for the patterns to be incorporated into daily life scenes; for instance, displayed around one’s room as decoration, or used as a bookmark (Figure 3). By embedding the patterns into a tangible form, there will be more opportunity for the users to see and be reminded of the patterns, leading to a higher possibility that the patterns are executed (Iba et al., 2018).
This pattern language project is not at its end; we will actively continue making opportunities to open up the patterns to more people at workshops and so on, to promote its usage (Figure 2). In addition to the workshops we have already held, in which the patterns were used (Iba et al., 2018), we plan to continue to search further ways of utilizing the patterns to engage more people in the discussion of new ways of reading.
ACKNOWLEDGEMENTS
The Pattern Language for Creative Reading that we discussed in this paper is the result of a joint research between Keio University’s Iba Laboratory and Yurindo Co., LTD. Starting with Hiroki Koishi for his commitment to the making of the patterns, we would like to express our thanks to the members of Yurindo Co. We would also like to express thanks to the project members who worked with us to create the language: Norihiko Kimura, Tsuyoshi Ishida, Iroha Ogo, Ayaka Yoshikawa, and Hina Kato. And we’d like to thank Yuma Akado, Konomi Munakata and Aimi Burgoyne for their generous support. Lastly, we’d like to thank Richard
Gabriel, Joseph Yoder, Mary Lynn Manns, Christian Kohls, Christian Köppe, Wolfgang Stark, Matt Griscom, Paul Salvador Inventado and other participants.
REFERENCES
Iba, T., (2011a) "Pattern Language 3.0: Methodological Advances in Sharing Design Knowledge" 4th International Conference on Collaborative Innovation Networks 2011(COINs2011)
Iba, T., (2011b) "Experience Mining and Dialogues Workshop with a Pattern Language for Creative Learning" workshop 4th International Conference on Collaborative Innovation Networks 2011(COINs2011)
IBA, T., ISAKU, T. (2016)"A Pattern Language for Creating Pattern Languages: 364 Patterns for Pattern Mining, Writing, and Symbolizing" 23rd Conference on Pattern Languages of Programs 2016 (PLoP2016)
Ogo, I. Kimura, N. Iba, T. Watanabe, Y. (2018) "Dokusyo no Kurielthibbu Range-ji: Hon wo yomukoto ni tuite no kotoba (Creative Language of reading : Words about reading books)" 7th Asian Conference on Pattern Languages of Programs 2018 (Asian PLoP2018)
Iba, T. Burgoyne, A. Yoshikawa, A. Niwai, F. Kimura, N. Watanabe, Y. (2018) "Life with Reading in the Creative Society: Approaches with using a Pattern Language for Creative Reading" 25th Conference on Pattern Languages of Programs 2018 (PLoP2018) |
Chapter 3. Revalidation and Updates
The Nevada Medicaid and Nevada Check Up Health Care Online Provider Enrollment Portal allows providers, or their delegates, to revalidate enrollment, and update their previously submitted provider enrollment information.
The Provider Revalidation Application is to be used by active providers who have received a revalidation letter. The online revalidation application will allow providers to revalidate and update their provider enrollment information, with the exception of ownership changes. Once a provider submits a revalidation application, a new revalidation application cannot be submitted. If a revalidation application has already been submitted and a provider attempts to begin a new one, the current application status will display. Revalidations are required only once every five years (three years for Durable Medical Equipment (provider type 33) providers).
The Provider Update Application is to be used by active providers to report any changes to their provider enrollment information, with the exception of ownership changes. Once a provider submits an update application, a new update application cannot be submitted until the application in process reaches a finalized status. If an update application is in process and a provider attempts to begin a new one, the current application status will display along with the message: “The provider NPI has a change/update application in process. A new change/update application cannot be started until the current application is finalized.”
Besides initiating revalidate and update applications, providers also have the option to update demographics. The “Update Demographics” link redirects providers back to the Nevada Medicaid and Nevada Check Up Provider Web Portal (PWP) where they can update certain demographic data in real time. However, if an update application is already in process, demographic data cannot be updated until that application is finalized. For further instructions on how to update provider demographics, see the Electronic Verification System (EVS) User Manual Chapter 12.
Change of ownership must be reported within 35 days of completion by completing an Initial Enrollment application.
3.1 Online Provider Revalidation Application
To begin the Online Provider Revalidation Application:
1. Log in to the Provider Web Portal.
2. Provider My Home page is displayed.
3. Click on the “Revalidate-Update Provider” link under Provider Services.
4. Revalidate-Update Provider page is displayed with list of locations linked to the NPI. It will also display the revalidation due date, license effective dates, and contract information for each service location.
5. Click “Revalidate Provider” under Action.
6. Click “Proceed” on the redirect page.
7. The Provider Enrollment Welcome page is displayed. Click Continue to open the Revalidation application.
Welcome to the Online Provider Enrollment System
Thank you for your interest in the Nevada Medicaid and Nevada Check Up Program. To bill for services rendered to Nevada Medicaid recipients, you must enroll as a Nevada Medicaid Provider. Gainvvell Technologies is the current fiscal agent for the Nevada Medicaid and Nevada Check Up program. Hereafter, Gainvvell Technologies is referred to as Nevada Medicaid.
All of the materials within this document must be completed and submitted to Nevada Medicaid for your request to be processed. A checklist of required documentation has been provided for your convenience. Please review the Provider Information Enrollment Brochure for additional information.
Submission of incomplete materials will delay your request. In addition to required documentation, additional supporting documentation can be uploaded with your application if necessary. If your responses to any questions on this enrollment application did not fit into the field on the page, type the question or response and upload the documentation using Other as the attachment type on the Attachments page of this online application. All documents must be uploaded at the time of your enrollment forms submission in order for your application to be considered complete. Please retain copies of your materials for your records. You will receive written notification upon approval or denial of your request.
Urgent/Emergency Enrollment
If you are requesting urgent/emergency enrollment as an individual provider and have a separate billing provider, they will need to enroll with Nevada Medicaid as a billing provider. Once they are enrolled, you will then need to be linked to the group for claims to process appropriately. The group can be a fully enrolled provider or an urgent/emergency provider.
If you are requesting urgent/emergency enrollment as a group provider, and have a separate servicing provider, they will need to enroll with Nevada Medicaid as individual provider and be linked to the group for claims to process. The individual can be a fully enrolled provider or an urgent/emergency provider.
You can verify if a provider is enrolled using the Provider Search tool: https://www.medicaid.nv.gov/hcp/provider/Resources/SearchProviders/tabid/220/Default.aspx.
Once both the servicing and billing provider are enrolled you will need to submit the claim for payment. Billing instructions can be found on https://www.medicaid.nv.gov/provider/BillingInfo.aspx.
If you have questions concerning enrollment, contact Provider Enrollment at (877) 638-3472 (select options for “Provider Enrollment”) between 8:00 a.m. and 5:00 p.m. PT Monday through Friday.
Please click the "Continue" to proceed.
8. The Request Information page is displayed to begin the revalidation application.
The provider type is established on the Request Information screen. All subsequent specialties available for the selected provider type can be added on this screen. Only one specialty can be designated as the primary specialty. See the Provider Enrollment Information Booklet for the complete list of provider types and specialty codes. You can also enter an optional board certification for each specialty.
Click "+" to view or update the details in a row. Click "-" to collapse the row. Click the Remove link to remove the entire row.
| Provider Type | *Specialty |
|---------------|------------|
| Specialty Code | Primary |
| Specialty Board |
Provider Information
Biller: Enrolling provider will receive direct payment from Nevada Medicaid and Nevada Check Up on behalf of the individual(s) rendering services. This billing type may not be listed as the rendering provider on claims.
Both: Enrolling provider will receive direct payment from Nevada Medicaid and Nevada Check Up for services rendered. Provider may be listed on a claim as both billing and/or rendering provider.
Performer: Enrolling provider will not receive direct payment from Nevada Medicaid and Nevada Check Up for services rendered. Can only be listed on the claim as the rendering/servicing provider.
*Are you currently enrolled as a Provider? Yes No
*Were you previously enrolled as a Provider? Yes No
Contact Information
This contact information is required for correspondence regarding the associated application. Provide the appropriate contact person and information who can assist with the request.
*Last Name
*First Name
*Telephone Number
*Contact Email
*Confirm Email Address
*Preferred Method of Communication
Continue Finish Later Cancel
9. Navigate through each page of the online application to add required information and make any necessary changes to the information on file.
**Note:** The Enrollment Type, Provider Type and Social Security Number (SSN) fields will display as “read only” and can’t be changed during the revalidation process.
3.2 Provider Updates
To begin the Online Provider Update Application:
1. Log in to the Provider Web Portal.
What can you do in the Provider Portal
Through this secure and easy to use internet portal, healthcare providers can inquire on the status of their claims and payments, inquire on a patient’s eligibility, process prior authorization requests and access Remittance Advices. In addition, healthcare providers can use this site for further access to contact information for services provided under the Nevada Medicaid program.
Website Requirements
Prior Authorization Quick Reference Guide [Review]
Provider Web Portal Quick Reference Guide [Review]
2. Provider My Home page is displayed.
3. Click the “Revalidate-Update Provider” link under Provider Services.
4. Revalidate-Update Provider page is displayed with list of locations linked to the NPI. It will also display the revalidation due date, license effective dates, and contract information for each service location.
5. Click “Update Provider” under Action.
6. Click “Proceed” on the redirect page.
7. The Provider Enrollment Welcome page is displayed. Click “Continue” to begin.
Welcome to the Online Provider Enrollment System
Thank you for your interest in the Nevada Medicaid and Nevada Check Up Program. To bill for services rendered to Nevada Medicaid recipients, you must enroll as a Nevada Medicaid Provider. Gainwell Technologies is the current fiscal agent for the Nevada Medicaid and Nevada Check Up program. Hereafter, Gainwell Technologies is referred to as Nevada Medicaid.
All of the materials within this document must be completed and submitted to Nevada Medicaid for your request to be processed. A checklist of required documentation has been provided for your convenience. Please review the Provider Information Enrollment Booklet for additional information.
Submission of incomplete materials will delay your request. In addition to required documentation, additional supporting documentation can be uploaded with your application if necessary. If your responses to any questions on this enrollment application did not fit into the field on the page, type the question and response and upload the documentation using Other as the attachment type on the Attachments page of this online application. All documents must be uploaded at the time of provider enrollment forms submission in order for your application to be considered complete. Please retain copies of your materials for your records. You will receive written notification upon approval or denial of your request.
Urgent/Emergency Enrollment
If you are requesting urgent/emergency enrollment as an individual provider and have a separate billing provider, they will need to enroll with Nevada Medicaid as a billing provider. Once they are enrolled, you will then need to be linked to the group for claims to process appropriately. The group can be a fully enrolled provider or an urgent/emergency provider.
If you are requesting urgent/emergency enrollment as a group provider, and have a separate servicing provider, they will need to enroll with Nevada Medicaid as individual provider and be linked to the group for claims to process. The individual can be a fully enrolled provider or an urgent/emergency provider.
You can verify if a provider is enrolled using the Provider Search tool https://www.medicaid.nv.gov/fsc/provider/Resources/SearchProviders/tabid/220/Default.aspx.
Once both the servicing and billing provider are enrolled you will need to submit the claim for payment. Billing instructions can be found on https://www.medicaid.nv.gov/providers/BillingInfo.aspx.
If you have questions concerning enrollment, contact Provider Enrollment at (877) 638-3472 (select options for "Provider Enrollment") between 8:00 a.m. and 5:00 p.m. PT Monday through Friday.
Please click the "Continue" to proceed.
8. The Request Information page is displayed to begin the update application.
Complete the fields on each screen and select the Continue button to move forward to each page. All mandatory data is required to "Finish Later". The contact person will potentially be contacted to answer any questions regarding the information provided in this request.
* Indicates a required field.
**Initial Enrollment Information**
| *Enrollment Type | *Provider Type |
|------------------|----------------|
| | |
*Requested Enrollment Effective Date: 10/09/2023
**Specialties**
The provider type is established on the Request Information screen. All subsequent specialties available for the selected provider type can be added on this screen. Only one specialty may be selected as the primary specialty. See the Provider Types Information booklet for the complete list of provider types and specialty codes. You can also enter an optional board certification for each specialty.
* Indicates a required field.
✓ Indicates a primary record.
Click "+" to view or update the details in a row. Click "-" to collapse the row. Click the Remove link to remove the entire row.
| Specialty | Action |
|-----------|--------|
Provider Type
*Specialty
Specialty Code
Primary
Specialty Board
Add Reset
**Provider Information**
**Biller:** Enrolling provider will receive direct payment from Nevada Medicaid and Nevada Check Up on behalf of the individual(s) rendering services. This provider type may not be listed as the rendering provider on claims.
**Bath:** Enrolling provider will receive direct payment from Nevada Medicaid and Nevada Check Up for services rendered. Provider may be listed on a claim as both billing and/or rendering provider.
**Performer:** Enrolling provider will not receive direct payment from Nevada Medicaid and Nevada Check Up for services rendered. Can only be listed on the claim as the rendering/servicing provider.
*Billing Type
*Are you currently enrolled as a Provider? Yes No
*Were you previously enrolled as a Provider? Yes No
**Contact Information**
This contact information is required for correspondence regarding the associated application. Provide the appropriate contact person and information who can assist with the request.
*Last Name
*First Name
*Telephone Number
Telephone Number Extension
*Contact Email
*Confirm Email Address
*Preferred Method of Communication Email
Continue Finish Later Cancel
9. Navigate through each page of the online application to add required information and make any necessary updates to the information on file.
**Note:** The Enrollment Type, Provider Type and SSN fields will display as read only and can’t be changed during the revalidation process. |
REVIEW OF CAMOUFLAGE ASSESSMENT TECHNIQUES
Lex Toet & Maarten Hogervorst
OVERVIEW
Psychophysical evaluation methods:
- Field vs lab studies
- Detection and recognition range
- Search & detection performance
- Visual conspicuity
- Subjective blending score
- Ranking & paired comparison
- Eye tracking
- Masked priming
- Fixation locked ERPs
Computational evaluation methods:
- Saliency models
- Clutter and target signature metrics
- Search models
New developments and Future challenges
## Psychophysical Evaluation Methods: Field vs Lab Studies
| | Field | Lab |
|--------------------------|----------------|---------------|
| Nr of conditions, locations, observers | Few | Many |
| Control over conditions | No control | Full control |
| Variation in performance across conditions | Large | Small |
| Time required | Long | Short |
| Effort | Labour intensive | Easy |
| Logistics | Complex | Simple |
| Costs | High | Low |
**But:**
lab studies require validation with field data to establish link with real-world performance.
PSYCHOPHYSICAL EVALUATION METHODS: FIELD VS LAB STUDIES
PSYCHOPHYSICAL EVALUATION METHODS: PHOTOSIMULATION STUDIES
- Easy to study performance of targets in different backgrounds
PSYCHOPHYSICAL EVALUATION METHODS:
DETECTION AND RECOGNITION RANGE
Field
Lab
PSYCHOPHYSICAL EVALUATION METHODS:
SEARCH & DETECTION PERFORMANCE
Field trial
Lab experiment
PSYCHOPHYSICAL EVALUATION METHODS:
SEARCH & DETECTION PERFORMANCE
Field trial
Lab experiment
PSYCHOPHYSICAL EVALUATION METHODS:
SEARCH & DETECTION PERFORMANCE
Field trial
Lab experiment
PSYCHOPHYSICAL EVALUATION METHODS:
DETECTION AND RECOGNITION RANGE
Cumulative Probability
Detection Event ranges (m)
-1800 -1600 -1400 -1200 -1000 -800 -600 -400 -200 0
Camouflage Net A
Camouflage Net B
R_A < R_B: B is more effective
PSYCHOPHYSICAL EVALUATION METHODS: SEARCH & DETECTION
projection screen
keypad: 9 keys corresponding to 9 fields on projection screen
projector 1: slides with/without object
projector 2: superpositioned grid
projector 3: pause slide (scene to relax)
Computer for registration of human responses
This CD ROM is compiled by TNO Human Factors Research Institute as addendum to rapport TNO-TM-98-A020 A high-resolution image data set for testing search and detection models Dr. A. Toet, dr. P.Bijl, dr. P.L. Kosi and dr. J.M. Veleton
PSYCHOPHYSICAL EVALUATION METHODS:
SEARCH & DETECTION PERFORMANCE
Performance metrics:
- Mean search time
- Detection probability
\[ P_d(t) = P_\infty \left[ 1 - e^{-(t-t_r)/\tau} \right] \]
\( P_\infty \) = prob. to find target given unlimited time
\( t_r \) = minimal response time
\( \tau \) = mean search time
Uncamouflaged target
Camouflaged target
PSYCHOPHYSICAL EVALUATION METHODS:
FOV SEARCH ON PANORAMIC IMAGES
visual
thermal
large window
small window
large zoom
small zoom
PSYCHOPHYSICAL EVALUATION METHODS:
VISUAL CONSPICUITY
VISUAL CONSPICUITY
VISUAL CONSPICUITY
VISUAL CONSPICUITY
VISUAL CONSPICUITY
VISUAL CONSPICUITY
VISUAL CONSPICUITY
VISUAL CONSPICUITY
VISUAL CONSPICUITY
MOTION BREAKS CAMOUFLAGE
MOTION BREAKS CAMOUFLAGE
VISUAL CONSPICUITY MEASUREMENT
VISUAL CONSPICUITY MEASUREMENT
VISUAL CONSPICUITY MEASUREMENT
VISUAL CONSPICUITY MEASUREMENT
VISUAL CONSPICUITY MEASUREMENT
VISUAL CONSPICUITY MEASUREMENT
VISUAL CONSPICUITY MEASUREMENT
\[ \alpha = \text{atan} \left( \frac{x_1}{d} \right) \]
\( \alpha \) in deg
\( T = \text{target} \)
\( x_1 = \text{initial fixation location} \)
\( d = \text{viewing distance (m)} \)
\( \alpha = \text{angular distance between target and fixation (deg)} \)
“I can’t see it!”
VISUAL CONSPICUITY MEASUREMENT
\[ \alpha_c = \text{atan} \left( \frac{x_2}{d} \right) \]
\( T = \text{target} \)
\( x_2 = \text{fixation location at first detection} \)
\( d = \text{viewing distance (m)} \)
\( \alpha_c = \text{conspicuity angle: angular distance between target and fixation at first detection (deg)} \)
\( \alpha \text{ in deg} \)
VISUAL CONSPICUITY MEASUREMENT
Conspicuity determines mean search time
Conspicuity measured in the lab (photosimulation) correlates with conspicuity measured in the field.
mean ST (s)
detection conspicuity (deg)
field conspicuity (deg)
lab conspicuity (deg)
VISUAL CONSPICUITY MEASUREMENT
Field
Lab
VISUAL CONSPICUITY:
SIMULATOR CALIBRATION
PSYCHOPHYSICAL EVALUATION METHODS: SUBJECTIVE BLENDING SCORE
- Subjective rating how well target matches background
- Can be done in the field and lab
- Easy and efficient
PSYCHOPHYSICAL EVALUATION METHODS:
RANKING & PAIRED COMPARISON
› Ranking targets in printed images from lowest to highest conspicuity
PSYCHOPHYSICAL EVALUATION METHODS:
RANKING & PAIRED COMPARISON
Paired comparison:
which target is most conspicuous?
PSYCHOPHYSICAL EVALUATION METHODS:
RANKING & PAIRED COMPARISON
› NATO-RTO SCI-219: Camouflage in hot humid areas
› Overall ranking from lowest to highest conspicuity
PSYCHOPHYSICAL EVALUATION METHODS:
RANKING & PAIRED COMPARISON
NATO-RTO SCI-219: Camouflage in hot humid areas
Figure 7-16: Best (AUS1, Left) and Worst (CAN1, Right) NIR Camouflage Performance at the Challenging High Contrast Scene Sun/Shade Recorded in the Shade on 23.07, with UKs NIR Sensor.
PSYCHOPHYSICAL EVALUATION METHODS:
RANKING & PAIRED COMPARISON
» NATO-RTO SCI-219: Camouflage in hot humid areas
Figure 7-17: Best (CAN1, Left) and Worst (DEU2, Right) LWIR Camouflage Performance Recorded at Night of 23.07, with CAN LWIR Sensor.
PSYCHOPHYSICAL EVALUATION METHODS: EYE TRACKING
Scanpaths
Heatmaps
PSYCHOPHYSICAL EVALUATION METHODS: EYE TRACKING
Scanpaths
Heatmaps
PSYCHOPHYSICAL EVALUATION METHODS: EYE TRACKING
- Scanpaths
- Over 120 different performance metrics (Holmqvist & Nystrom, *Eye Tracking*, Oxford Univ. Press, 2011)
- Most relevant measures:
- Fixation locations
- Fixation durations (duration increases with clutter)
- Pupil size (pupils dilate with increasing cognitive workload)
- Scan path similarity (fixation order, saccadic length)
PSYCHOPHYSICAL EVALUATION METHODS: EYE TRACKING
General findings:
- Increasing clutter leads to:
- Longer fixation times (increasing nr of target-similar features)
- Shorter saccades
- Fixation duration:
- Longer for targets than non-targets
- Longer for hits than for misses
- Pupil size:
- Larger for targets than for non-targets
- Larger for misses than for hits
scanpaths
Low clutter High clutter
PSYCHOPHYSICAL EVALUATION METHODS:
FIXATION RELATED ERPS - ATTENTION
» Distinguishing targets from non-targets: Fixation Event Related Potentials (FRPs)
» FRPs eliminate the need for subjective (cognitively biased) reports
Brouwer, Reuderink, Vincent, van Gerven & van Erp (2013). Distinguishing between target and nontarget fixations in a visual search task using fixation-related potentials. *Journal of Vision*, 13(3):17, 1–10.
Brouwer, Hogervorst, Oudejans, Ries, Touryan (2017) EEG and Eye Tracking Signatures of Target Encoding during Structured Visual Search. *Front. Hum. Neurosci.* 11:264
PSYCHOPHYSICAL EVALUATION METHODS: MASKED PRIMING
Procedure:
- Forward mask (preceding the prime),
- Brief prime (stimulus) presentation,
- Backward mask (following the prime),
- Dot probe,
- Question: target present at dot location (Y/N)?
- Measures: error rates and response times.
Shorter response time when dot and prime coincide
Stimulus presentation time needed to elicit priming effects inversely related to conspicuity
COMPUTATIONAL EVALUATION METHODS: SALIENCY MODELS
- Compute target distinctness relative to background (conspicuity)
- Accounting for many different features (e.g., color, texture, shape, edge strength, orientation, etc.)
EXAMPLE: SALIENCY TOOLBOX (WALTHER, KOCH, ITTI)
D. Walther, C. Koch / Neural Networks 19 (2006) 1395–1407
Multiple levels of resolution
Multiple feature maps
COMPUTATIONAL SALIENCY
Different algorithms yield different maps
COMPUTATIONAL SALIENCY
COMPUTATIONAL SALIENCY
COMPUTATIONAL SALIENCY
FIXATION PREDICTION FROM SALIENCY MAPS
Saliency Toolbox
Walther, Koch & Itti, 2006
Color + intensity + orientation > intensity (+ orientation) >
SALIENCY BASED SIMULATED FIXATION BEHAVIOR
Saliency Toolbox
Walther, Koch & Itti, 2006
SALIENCY BASED SIMULATED FIXATION BEHAVIOR
Not successful:
Observer scan patterns no correlation with those predicted by (Itti) saliency map models
Foulsham & Underwood, 2008;
Underwood, Foulsham & Humphrey, 2009
BOTTOM-UP VS TOP-DOWN SALIENCY
» Bottom-Up (BU) saliency: regular CS filters
» Top-down (TD) saliency: correlation of BU saliency map with target template filter
» TD map predicts human fixation behaviour better than bottom-up (BU)
Figure 2: Comparison of human and model scanpaths at different TD/BU weights
COMPUTATIONAL EVALUATION METHODS:
CLUTTER AND TARGET SIGNATURE METRICS
Where’s Waldo?
COMPUTATIONAL EVALUATION METHODS:
CLUTTER AND TARGET SIGNATURE METRICS
Static targets:
- Edge detection
- Texture metrics (e.g. CAMAELEON)
- Contrast energy detection
Dynamic targets
- Correlation
- Gradient
- Energy
COMPUTATIONAL EVALUATION METHODS:
CLUTTER AND TARGET SIGNATURE METRICS
CAMAELEON
Target-background contrast in terms of
- local energy
- local spatial frequency
- local orientation
COMPUTATIONAL EVALUATION METHODS: SEARCH MODELS
Input parameters e.g.:
- Luminance:
- target
- local background
- overall scene
- Dimensions:
- target
- FOV
- FOR
Output:
- Mean search time
- $P_d(t)$
FUTURE CHALLENGES
Camouflage
- can one hide on the modern battlefield?
or
Deception
- can we spoof modern sensors?
ACTIVE CAMOUFLAGE
Yehudi lights:
lamps of automatically-controlled brightness placed on the front and leading edges of an aircraft to raise its luminance to the average sky brighten
Developed by US Navy from 1943 onwards.
Increased interest due to stealth technology.
ACTIVE CAMOUFLAGE
Yehudi lights:
lamps of automatically-controlled brightness placed on the front and leading edges of an aircraft to raise its luminance to the average sky brighten
Developed by US Navy from 1943 onwards.
Increased interest due to stealth technology.
ACTIVE CAMOUFLAGE
Adaptive camouflage: CAMELEON (TNO, Holst, CA, GE)
ACTIVE CAMOUFLAGE
› CAMELEON (TNO, Holst, CA, GE)
https://www.youtube.com/watch?v=zLdNeatXCvE
or Google on:
“Toet Cameleon Youtube”
ACTIVE CAMOUFLAGE
› CAMELEON (TNO, Holst, CA, GE)
https://www.youtube.com/watch?v=zLdNeatXCvE
or Google on:
“Toet Cameleon Youtube”
ACTIVE CAMOUFLAGE: BAE ADAPTIVE SYSTEM
ADAPTIV PREVENTS IR DETECTION OF LAND BASED VEHICLES
Peltier elements
ACTIVE CAMOUFLAGE: BAE ADAPTIVE SYSTEM
system inactive
system activated
ACTIVE CAMOUFLAGE: BAE ADAPTIVE SYSTEM
ADVANCED DISGUISE CAPABILITIES
ACTIVE CAMOUFLAGE: BAE ADAPTIVE SYSTEM
IDENTIFICATION OF FRIENDLY FORCES
MULTISPECTRAL CAMOUFLAGE
- A multispectral image is typically a 4-6 band image: RGB + one or more infrared bands
- Camouflage through multilayered textiles with
- different reflection and absorption characteristics
- different patterns in each of the spectral bands
ACTIVE MULTISPECTRAL CAMOUFLAGE
- Adaptive Camouflage for the Soldier II (ACAMSII)
- Project in EU PADR program
- SE, DE, PT, LT, NL, FR
- Start: May 1, 2018
- End: April 30, 2021
- 2.6 M€
ACTIVE MULTISPECTRAL CAMOUFLAGE
- Adaptive Camouflage for the Soldier II (ACAMSII)
- research on novel materials and components
- Multispectral camouflage: Visual, NIR, SWIR, MWIR, LWIR, Radar
ACTIVE CAMOUFLAGE
Ultimate goal: the invisible soldier
HYPER SPECTRAL CAMOUFLAGE
A hyperspectral image typically has ~200 bands, each band representing the response to a precise wavelength of light.
- A representative (200 D) signal for a material is called a hyperspectral signature.
- We can form these signatures into a spectral library for classification.
Multispectral/Hyperspectral Comparison
RGB image LWIR image
Specim LWIR-C
Spectral Profile
quartz
feldspar
8µm 9µm 10µm 11µm 12µm
FOOLING AUTOMATIC DETECTION SYSTEMS
1. State-of-the-art DNNs can recognize real images with high confidence.
2. But DNNs are also easily fooled: images can be produced that are unrecognizable to humans, but DNNs believe with 99.99% certainty are natural objects.
FOOLING RECOGNITION SYSTEMS
- It is easy to produce images that are completely unrecognizable by humans.
- But that state-of-the-art DNNs believe to be familiar objects with 99.99% confidence.
FOOLING AUTOMATIC DETECTION SYSTEMS
Automatic person detection systems can easily be fooled.
FOOLING RECOGNITION SYSTEMS
Automatic face recognition systems can easily be fooled.
So WWI camouflage may become fashionable again
1917: A soldier in World War I models early camouflage. (Courtesy: National Archives/Department of Defense)
Thank you for your attention! |
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